Sustainable City X

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Tenth International Conference on
Urban Regeneration and Sustainability
SUSTAINABLE CITY X
Conference Chairmen
C.A. Brebbia
Wessex Institute, UK
W.F. Florez-Escobar
Universidad Pontificia Bolivariana, Colombia
International Scientific Advisory Committee

M. Ali
A. Aminmansour
R. Barelkowski
C. Booth
P. Canelas de Castro
J. Diaz
S. Garcia-Ayllon
N. Marchettini
J.L. Miralles i Garcia
N. Quaranta
R. Rojas-Caldelas
S.S. Zubir
Organised by
Sponsored by
WIT Transactions on Ecology and the Environment
The International Journal of Sustainable
Development and Planning
WIT Transactions
Transactions Editor
Carlos Brebbia
Wessex Institute of Technology
Ashurst Lodge, Ashurst
Southampton SO40 7AA, UK
Editorial Board
B Abersek University of Maribor, Slovenia C D Bertram The University of New South

Y N Abousleiman University of Oklahoma, USA Wales, Australia
K S Al Jabri Sultan Qaboos University, Oman D E Beskos University of Patras, Greece
H Al-Kayiem Universiti Teknologi PETRONAS, S K Bhattacharyya Indian Institute of
Malaysia Technology, India
C Alessandri Universita di Ferrara, Italy H Bjornlund University of South Australia,
D Almorza Gomar University of Cadiz, Spain Australia
B Alzahabi Kettering University, USA E Blums Latvian Academy of Sciences, Latvia
J A C Ambrosio IDMEC, Portugal J Boarder Cartref Consulting Systems, UK
A M Amer Cairo University, Egypt B Bobee Institut National de la Recherche
S A Anagnostopoulos University of Patras, Scientifique, Canada
Greece H Boileau ESIGEC, France
M Andretta Montecatini, Italy M Bonnet Ecole Polytechnique, France
E Angelino A.R.P.A. Lombardia, Italy C A Borrego University of Aveiro, Portugal
H Antes Technische Universitat Braunschweig, A R Bretones University of Granada, Spain
Germany J A Bryant University of Exeter, UK
M A Atherton South Bank University, UK F-G Buchholz Universitat Gesanthochschule
A G Atkins University of Reading, UK Paderborn, Germany
D Aubry Ecole Centrale de Paris, France M B Bush The University of Western Australia,
J Augutis Vytautas Magnus University, Australia
Lithuania F Butera Politecnico di Milano, Italy
H Azegami Toyohashi University of Technology, W Cantwell Liverpool University, UK
Japan G Carlomagno University of Naples Federico
A F M Azevedo University of Porto, Portugal II, Italy
J M Baldasano Universitat Politecnica de D J Cartwright Bucknell University, USA
Catalunya, Spain P G Carydis National Technical University of
J G Bartzis Institute of Nuclear Technology, Athens, Greece
Greece J J Casares Long Universidad de Santiago de
S Basbas Aristotle University of Thessaloniki, Compostela, Spain
Greece M A Celia Princeton University, USA
A Bejan Duke University, USA A Chakrabarti Indian Institute of Science,
M P Bekakos Democritus University of Thrace, India
Greece J-T Chen National Taiwan Ocean University,
G Belingardi Politecnico di Torino, Italy Taiwan
R Belmans Katholieke Universiteit Leuven, A H-D Cheng University of Mississippi, USA
Belgium J Chilton University of Lincoln, UK
C-L Chiu University of Pittsburgh, USA F Erdogan Lehigh University, USA
H Choi Kangnung National University, Korea D J Evans Nottingham Trent University, UK
A Cieslak Technical University of Lodz, Poland J W Everett Rowan University, USA
S Clement Transport System Centre, Australia M Faghri University of Rhode Island, USA
J J Connor Massachusetts Institute of R A Falconer Cardiff University, UK
Technology, USA M N Fardis University of Patras, Greece
M C Constantinou State University of New York A Fayvisovich Admiral Ushakov Maritime State
at Buffalo, USA University, Russia
D E Cormack University of Toronto, Canada P Fedelinski Silesian Technical University,
D F Cutler Royal Botanic Gardens, UK Poland
W Czyczula Krakow University of Technology, H J S Fernando Arizona State University, USA
Poland S Finger Carnegie Mellon University, USA
M da Conceicao Cunha University of Coimbra, E M M Fonseca Instituto Politécnico de
Portugal Bragança, Portugal
L Dávid Károly Róbert College, Hungary J I Frankel University of Tennessee, USA
A Davies University of Hertfordshire, UK D M Fraser University of Cape Town, South
M Davis Temple University, USA Africa
A B de Almeida Instituto Superior Tecnico, M J Fritzler University of Calgary, Canada
Portugal U Gabbert Otto-von-Guericke Universitat
E R de Arantes e Oliveira Instituto Superior Magdeburg, Germany
Tecnico, Portugal G Gambolati Universita di Padova, Italy
L De Biase University of Milan, Italy C J Gantes National Technical University of
R de Borst Delft University of Technology, Athens, Greece
Netherlands L Gaul Universitat Stuttgart, Germany
G De Mey University of Ghent, Belgium A Genco University of Palermo, Italy
A De Montis Universita di Cagliari, Italy N Georgantzis Universitat Jaume I, Spain
A De Naeyer Universiteit Ghent, Belgium P Giudici Universita di Pavia, Italy
P De Wilde Vrije Universiteit Brussel, Belgium L M C Godinho University of Coimbra, Portugal
D De Wrachien State University of Milan, Italy F Gomez Universidad Politecnica de Valencia,
L Debnath University of Texas-Pan American, Spain
USA R Gomez Martin University of Granada, Spain
G Degrande Katholieke Universiteit Leuven, D Goulias University of Maryland, USA
Belgium K G Goulias Pennsylvania State University, USA
S del Giudice University of Udine, Italy F Grandori Politecnico di Milano, Italy
G Deplano Universita di Cagliari, Italy W E Grant Texas A & M University, USA
M Domaszewski Universite de Technologie de S Grilli University of Rhode Island, USA
Belfort-Montbeliard, France R H J Grimshaw Loughborough University, UK
K Dorow Pacific Northwest National D Gross Technische Hochschule Darmstadt,
Laboratory, USA Germany
W Dover University College London, UK R Grundmann Technische Universitat Dresden,
C Dowlen South Bank University, UK Germany
J P du Plessis University of Stellenbosch, South A Gualtierotti IDHEAP, Switzerland
Africa O T Gudmestad University of Stavanger,
R Duffell University of Hertfordshire, UK Norway
N A Dumont PUC-Rio, Brazil R C Gupta National University of Singapore,
A Ebel University of Cologne, Germany Singapore
G K Egan Monash University, Australia J M Hale University of Newcastle, UK
K M Elawadly Alexandria University, Egypt K Hameyer Katholieke Universiteit Leuven,
K-H Elmer Universitat Hannover, Germany Belgium
D Elms University of Canterbury, New Zealand C Hanke Danish Technical University, Denmark
M E M El-Sayed Kettering University, USA K Hayami University of Tokyo, Japan
D M Elsom Oxford Brookes University, UK Y Hayashi Nagoya University, Japan
L Haydock Newage International Limited, UK T Krauthammer Penn State University, USA
A H Hendrickx Free University of Brussels, C-H Lai University of Greenwich, UK
Belgium M Langseth Norwegian University of Science
C Herman John Hopkins University, USA and Technology, Norway
I Hideaki Nagoya University, Japan B S Larsen Technical University of Denmark,
D A Hills University of Oxford, UK Denmark
W F Huebner Southwest Research Institute, F Lattarulo Politecnico di Bari, Italy
USA A Lebedev Moscow State University, Russia
J A C Humphrey Bucknell University, USA L J Leon University of Montreal, Canada
M Y Hussaini Florida State University, USA D Lesnic University of Leeds, UK
W Hutchinson Edith Cowan University, D Lewis Mississippi State University, USA
Australia S lghobashi University of California Irvine, USA
T H Hyde University of Nottingham, UK K-C Lin University of New Brunswick, Canada
M Iguchi Science University of Tokyo, Japan A A Liolios Democritus University of Thrace,
L Int Panis VITO Expertisecentrum IMS, Belgium Greece
N Ishikawa National Defence Academy, Japan S Lomov Katholieke Universiteit Leuven,
H Itoh Fukuhara-cho, Japan Belgium
J Jaafar UiTm, Malaysia J W S Longhurst University of the West of
W Jager Technical University of Dresden, England, UK
Germany G Loo The University of Auckland, New Zealand
Y Jaluria Rutgers University, USA J Lourenco Universidade do Minho, Portugal
P R Johnston Griffith University, Australia J E Luco University of California at San Diego,
D R H Jones University of Cambridge, UK USA
N Jones University of Liverpool, UK H Lui State Seismological Bureau Harbin, China
N Jovanovic CSIR, South Africa C J Lumsden University of Toronto, Canada
D Kaliampakos National Technical University L Lundqvist Division of Transport and Location
of Athens, Greece Analysis, Sweden
D L Karabalis University of Patras, Greece T Lyons Murdoch University, Australia
A Karageorghis University of Cyprus E Magaril Ural Federal University, Russia
M Karlsson Linkoping University, Sweden L Mahdjoubi University of the West of England,
T Katayama Doshisha University, Japan UK
K L Katsifarakis Aristotle University of Y-W Mai University of Sydney, Australia
Thessaloniki, Greece M Majowiecki University of Bologna, Italy
J T Katsikadelis National Technical University D Malerba Università degli Studi di Bari, Italy
of Athens, Greece G Manara University of Pisa, Italy
E Kausel Massachusetts Institute of S Mambretti Politecnico di Milano, Italy
Technology, USA B N Mandal Indian Statistical Institute, India
H Kawashima The University of Tokyo, Japan Ü Mander University of Tartu, Estonia
B A Kazimee Washington State University, USA H A Mang Technische Universitat Wien, Austria
F Khoshnaw Koya University, Iraq G D Manolis Aristotle University of Thessaloniki,
S Kim University of Wisconsin-Madison, USA Greece
D Kirkland Nicholas Grimshaw & Partners Ltd, W J Mansur COPPE/UFRJ, Brazil
UK N Marchettini University of Siena, Italy
E Kita Nagoya University, Japan J D M Marsh Griffith University, Australia
A S Kobayashi University of Washington, USA J F Martin-Duque Universidad Complutense,
T Kobayashi University of Tokyo, Japan Spain
D Koga Saga University, Japan T Matsui Nagoya University, Japan
S Kotake University of Tokyo, Japan G Mattrisch DaimlerChrysler AG, Germany
A N Kounadis National Technical University of F M Mazzolani University of Naples “Federico
Athens, Greece II”, Italy
W B Kratzig Ruhr Universitat Bochum, K McManis University of New Orleans, USA
Germany
A C Mendes Universidade de Beira Interior, M F Platzer Naval Postgraduate School, USA
Portugal D Poljak University of Split, Croatia
J Mera CITEF-UPM, Spain H Power University of Nottingham, UK
R A Meric Research Institute for Basic Sciences, D Prandle Proudman Oceanographic
Turkey Laboratory, UK
J Mikielewicz Polish Academy of Sciences, M Predeleanu University Paris VI, France
Poland D Proverbs University of the West of England,
R A W Mines University of Liverpool, UK UK
J L Miralles i Garcia Universitat Politecnica de R Pulselli University of Siena, Italy
Valencia, Spain I S Putra Institute of Technology Bandung,
C A Mitchell University of Sydney, Australia Indonesia
K Miura Kajima Corporation, Japan Y A Pykh Russian Academy of Sciences, Russia
A Miyamoto Yamaguchi University, Japan F Rachidi EMC Group, Switzerland
T Miyoshi Kobe University, Japan M Rahman Dalhousie University, Canada
G Molinari University of Genoa, Italy K R Rajagopal Texas A & M University, USA
T B Moodie University of Alberta, Canada T Rang Tallinn Technical University, Estonia
D B Murray Trinity College Dublin, Ireland J Rao Case Western Reserve University, USA
G Nakhaeizadeh DaimlerChrysler AG, Germany J Ravnik University of Maribor, Slovenia
M B Neace Mercer University, USA A M Reinhorn State University of New York at
D Necsulescu University of Ottawa, Canada Buffalo, USA
F Neumann University of Vienna, Austria G Reniers Universiteit Antwerpen, Belgium
S-I Nishida Saga University, Japan A D Rey McGill University, Canada
H Nisitani Kyushu Sangyo University, Japan D N Riahi University of Illinois at Urbana-
B Notaros University of Massachusetts, USA Champaign, USA
P O’Donoghue University College Dublin, B Ribas Spanish National Centre for
Ireland Environmental Health, Spain
R O O’Neill Oak Ridge National Laboratory, USA K Richter Graz University of Technology, Austria
M Ohkusu Kyushu University, Japan S Rinaldi Politecnico di Milano, Italy
G Oliveto Universitá di Catania, Italy F Robuste Universitat Politecnica de Catalunya,
R Olsen Camp Dresser & McKee Inc., USA Spain
E Oñate Universitat Politecnica de Catalunya, J Roddick Flinders University, Australia
Spain A C Rodrigues Universidade Nova de Lisboa,
K Onishi Ibaraki University, Japan Portugal
P H Oosthuizen Queens University, Canada F Rodrigues Poly Institute of Porto, Portugal
E L Ortiz Imperial College London, UK G R Rodríguez Universidad de Las Palmas de
E Outa Waseda University, Japan Gran Canaria, Spain
O Ozcevik Istanbul Technical University, Turkey C W Roeder University of Washington, USA
A S Papageorgiou Rensselaer Polytechnic J M Roesset Texas A & M University, USA
Institute, USA W Roetzel Universitaet der Bundeswehr
J Park Seoul National University, Korea Hamburg, Germany
G Passerini Universita delle Marche, Italy V Roje University of Split, Croatia
F Patania University of Catania, Italy R Rosset Laboratoire d’Aerologie, France
B C Patten University of Georgia, USA J L Rubio Centro de Investigaciones sobre
G Pelosi University of Florence, Italy Desertificacion, Spain
G G Penelis Aristotle University of Thessaloniki, T J Rudolphi Iowa State University, USA
Greece S Russenchuck Magnet Group, Switzerland
W Perrie Bedford Institute of Oceanography, H Ryssel Fraunhofer Institut Integrierte
Canada Schaltungen, Germany
R Pietrabissa Politecnico di Milano, Italy G Rzevski The Open University, UK
H Pina Instituto Superior Tecnico, Portugal S G Saad American University in Cairo, Egypt
M Saiidi University of Nevada-Reno, USA S Tanimura Aichi University of Technology,
R San Jose Technical University of Madrid, Japan
Spain J L Tassoulas University of Texas at Austin, USA
F J Sanchez-Sesma Instituto Mexicano del M A P Taylor University of South Australia,
Petroleo, Mexico Australia
B Sarler Nova Gorica Polytechnic, Slovenia A Terranova Politecnico di Milano, Italy
S A Savidis Technische Universitat Berlin, A G Tijhuis Technische Universiteit Eindhoven,
Germany Netherlands
A Savini Universita de Pavia, Italy T Tirabassi Institute FISBAT-CNR, Italy
G Schleyer University of Liverpool, UK S Tkachenko Otto-von-Guericke-University,
G Schmid Ruhr-Universitat Bochum, Germany Germany
R Schmidt RWTH Aachen, Germany N Tomii Chiba Institute of Technology, Japan
B Scholtes Universitaet of Kassel, Germany N Tosaka Nihon University, Japan
W Schreiber University of Alabama, USA T Tran-Cong University of Southern
A P S Selvadurai McGill University, Canada Queensland, Australia
J J Sendra University of Seville, Spain R Tremblay Ecole Polytechnique, Canada
J J Sharp Memorial University of I Tsukrov University of New Hampshire, USA
Newfoundland, Canada R Turra CINECA Interuniversity Computing
Q Shen Massachusetts Institute of Technology, Centre, Italy
USA S G Tushinski Moscow State University, Russia
X Shixiong Fudan University, China P Tzieropoulos Ecole Polytechnique Federale
G C Sih Lehigh University, USA de Lausanne, Switzerland
L C Simoes University of Coimbra, Portugal J-L Uso Universitat Jaume I, Spain
A C Singhal Arizona State University, USA E Van den Bulck Katholieke Universiteit
P Skerget University of Maribor, Slovenia Leuven, Belgium
J Sladek Slovak Academy of Sciences, Slovakia D Van den Poel Ghent University, Belgium
V Sladek Slovak Academy of Sciences, Slovakia R van der Heijden Radboud University,
A C M Sousa University of New Brunswick, Netherlands
Canada R van Duin Delft University of Technology,
H Sozer Illinois Institute of Technology, USA Netherlands
D B Spalding CHAM, UK P Vas University of Aberdeen, UK
P D Spanos Rice University, USA R Verhoeven Ghent University, Belgium
T Speck Albert-Ludwigs-Universitaet Freiburg, A Viguri Universitat Jaume I, Spain
Germany Y Villacampa Esteve Universidad de Alicante,
C C Spyrakos National Technical University of Spain
Athens, Greece F F V Vincent University of Bath, UK
I V Stangeeva St Petersburg University, Russia S Walker Imperial College, UK
J Stasiek Technical University of Gdansk, G Walters University of Exeter, UK
Poland B Weiss University of Vienna, Austria
B Sundén Lund University, Sweden H Westphal University of Magdeburg,
G E Swaters University of Alberta, Canada Germany
S Syngellakis Wessex Institute of Technology, J R Whiteman Brunel University, UK
UK T W Wu University of Kentucky, USA
J Szmyd University of Mining and Metallurgy, Z-Y Yan Peking University, China
Poland S Yanniotis Agricultural University of Athens,
S T Tadano Hokkaido University, Japan Greece
H Takemiya Okayama University, Japan A Yeh University of Hong Kong, China
I Takewaki Kyoto University, Japan B W Yeigh SUNY Institute of Technology, USA
C-L Tan Carleton University, Canada J Yoon Old Dominion University, USA
E Taniguchi Kyoto University, Japan K Yoshizato Hiroshima University, Japan
T X Yu Hong Kong University of Science & G Zharkova Institute of Theoretical and
Technology, Hong Kong Applied Mechanics, Russia
M Zador Technical University of Budapest, N Zhong Maebashi Institute of Technology,
Hungary Japan
K Zakrzewski Politechnika Lodzka, Poland H G Zimmermann Siemens AG, Germany
M Zamir University of Western Ontario, Canada R Zainal Abidin Infrastructure University Kuala
G Zappalà CNR-IAMC, Italy Lumpur(IUKL), Malaysia
R Zarnic University of Ljubljana, Slovenia
The
Sustainable City X
Editors
C.A. Brebbia
W.F. Florez-Escobar
Editors:
C.A. Brebbia
W.F. Florez-Escobar
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British Library Cataloguing-in-Publication Data

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ISBN: 978-1-84564-942-5
eISBN: 978-1-84564-943-2
ISSN: 1746-448X (print)

ISSN: 1743-3541 (online)
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Preface
This book contains papers presented at the 10th International Conference on Urban
Regeneration and Sustainability held at the Universidad Pontificia Bolivariana
(UPB) in Medellin, Colombia. The Meeting was organised by that Institution and
the Wessex Institute of Technology (WIT) of the UK.
This Sustainable City meeting follows a series of successful conferences which

began in Rio de Janeiro in 2000 and has been held regularly since then in different
locations throughout Europe and Asia. The meetings always attract a substantial
number of contributions from participants from different backgrounds and
countries. The variety of topics and experiences is one of the main reasons behind
the success of the series. The dynamic growth of Colombia and in particular the
rapid development of Medellin, which has recently been designated the most
innovative city in the world, led to its choice as the venue for the Sustainable City
2015 conference. It seems most appropriate for the Conference to return to South
America, with the added symbolism of being held at UPB, and institution named in
honour of the South American Liberator, Simon Bolivar.
Urban areas result in a series of environmental challenges varying from the

consumption of natural resources and the subsequent generation of waste and
pollution, contributing to the development of social and economic imbalances. As
cities continue to grow all over the world, these problems tend to become more
acute and require the development of new solutions.
The Sustainable City Conference addresses the multidisciplinary components of

urban planning, the challenges presented by the increasing size of the cities, the
amount of resources required and the complexity of modern society.
This book is being distributed throughout the world in digital as well as paper
format, and archived in the eLibrary of the Wessex Institute at www.witpress.
com/elibrary. This fulfils one of the objectives of WIT, whose function is the
dissemination of knowledge throughout the international community.
The Editors are especially grateful to the Universidad Pontificia Bolivariana where
the Conference took place, as well as to all members of the International Scientific
Advisory Committee for their invaluable help in reviewing the papers contained
in this Volume, and last but not least, to all the authors for their outstanding
contributions.
The Editors
Medellin, Colombia
2015
Contents
Section 1: Urban strategies
FAST Matrix: depicting the time-related aspect of

urban development
R. Barelkowski ..................................................................................................... 3
CAD integrated workflow with urban simulation-design

loop process
M. Berger, P. Buš, V. Cristie & A. Kumar ......................................................... 11
Multi-layered urban strategies to foster the Smart Cities

development
E. Antonini, S. O. M. Boulanger & J. Gaspari .................................................. 23
Urban sustainability challenges: democracy and spatial

injustices in modern Tunisia
A. Mahmoud....................................................................................................... 35
A systemic model of the sustainable urban tourism insertion

in the digital, smart and knowledge city of Mexico City
L. E. Romero-García, R. Tejeida-Padilla, A. G. Ramírez-Gutiérrez
& O. Morales-Matamoros ................................................................................. 47
Compact city and traditional housing areas for urban sustainability:

a case study – Bursa, Turkey
A. Çahantimur, R. Beceren Öztürk & S. Sevgi................................................... 59
The urban block as a potential for sustainable urban design

M. Oikonomou ................................................................................................... 69
Sustainability assessment of an urban neighbourhood

revitalization project in Bogotá, by transposition of a European
indicator system to the Colombian context
A. V. Cifuentes, S. Lufkin, M. Riera & E. Rey.................................................... 79
Monitoring urban storm water: facing climate changes in a
Mediterranean coastal city
N. Veloso, P. Cruz, H. Carvalho & M. Moreira da Silva .................................. 93
Section 2: Planning, development and management
A new approach to simulate buildings and their crucial

characteristics in a comprehensive urban simulation environment
M. Ziegler & T. Bednar ................................................................................... 107
Regional-urban evolution of the metropolitan area of Mexicali

1990–2010: planning changes and challenges
A. Ranfla-González, C. Pena-Salmon, R. Rojas-Caldelas,
O. Leyva-Camacho, E. Corona-Zambrano & C. R. García Flores ................. 119
Can urban planning deliver sustainable outcomes:

measuring the association between urban structure and form
and sustainable household behaviour
M. Grosvenor ................................................................................................... 131
Urban expansion evaluation from orbital images

F. H. S. Ribeiro, S. C. Bettine, R. M. Longo & A. C. Demanboro ................... 143
The management of informal settlements for urban sustainability:

experiences from the Campania Region (Italy)
F. Forte ............................................................................................................ 153
Low-income sustainable dwelling

C. Cerro ........................................................................................................... 165
Humanitarian development in Africa

L. Mnyandu ...................................................................................................... 173
Incorporation of LEED criteria into architectural design process:

a strategy to increase construction quality
J. F. Fandino, D. Castro-Lacouture & D. Arango .......................................... 179
Section 3: Landscape planning and design
Design and management of the metropolitan green belt of

Aburrá Valley, Colombia
L. C. A. Patiño & J. L. Miralles i Garcia ........................................................ 193
Green networks: a solution to the Urban Heat Island effect

C. Johnson ....................................................................................................... 205
Section 4: Environmental management
Life cycle assessment of residential buildings:

a review of methodologies
D. M. Petroche, A. D. Ramírez, C. R. Rodríguez, D. A. Salas,
A. J. Boero & J. Duque-Rivera ........................................................................ 217
Urban imaginaries and the sustainable city

S. Mejía-Dugand, O. Hjelm & L. W. Baas ....................................................... 227
Application of hydrogels on highly polluted affluents:

the leachate
R. Cioffi, C. Ferone, G. Perillo & F. Sorrentino ............................................. 239
Section 5: Planning for risk and natural hazards
An assessment of measures for the prevention of the origin

and consequences of a selected group of exceptional events
in a territorial unit
J. Betáková, R. Zeman, T. Pavlenko & J. Dvorský .......................................... 251
Linkages among the challenges in mainstreaming climate

change adaptation into local land use planning
S. C. Cuevas ..................................................................................................... 263
Assessment of selected risks in the process of the creation and

preparation of a municipal territorial plan
J. Betáková, R. Zeman, J. Dvorský & T. Pavlenko .......................................... 275
Section 6: Sustainable energy and the city
Transition to sustainable city: an integrated design approach

for transformative districts – a proposal for replicability
A. Boeri, V. Gianfrate, D. Longo & E. Palumbo ............................................. 289
Buildings’ energy demand modelling for sustainable

decision support
S. Fritz, J. Forster & N. Rab............................................................................ 301
Spatial simulation environment for decision support

J. Forster, S. Fritz & N. Rab............................................................................ 313
Section 7: Transportation
BRT in metropolitan regions: two examples in Brazil

J. Waisman ...................................................................................................... 325
An approach for the evaluation and implementation of mixed

rail operations in harmony with non-motorized trails and
urban structure: the case of Xalapa, Mexico
D. Camacho & U. Martin ................................................................................ 335
Transition pathways of e-mobility services

E. Gould, W. Wehrmeyer & M. Leach ............................................................. 349
Analysis on acceptance of elderly drivers for intelligent

speed adaptation using a driving simulator
R. Ando & Y. Mimura ...................................................................................... 361
Environmental impacts of everyday mobility in Andalusia (Spain):

towards a sustainable scenario?
A. L. Grindlay, E. Molero, C. Miralles-Guash & C. Lizárraga ....................... 373
Section 8: Waste management
The definition of an Urban Waste Management Plan:

the case of Genoa
F. Pirlone & I. Spadaro ................................................................................... 387
Mineralogical characterization of urban construction and

demolition waste: potential use as a nutrient source for
degraded soils
E. Mejía, J. I. Tobón, L. Osorno & W. Osorio ................................................. 399
Section 9: Case studies
Tarlabaşı, Istanbul: a case study of unsustainable urban

transformation
M. L. Turanalp Uysal & N. Korostoff .............................................................. 417
Sustainable intraurban cities: the Moema Tinoco Project in

the city of Natal, Brazil
D. Cunha Lima Neto, P. Italo dos Santos Galvão & K. Brandão .................... 427
Climate action plan for the city of La Paz, Baja California

Sur, Mexico: a tool for sustainability
A. Ivanova, A. Bermudez & A. Martinez .......................................................... 439
A rural intervention in the urban context:
an urban-poor neighbourhood agricultural project in
Küçük Armutlu, Istanbul
S. Doyduk, B. Orbey & N. Gurel ..................................................................... 451
Cohabitation between Cartagena and Cartago Nova (Spain)

F. Segado Vázquez & J. M. Maciá Albendín ................................................... 461
Uncertainty in resistance models for historic cast-iron columns

I. Brych, M. Holicky, K. Jung & M. Sykora ..................................................... 473
Author index .................................................................................................. 483

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Section 1
Urban strategies
The Sustainable City X 3
FAST Matrix: depicting the time-related

aspect of urban development
R. Barelkowski
West-Pomeranian University of Technology in Szczecin, Poland
Abstract
The paper discusses the development of FAST Matrix within Fast Simulation
Tool. Matrix is intended to combine and reproduce complex relations between the
factors responsible for the efficiency of urban development. Currently apartment
and housing areas have been introduced to the Matrix, and the work defines the
structure of this mechanism, the taxonomy of sets of criteria and selected criteria
in particular, and time-related mechanisms. The paper discusses risks and
prospects of the Matrix, as well as its implementation in further planning tasks.
Keywords: spatial planning, sustainability, FAst Simulation Tool, multicriteria
matrix.
1 Introduction
Spatial planning requires a synergistic insight into complex conditions, factors,
and agents which contribute to the real status of urban areas combined with the
ability to predict the consequences of current state tendencies and decisions, and
at the same time to allow for development and accommodation of the
transformations to come. Planning is focused on the future, attempting to
anticipate interconnected tendencies and patterns, both social and cultural. It is
looking towards the near future, conceivable, definable. Grasping the process of
time-related changes of urban environment in a reliable manner calls for an
individual approach every time, while every city or every town has its own specific
profile, manifests itself as a unique system, unprecedented and distinct to the
extreme – culturally, physiographically, socially, economically and in many other
ways.
The planners are therefore encouraged to employ variety of supporting tools,
helping in the process to understand, analyze, and predict how initial urban or
WIT Transactions on Ecology and The Environment, Vol 194, © 2015 WIT Press
www.witpress.com, ISSN 1743-3541 (on-line)
doi:10.2495/SC150011
4 The Sustainable City X
transformed patterns may evolve. True prediction can never be acquired, but the
predominant trends and influencing factors can narrow down the available
scenarios. These scenarios may provide useful and significant input to achieve
efficient management, planning, development of structures, and in particular
sustainable development.
Both simple and complex prognostics to analyze and understand variety of
development scenarios, to consider flexible approaches to the problem of urban
growth, are currently employed worldwide [1, 2]. The prognostic tools must
incorporate the second fundamental component, crucial for successful planning
practice which is exemplified by integrated impact assessment – preceding the
consequences of real-case considerations, with direct pressure of developing
enterprises.
In this paper an important element of FAst Simulation Tool (FAST) system is
presented – the one responsible for simulation formulas, processing the time-
related aspect of urban development. FAST Matrix builds multi-trigger reference
for the simulation and provides the core prognostic mechanism for the majority of
FAST modules. First, short introduction of the system is delivered. The intention
to discuss the role of the matrix and its structure, acknowledging the taxonomy of
a multitude of features, stimuli, and data is brought forward, then. It is also
indispensable to point out the formulas defining the prognostic algorithms. Finally,
the paper considers difficulties, risks, and imperfections pointing towards
necessary future error corrections, improvements, and extensions of the matrix as
well as the system itself, and at the same time perspectives of its further use.
2 Attempting to decrypt complexity: FAST Matrix

In 2014 a research team was established in order to elaborate the application with
the main goal to deliver simple tool to support low level development decisions,
mainly on basic level of local governments. The simulation of the development of
urban structures has been designed as open structure giving the opportunity to start
with selected, most expected modules – in described case housing area analytic
tools and renewable energy site assessing tools, and then subsequently to deliver
next modules – for industrial areas, service areas, and others. The concept is
intended to serve not only qualified planners and urban designers, but most of all
decision makers, which in Poland means most often local authorities [3].
FAST focuses on morphology of urban structures, and its development in time-
space dependent on specific environment features found in particular place and
correlated – in regards of spatial properties of researched area – in a matrix
comprising over 100 various factors. It uses prognostics based on multi-criteria
assessment of the initial status of the area, considers the adjacent and more distant,
yet influential components of built and natural environment, supporting or
compromising harmonious development. It emphasizes not only the areas and
their content (inhabitants, functions, infrastructural systems), but it simulates (in a
simplified manner) interrelations between elements of urban structure as well as
urban processes.
The research has been constructed with variety of supporting methods

reinforcing the main concept of FAST system elaboration based on heuristics [4].
The supporting methods, e.g. methods of observation, classification methods,
statistical methods, served the purpose of independent extraction of crucial data
and error elimination in comparative procedures, with multiple verification of
observable results as referential for the establishment of test algorithms.
The environment, both natural and built (civilization related) is a complex
construct, evolving in a specific manner in which while several evolution patters
can be easily discerned, it is not possible to impose any kind of standard causal
connection between static initial configuration of the environment and its status
being the result of impact of multiple factors of unique composition [5]. This level
of complexity, found also in other systems or relations, has led Kay et al. [6] at
the turn of the century to address the issue and propose an alternative approach
based on dynamic fluctuations of those systems – classifying them as holarchic
systems. Originally developed for social or ecological self-organized systems,
Self-Organizing Holarchic Open (SOHO) developed Arthur Koestler’s notion of
holon into an extended and convincing description of blurred fluctuating hierarchy
of various environmental components and determined behavior, in which no role
is attributed permanently and the systemic patterns are able to shift seemingly
unpredictably [7].
Justifiably dos Santos [8] points out that in planning a significant shift has taken
place changing the practice of undertaking the attempts to determine the future
into the process of considering the possibilities of the evolution of the system.
However FAST attempts to go beyond proposed narratives, e.g. descriptive
parallel scenarios, providing direct visual representation of a process. What is
distinguishing for the system is its time-related approach to the problem of
development of urban structures, as described by Janusz and Wardeski [9]. The
time issue manifests itself in many aspects of spatial development. It refers to the
rate of physical development, or how fast certain area can grow, densify, or
transform in any other expected way. It corresponds to time-related infrastructural
network expansion or transportation systems extensions. It can be found also in
socio-economic, programmatic and organizational patterns strongly influencing
the outcome of urban processes.
FAST Matrix is the vehicle to negotiate the individual configuration of the area
under research, establishing its specific holarchic structure. Spatial focus of the
tool substantiates sets of criteria and the concept of simplicity validates the
elimination of considerations on details of more complex social composition. The
structure of the Matrix is organized in two blocks – the first determines five sets
of spatial criteria, and the second depicts the site related organization of
development process. Spatial aspect of the development makes infrastructure and
media a crucial set of ten criteria dependent on the rate of saturation, generating
the K1 factor. Fourteen diverse criteria are dedicated to reflect the potential of
transportation systems and road network, the K2 factor. There are twenty one
aspects of typology of urban structure. Typology is strictly connected to function
anchored in particular area, thus housing areas will be defined by detached
housing, semi-detached or row housing, dense mixed housing, multi-apartment
buildings and more. Generic factor for this set is K3. Matrix contains area related
criteria – an extended set of thirty, totally contributing to generic K4 factor. Zone
characteristics, access to attractive components of urban environment, the vicinity
of oppressive components of the city (e.g. railway, heavy industry), the
interpretive mechanism for CORINE Land Cover classification [10, 11], and
demographic statistics are included in this group. The fifth set of factors is time-
related – it reflects the saturation of examined area with various objects,
institutions, investments. Programmatic contents, like e.g. sports facilities,
education facilities, access to health care, instead of scenario based on
deterministic assumptions, mix wide range of information allowing to generate the
resultant triggers jointly responsible (with other criteria) for the ultimate rate of
the development of housing areas. The largest set containing thirty six various
factors complete 111 modifiers of the first block of the Matrix, and this last set has
generic timeline factors of K5.n, where n corresponds to the timespan, a division
of total time under examination. Joint factor has been assumed as Fu.
The practice of spatial planning is always bound with the time span of the
analysis. While short term predictions on a small scale are usually accurate, long
term simulations or large area characteristics made the effort of establishing the
valid scenario much harder, if possible at all. Practical time scale implemented in
FAST Matrix is limited to 15 years including feasible, and economically efficient
perspective of urban development of the area. The establishing of relationships
between various sets of criteria with the acknowledgement of the timeline required
the observation of multiple cases, analyzing of many various environments in
order to understand the patterns of urban evolution. These observations were
conducted currently in the area of Poznan, on the group of 22 diverse development
areas. Particular interest was put on the examples of suburban areas, so typical to
liminal municipal territories, both as an expression of studying urban sprawl in
Poland and understand specificity of Polish land use as well as conditions shaping
land use transformation. While FAST allows to diagnose basic interactions
between the areas, including significant objects included in the Matrix, it was
manageable to simultaneously visualize selected impacts, effects imposed on
suburbs [12].
In the course of the research more complex model of the development of urban
structures appeared to be necessary. The working formulas have to be established
as continuous, while iterative components were responsible for the instability of
the model.
Referential time Tr has been set to 15 years. Time flow was set to be measured
after every five years of the development and this periodic approach was also
implemented in several time-related criteria:
- for 0 years Matrix generates K5.0 factor,
- for +5 years Matrix generates temporal development factor Ft(d1), where “1”
stands for 5 year timespan,
stands for 10 year timespan,
stands for 15 year timespan.
The initial moment is determined by the formula:

Ft(d0) = K1 * K2 / K5.0 (1)
The moments “+5”, “+10”, and “+15” yrs are determined by formulas:
Ft(d1) = Δt(x1) * K5.1 (2)
Ft(d2) = Δt(x2) * K5.2 (3)
Ft(d3) = Δt(x3) * K5.3 (4)
Team assumed that the specific nature of investigated problem encourages the
implementation of heuristics. It was not possible to establish clear, unequivocal
causal relations for the majority of factors, this problem being intensified when
relationships between factors have been discussed within the team. The search for
an appropriate formula
The ratio of subsequent intervals depicting the dynamics of the urban
development is derived from the above constituent strings. The first 5 years are
determined by the formula (5), but the remaining two five year intervals are
described by the formulas establishing ration between the first and the second
period to be considered, respectively:
R0>5 = (K1 * K2 / K5.0) / Ft(d1) (5)
R5>10 = Ft(d1) / Ft(d2) (6)
R10>15 = Ft(d2) / Ft(d3) (7)
thus the dynamics can be calculated as ratios between the intervals:
Dasc = [(K1 * K2 / K5.0) / Ft(d1)] / [Ft(d1) / Ft(d2)] (8)
Ddes = [Ft(d1) / Ft(d2)] / [Ft(d2) / Ft(d3)] (9)
The coefficient generated by the first block of the Matrix is thus presented as
the ratio connecting the dynamics of the development in its ascendancy (the first
to the intermediary period) to the dynamics of the development in its descendant
phase (the intermediary to the final period considered). Urban time-related
development therefore may be written down as:
Utrd = {[(K1 * K2 / K5.0) / Ft(d1)] / [Ft(d1) / Ft(d2)]
/ [Ft(d1) / Ft(d2)] / [Ft(d2) / Ft(d3)]} * 1 / Fu (10)
Thorough analysis of examples from Poznan, Murowana Goslina, Oborniki,
Rokietnica, Skoki, and Kobylniki, selected for the research proved the importance
of the acknowledgement of the second block of information. Three sets of data
have been connected by the formula: size of the area, organization of the
development (organization type, e.g. general contractor or turnkey development),
and number of active players (participants of the developmental effort). The
relationship between those three elements has been ascribed as rational function:
Fx = -A / [(x / 2B) + C] (11)
where “A” corresponds to area size, “B” to the type of organization of

development within the interval [3, 5], and “C” to the active cooperating parties
sharing their efforts in order to acquire the hypothetical total saturation of the area
(with arbitrarily scale set accordingly to the number of participants). For the above,
if the value of “x” is root, it means that the area has been completely filled, and
that the development has been totally completed (which often is unachievable due
to specific constraints):
Fx = 0 => CS = 1.0 (100%) (12)
While the team was preliminarily searching for less complicated formula to
decipher the connections and relations between the multiple factors affecting the
development, the observations of particular cases led to establishing the above
mentioned mechanisms as a basis for the Matrix, and corresponded to observable
phenomena in multiple sites, receiving max deviation of 13.70% (CS – coefficient
of saturation of an area).
3 Risks and prospects

FAST Matrix is a promising element of the FAST application. Current calibration
of the Matrix has been accurate enough, considering the area of Poznan cases, that
it was implemented to support decision-making process related to development of
multi-apartment complex in Kowanowko, as well as remote location of multi-
apartment complex in Rutki near Oborniki and remote detached housing estate in
Osowo. It is also used in larger development area of Wolne Tory Poznan
redevelopment, the transformation process of old railway sidetracks, unused and
decapitalized nowadays. While the research on the application and the Matrix is
still in progress and its shape is rough, simultaneous alternative analyses have been
performed leading to similar results. Maximum deviation of Matrix algorithms
from independently imposed verification methods, which included the analyses of
statistics, as well as queries, has not exceeded 12%.
As said above, the tool seems promising, but it is important to underline that it
has significant limitations and it proves usable under certain constraints. First of
all, FAST Matrix results cannot be interpreted as data describing final, solid state
of real development. Its role is purely supportive, explaining various
dependencies, intertwined impacts, diverse factors have in distinct environments
and area settings. FAST, and FAST Matrix in particular, depict raw approximation
of possible developmental scenario. It diagnoses potential spatial problems, it
returns population, media, infrastructural data related to development and status
in time, but obviously it does not replicate reality, and most certainly still contains
elements awaiting significant improvement.
Remaining a simplification, the model generated by FAST combines way too
many factors to make the process of adjustment of the Matrix easy. What’s more,
this fundamental risk of invalid calibration is the main source of potential
mishandling of the tool. It is important to notice, that adjustment cannot efficiently
isolate singular factors in order to establish e.g. one sure factor, that can be
eliminated in next calibration – another site will change its impact on how the case
evolves and it will make it almost impossible to atomize the structure of the Matrix
in order to receive better results.
Instead, the risk is controlled, but omitted – heuristics allow for holistic
approach to the problem, and skip the issue of unequivocal determination of
particular components, factors, triggers, focusing on the performance of the whole
system. If the system works similarly and returns results imitating real cases, than
small errors can be assumed as insignificant (if the scale of errors do not exceed
stipulated rates).
The work on FAST is still developing and new modules are being elaborated
(industrial, infrastructural – e.g. for renewable energy developments, already
described and published [13]). Current Matrix was tested in decision-making
support for highly autonomous real estates, built from scratch or with little existing
urban substance in situ. This was the primary goal of the application – to help local
communities and local authorities to understand the consequences of newly
introduced housing areas, spilling outside the agglomeration limits. But according
to the aims of the research both blending and reconfiguration strategies have to be
supported, too [3]. This is the new perspective to process the verification in those
remaining fields and extend the usefulness of the Matrix from newly established
estates to all types of housing quarters. The FAST application as well as its
constituent elements serve the purpose of integrating multiple determinants that
drive the fluctuations of urban structures [14]. The understanding of the city and
its related estates must be considered as a smart combination of observation skills,
unique, adjustable approaches to every particular case, and tools enabling the
testing of variety of development scenarios – repetitive modelling of possible
evolutions will then allow to select an appropriate strategy for sustainable cities of
the future.
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Reseaux d’Entreprise, la Logistique et le Transport CIRRELT, Montreal.
CAD integrated workflow with urban

simulation-design loop process
M. Berger, P. Buš, V. Cristie & A. Kumar
Simulation platform module IX, Future Cities Laboratory,
Singapore-ETH Centre, Singapore
Abstract
The urban space nowadays is considered as an aggregate of large amount of
complex characteristics. Information collected by means of urban big data
approaches play a crucial role in how to understand, interpret and model urban
environments. Simulation models are the best solution for architects, urban
planners and designers to integrate various information about urban complexity
into the design process. The connection between several simulation approaches
within one user interface is still a big challenge to make the design process faster,
more accurate and visually convenient. The interface would be involved in the
modelling process, pre-processing, simulation, post-processing and visualisation.
A CAD integrated user interface is proposed where all these particular components
are embedded into one system. The whole process would be based on a workflow
loop whereby each component will be depending on the previous cycle. As a case-
study of such a principle we establish an extendable modelling and simulation
platform connected to a user through the game-engine Unity3D in order to achieve
a robust interactive environment. The model platform operates with real urban
conditions of an existing part of the city of Singapore and simulates the distribution
of traffic’s heat within the investigated environment. Based on the simulation
results the user can configure more proper spatial scenarios within the urban plan
in different variations. The proposed system would help architects and urban
planners to enhance their decision repertoire during the design phase and allows
them taking into account more complex information about the urban entirety. The
result of the research is therefore a computational decision-making tool with
enhanced visual output.
Keywords: CAD integrated urban simulation, urban modelling workflow,
simulation-design loop, multi-simulation user interface, simulation integration,
UNITY3D engine, interactive urban modelling.
doi:10.2495/SC150021
1 Introduction: simulation models in urban complexity

1.1 Big data in urban modelling
The term big data will be used here in two different ways. First to describe the
huge amount of data and information available about the built environment, which
helps us understanding the historic and larger concept of a city, whereby the
environmental behaviour, population data, infrastructure data, vegetation and
other related data can be combined to use for architects, urban planners, designers
or other government body in order to setup the guidelines for further consideration
in a decision making processes regarding the improvement of the public urban
space. Secondly, big data is a data acquisition approach, rather tapping public
available sources (e.g. online or meta data from social platforms) and using the
crowd (of citizens) to provide input.
1.2 Motivation
This paper will use one case study, exemplary for the framework of the big data
approach. In particular it will deal with the anthropogenic waste heat from traffic
and its distribution within the urban environment in order to simulate the micro-
climatic conditions in selected areas of Singapore. Such an observation will yield
visual and understandable information about heat and thus outdoor thermal
comfort within the investigated areas and would serve as a base for further
consideration during the planning process in terms of improvement of the urban
environment. Understanding the traffic’s urban heat emissions as a significant
issue in the tropical cities, the planning and decision-making processes should
became a legitimate part of the particular zooning processes.
Simulation and modelling gets a different meaning if you look at it from
another perspective. We worked closely with engineers from TU Munich at the
TUM CREATE office in Singapore, where they study electric mobility. Their
teams on simulation of agent-based transport on macro scale and on the car’s
component-based model together with the modelling and optimization group
provided the background data in terms of vehicle-related input to our simulations
and models in CAAD.
2 Simulation-design loop workflow

There are varieties of information which need to be considered and involved into
the design process. A flexible data exchange, as we propose, between various
simulation approaches within one integrated system can influence the design
proposal more efficiently rather than conventional design process with different
software toolsets that provide wide range of single top-down outcomes.
2.1 Workflow definition
This integration of complex information into the design workflow would yield a
successful decision-support medium in the selection of an appropriate design
scenario, driven by customized simulation platforms. In that manner design

alternatives are tested in each iteration within a simulation looping process that
can be run several times and receives direct feedback from the user (Figure 1A).
However in this context several questions remain to be answered: How to integrate
in a convenient way a variety of customised simulation and analysis platforms
Figure 1: A) Workflow of iterative simulation-design loop. B) Data flow

diagram within the whole simulation-design loop process.
with a CAD modelling environment into one system? How is it possible to

efficiently evaluate design alternatives in a visual and interactive user-interface,
even on a real time basis? How can user interact and interoperate with such a
robust environment? In the intention of a framework where a design environment
that supports interaction by engaging a data and cooperation strategy for
exchanging information between particular parts in the workflow, [1, 3] we
propose a CAD integration of urban simulation into one looping interactive
process. The system would provide results outside the BIM-based design
environments and turns to a fully serviceable, extendable and scalable parametric
modelling interface with direct (and interactive) user inputs and control in a full
customized environment.
2.2 State-of-the-art platforms
Many workflow systems are existing nowadays, with different functionalities

covering a wide range of scientific disciplines. In the context of architecture a
system, DEEPA is currently being developed by Toth et al. [2] as an integrated
Generative Components plug-in in terms of energy simulation design support tool
focused on a building scale and its energy efficiency. Similarly, many simulation
systems have been developed so far as add-ons for the Grasshopper software, with
different levels of interactivity and the design support feedback focussing more on
building scale. Grasshopper add-ons developed by Roudsari [4], such as Ladybug
or Honeybee [5], provide an almost instantaneous feedback on design
modifications, however operate with a very straightforward workflow base and
data format. The urban information modelling and simulation platform provided
by Aschwanden et al. [6] uses procedural modelling upon a GIS-database in order
to achieve generated rule-based 3D geometry within CityEngine environment.
This system is clearly structured and operates with precise datasets. However, it
provides a single geometric solution only with lack of direct feedback onto the
design process. As well it uses different specific application for each type the
simulation is executed.
2.3 Iterative simulation-design loop
This paper is rather focused on the observation of the potential integration of

custom-based urban simulations and tools into one parametric visualisation
environment as an adaptable and scalable system. In particular, the research
concentrates onto simulation models in an urban scale integrated into
Rhino/Grasshopper, driven by a user connection based on Unity3D’s game-engine
system, which shall be a fully interactive and open-source environment. The
overall process in principle is demonstrated on Figure 1B. The simulation and
design process will take into account openness for multi-scale urban information
based on GIS/CAD data transformed into a parametric representation whereby the
user is allowed to modify various geometric parameters in the model via a
graphical user interface, e.g. Aschwanden et al. [6]. The middleware system has
been established within the Grasshopper application as a user-defined parametric
3D modeller and connection, and furthermore as a data converter platform
between external simulations. This is based on data exchange in a pseudo-real time

process of dataflow. Grasshopper is a visual programming tool which allows the
user to implement various parameters into the model and keep the modelling
history still accessible during the whole modelling process. The simulation itself
is a custom-based process developed in Python language as an external source.
The simulation results are written into a datasets in a post-processing step, and can
later be visualised in the Unity3D system. The connections of the data flows in the
whole process and between particular parts are represented in the workflow
diagram, Figure 1B.
3 Case study simulation model scenario specification

A case study of a specific simulation scenario has been created in order to observe
simulation-design loop process with the visual outcomes. As such, a selected part
of Singapore has been considered into the framework of the simulation process,
Figure 2.
Figure 2: Axonometric diagram of the investigated part of the Ayer Rajah

expressway (AYE) in Singapore, 1°18’44.0” N 103°45’44.8” E, scale
1:4300.
There is a long-term issue of the traffic heat and traffic noise occurrence in
tropical cities which directly and negatively affects the comfort and quality of the
urban area in terms of comfortable liveable place [7, 8]. This paper is focused on
the heat distribution issue within the city environment located at the AYE road
nearby Clementi district in Singapore. The aim of the simulation is to understand
how the traffic heat is distributed within the local city space in order to find an
appropriate way how to improve the spatial qualities and environmental conditions
of the investigated environment. The selected part represents a typical urban
situation which consists of the main traffic road surrounded by green vegetation
and housing settlements. The high-resolution 3D model of the selected area has
been prepared for the simulation in a geometric base. The simulation contains an
agent-based traffic definition of the car movement in the 100 meters long route
based on SEMSim application definition from the TUM CREATE. The traffic’s
heat distribution is modelled by means of cellular automata representation (CA)
as an appropriate simplification of the dynamic urban phenomena simulated by
Wagner et al. [9]. 3D cellular automata are used as well as an appropriate visual
representational form of urban heat distribution taking into account the spatial and
physical conditions of the selected area. In that way CA are capable to simulate
the heat distribution even through the air. The middleware platform defined in the
Rhino/Grasshopper application serves as a main data communication channel
between the particular parts of the whole simulation process.
4 User-defined interface-middleware platform

The middleware is established as a parametric 3D modeller and it serves as a data
connection between the geometric 3D model of the investigated area, the agent-
based model, and the cellular automata in a single simulation platform.
The data flow principle within the middleware platform is represented by the
diagram in Figure 3. The parametrization of the 3D model yields an advantage of
the fast remodelling process for different spatial scenarios of the area.
Figure 3: Systemic diagram of modelling process in the framework of the

established middleware system.
By means of Grasshopper the user is allowed to specify geometric

characteristics of each building parametrically – number of floors, construction
height, sizes, etc. as in Figure 4. It is possible to define properties of the
investigated part of the road – number of lanes, height level, size of the each lane
and pavement, size of the green area alongside the road and establish the tree
library into database within the model with various properties-height, type,
number of trees and the size of the populated area by the trees, see Figure 5. For
the cellular automata simulation one can transcript the high-resolution geometry
into the simplified voxelized representation in order to define a base for CA
simulation, Figure 6. The model allows user to re-write its 3D geometry into CSV
data structures.
Figure 4: Parametrically user-defined geometry of buildings. User interface

with a control panel. Parameter sliders regarding the number of floors
are highlighted in red.
Figure 5: Parametrically defined geometry of the main road and the tree library.
Figure 6: Scenery after voxelisation process-base for the CA simulation pre-

processing. It is possible to specify the resolution of the voxels for
each part of the model.
The parameter control regarding the geometric characteristics of the particular

parts in the 3D model is accessible via a remote control panel within the graphical
user interface directly in Rhinoceros application.
Once the geometry is specified and an appropriate spatial scenario is chosen,
the algorithm will accomplish a voxelisation of the geometry for the further CA
simulation. Each voxel’s centroid point is written into the CSV dataset defined by
its XYZ coordinates. The route specification in the model is exported into XML
data structure for further implementation into the SEMSim application. Hereafter,
an Octree algorithm divides the original cell size into smaller parts down to the
size of 15 x 15 x 15 cm during the simulation process. In that manner it is possible
to simulate the urban heat in a high-resolution CA representation with a precision
according to the vehicle scale [7].
5 Interactive visualisation environment

Unity3D as a virtual environment plays the role as a bridge between simulation
result and user feedback in terms of incorporation of various data into one
platform. It serves as a medium for performing visual-based analysis in the early
stage of the design process [10, 11]. As such, the game-engine environment is a
part of the simulation design loop whereby visually and dynamically represents
thermal environmental qualities, like in Stone et al. [12] or Berger and Cristie [13].
While users are allowed to change the 3D geometric model using
Rhino/Grasshopper, this decision will usually be made after the exploration which
they have done in the visualisation environment. This interactive visualisation
environment developed using Unity3D is called Visualizer, Figure 7.
Figure 7: Visualizer overview.
Users will start by loading simulation results and the parametrical 3D model.
Both are loaded separately, each with its own load button that will pull the data
upon clicking. The 3D model’s data is taken from in specific OBJ files in the
system, and the simulation result data is taken from specific text files in the system.
Information panels are displayed to show numeric values of simulation result and
the parameters of the 3D model. In the current implementation, simulation result
data is being loaded in a SQLite local database, to allow an ease query for
visualization purposes.
After the data is loaded, the user is allowed to roam freely in the environment.
The camera for the exploration can be moved forward/backward, left/right, and
up/down and also rotated in X, Y, and Z axis. Shortcut function allows user to
immediately see the view from top, bottom, left, right, front or back of the
environment. The viewing range of the data can be adjusted based on user’s
position in the environment, to avoid cluttering of data. Several data filters will
also be implemented, so that user will be enabled to gain insightful knowledge
from the visualisation, Figure 8.
Figure 8: Filtering of temperature data.
As the heat simulation is performed using the CA model in the Octree

algorithm, the Visualizer is able to show data at different level of details – from
the most coarse to the finest level of the Octree. An animation scrollbar with
play/pause button allows the user to observe how the heat is distributed throughout
the time, Figure 9. Users can furthermore use the scrollbar to choose a specific
point of time they are interested in.
Figure 9: Visualisation at different time steps.
6 Simulation informed urban design

The simulation process presented in the framework of connecting
Rhino/Grasshopper and Unity3D allows the user to modify the geometric urban
model intuitively, within the middleware system, based on specified parameters.
Taking into account the simulation results one can have a direct insight into the
heat distribution within the urban area, and one is able to modify the spatial
characteristics, e.g. vegetation size and its position, building characteristics or
position according to the edge of the main road or geometry of the traffic route
and therefore change the spatial character of the urban environment in order to
achieve better results and conditions of environmental quality. As such, the built
environment would potentially be better protected against urban heat (islands).
Visual and spatial information about the urban heat within the urban environment
yield answers not only about spatial reconfiguration of existing urban elements but
offers an alternative idea about elimination of the motor vehicles in the city and
replace them by more convenient solution (electric vehicles) with a direct, positive
effect on environmental qualities.
7 Discussion and future work:

extendable simulation and modelling tool
As the process has still certain limitations and is written in a pseudo real-time
routine, the middleware system needs to be tested e.g. by usage of the UDP
communication protocol by Fraguada [14] in real time interaction with Unity3D,
in order to make the whole simulation-design process faster and more interactive.
Current work focuses on implementation of a scalable data stream from simulation
and geometry, such that an interactive frame rate is achievable. Measures on
parallel processing (computing) and a more scalable database are possibly
implemented.
On the other hand, the middleware is extendable and scalable modelling tool
that can be updated in every characteristic and its functionalities can be advanced
with new features. The integration of the Unity3D into the computer aided design
connected with the simulation process as a visualisation and interactive tool makes
whole process more convenient and visually understandable for the user.
Furthermore, one could look into implementation of a web architecture such
that simulation result and geometric model data are stored in central database. Web
API can be used by the simulation engine and Grasshopper to inform Unity3D
whenever there is an update. Unity3D will query data from the database for
visualisation.
8 Conclusion
The simulation-design loop system in the framework of Rhinoceros/Grasshopper
parametric model, simulation and Unity3D applications have been established as
a scalable and extendable modelling and simulation tool based on a pseudo real-
time dataflow. The visual simulation result invites the user to further
manipulations of geometry parameters within the middleware system, in order to
obtain better spatial conditions of the urban environment when necessary. The
open and extendable framework of the middleware tool allows urban planners to
integrate various geometric characteristics of the investigated urban environment
into the modelling process, and to send the datasets into various formats for further
simulation and computing. By means of Unity3D it is possible to observe

simulation results in the each step of the simulation-design loop process.
Acknowledgement
This work was established at the Singapore-ETH Centre for Global Environmental
Sustainability (SEC), co-founded by the Singapore National Research Foundation
and ETH Zurich.
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Multi-layered urban strategies to foster

the Smart Cities development
E. Antonini, S. O. M. Boulanger & J. Gaspari
Department of Architecture, University of Bologna, Italy
Abstract
In the last decade, the Smart City model has emerged as a reference concept in
shaping the city of the future, mainly by strengthening the connections between
grids, Information and Communications Technologies (ICT), governance and
people. In this framework, architecture and the building scale seem to be left in
the background, as a residual aspect compared to the role that grids and ICT are
expected to play. However, the integrated design at building and district scale is
an ineluctable backbone of the implementation process, allowing further actions
to achieve effective and innovative paths toward a smarter city. The paper aims
to point out the interrelations between the Smart City concept and the key
parameters needed to manage complex urban environment in real conditions. An
on-going research activity lead in the city of Bologna is summarized, in which
the cooperation between the Municipality, the Department of Architecture, local
stakeholders and companies is aimed at combining hardware and software more
effectively. The goal is to bridge the gap between physical and virtual
components, by setting methods and tools to couple technical aspects with socio-
economic issues that usually feed the renovation processes. It means creating a
tool able to provide and manage information concerning the interactions between
the buildings within the district and the urban fabric at city level. The tool must
perform the integration between ICT and conventional building components, by
collecting data, mapping relations and identifying both conflicts and synergies. A
layered structure is defined in order to cover the most influencing parameters as
well as key crosscutting issue that may influence the smart city development and
effectiveness. The expected benefits mainly concern public administration and
policy makers, to which the tool may provide a support in maximizing the
impacts and the exploitation potential of the innovations at city level.
Keywords: smart city, urban strategies, district, building efficiency, monitoring,
ICT.
doi:10.2495/SC150031
1 Introduction
The access to a large palette of emerging technologies is becoming of vital
importance for human being, especially in urban contexts. However, inhabitants
expect to obtain not only occasional and individual advantages (and even less an
increasing complexity), but also cities and environments more responding to the
fast change in people needs and lifestyles, and more effective in providing
perceptible benefits and useful purposes [1–3]. In addition, the climate change
needs to be adequately faced in urban contexts in order to decrease both
vulnerability and energy consumption. In particular, it is expected that Europe
reduce CO2 emissions by 30% until 2030, and fossil fuel based energy
consumption and related greenhouse gas emissions by 80–90% until 2050 [4].
An on-going research activity at the Department of Architecture of University of
Bologna is trying to provide a systemic vision and methodology to foster the
adoption of effective strategies and solution to improve the development of smart
city model engaging the key stakeholders.
2 Specific context and background framework

2.1 Main challenges for the Smart Cities development and advance beyond
the state of the art
The crisis of the development models in the contemporary city is nowadays

evident, not only for experts, planners and architects, but also for the population
and citizens that have to face new and challenging issues in everyday life [5–7].
Traffic congestion, the poor quality and the carelessness of most of the suburb
building stock, the pollution level, as well as the effects of climate change on
comfort and safety conditions of the built environment includes a number of key
design topic investing several cities across Europe. The design of those
environments and, overall, their management are often the result of economics
and political constraints, rather than of balanced architecture dictates. In
addition, the contemporary city is required to provide adequate answer to:
- the European regulations, imposing a substantial reduction of emissions, an
overall improvement of energy efficiency and environmental urban
conditions;
- the pressure of the market that, despite the impacts of the recent financial
crisis, continue to offer new products and application in the sector of ICT
aimed at making people’s everyday life more smart, while involving at same
time the urban environment and its large scale dynamics (i.e. geo-
referencing apps., etc.);
- the large number of obsolete buildings and neighbourhoods, whose very
poor energy and environmental performances require cost-effective
measures at least for security, network functionality and mobility reasons;
- the “dormitory suburbs” that require revitalization process based on mixed
use;
- the constant pressure of urbanization, which increases the land use, even
when this is not required to shape the city development process [8];
- the increasing demand of resources, due to population and urbanization
growth [3].
Smart City issue arises and feeds into this context of economic and societal
crisis and of widespread shortage of wellbeing and physical resources. The
Smart City concept try to give an answer to all those problems [9], by leading
cities into innovative urban planning with the large use of technologies in order
to make cities cleaner, safer, more efficient and more comfortable [5].
2.2 Key objectives of Bologna Smart City challenge
Bologna, the capital of Regione Emilia-Romagna, is the 7th most populous Italian
city (386,298 inhabitants, with a density of 2,742.43 hab/m2), with a
metropolitan area of about 1 million inhabitants. The city has a significant
endowment of transport infrastructure (airport, train station on the new high-
speed network, the intersection of three highways), it hosts the oldest university
of the west world and one of the largest in Europe (80,000 students) and it ranks
among the top 10 (out of 100) Italian cities for income. According to Smart City
Index 2014 [10] and ICityRate ranking [11], Bologna is one of the most active
Italian cities in developing integrated smart approaches at urban scale, mainly in
the fields of Smart Health, Smart Education and Sustainable Development. As
emerges from these studies, the Bologna approach is one of the most balanced in
Italy, thanks to both the implementation of strategies involving all the main
urban challenges and the synergies between University and Municipality. The
research project, jointly developed by the two Institutions, is mainly focused on
building/district integration, aiming to be an active part of a smarter urban
system, by exploiting grids and technological devices to boost and support the
transition process.
2.3 Smart cities as layered entities: cross cutting topics
The complexity and holistic vision needed by an effective smart model are the
main aspects that have considered drafting Smart City strategies for the city of
Bologna. Since Smart City is defined as the combination of 6 main topics:
economy, people, governance, mobility, environment and living [12] a “Triple
Helix Model” can represent its basic framework, consisting of a connection
among stakeholders, and in particular among university, industry and
government.
The project is developed assuming the Smart City conceptual model as a
multi-layered structure and considering the following key design issues:
- situations that occur in all layers must be known and related as easily and
efficiently as possible, by a tool able both to boost the implementation of
projects into reality and to analyse the interrelations in a holistic way;
- the tool must also operate as a simulator, able to assess the sustainability of
possible solutions for the renovation of the built environment, by checking
their combined effects on all the layers.
A set of both functional and technological layers has been established to

apply within the research, as described below:
- an object layer, describing the objects in which the smartness could be
applied: mobility, environment, districts, grids, buildings;
- an actor layer, describing all actors involved into the Smart City process,
with their interrelations: universities, industry, government, people, service
providers, associations, start-up companies, etc.;
- a technological/monitoring layer, describing all technologies involved into
the project, aiming at monitoring the implementation of the project and its
effects;
- a policy/economic layer, describing all big scale measures that a city have to
implement in order to make the project real: funding, governance actions,
regulations, etc.
In order to perform the expected “smart” effects at city scale, all those layers
have to communicate and interact. The connection can be assured by using a
common tool, relating all stakeholders and all layers, or trough a governance
approach, in which the municipality or another stakeholder take the role of
coordinator.
The project proposes the implementation of a technological tool, assuming
that a shared model make the integration more sustainable even over a long
period of time.
This platform aims at simplifying a complex system into several simpler
parts, defining a clear and organized structure in order to manage the complexity
and to maximise the impacts of potential benefits.
New tools are needed to bridge the gap between conventional approaches to
building renovation and a multi-perspective vision needed to create a real low
carbon environment. To make possible such “crossing overview” knowledge and
experiences acquired in the last decade must be integrated and capitalized into an
operational environment where effective (and specific) solutions can be selected,
simulated and assessed. The development of systematic assessment strategies
and tools able to predict or address the main impacts of the proposed actions
(efficiency, urban quality and environmental sustainability) at different scale is a
great challenge that the research must cope.
3 The Smart City model for shaping the city of tomorrow

The research focuses on three main objectives, which represent the key actions
for shaping the smart city model: buildings, in which smart and sustainable
strategies can be applied whit the specific aim to improve people comfort;
district, in which the space between buildings is considered the mean to boost the
transition of urban context; instruments and tools, aiming to better understand
processes and buildings behaviour in a long term dimension.
3.1 The building scale as place of key transformation processes
The renovation of existing building stock is a key challenge for the EU, to meet
the ambitious goal of decarbonisation: according to Roadmap to 2050,
greenhouse gas emissions are expected to be reduced by 80–95% compared to

1990. The building sector is estimated to be responsible for 40% (or more,
depending on the calculation criteria and the considered boundaries) of the total
energy consumption in the EU [13]. Despite several studies [1, 3, 14] advocate
the potential positive effects of refurbishment of the existing building stock,
several technical and non-technical barriers occur and comprehensive strategies
and measures focusing on the interactions at the district scale are still lacking.
Despite the great efforts that have been made in the past for improving the
energy efficiency of “individual buildings” and achieving effective renovation
actions at building scale, a comprehensive methodology capable of considering
the interactions between buildings at district/neighbourhood scale is still not
available. The main challenges are:
- complexity;
- variability;
- fragmentation of building life cycles;
- addressing building end user awareness.
In order to meet this challenges, the project proposes an integrated approach
for refurbishment, in which the design process is based on an iterative approach
having options carefully evaluated according to specific parameters and the
coherence with the action as a whole. Each step of the design process involves
experts of different disciplines, which tackle the issue according to their
perspective, figure 1. Buildings are defined as a key element for the development
of the city’s smartness, being urban nodes in which all layers can communicate
and interrelate.
Figure 1: Example of the methodology adopted to define the main actions to

be included in the interoperable platform aimed at
addressing/supporting multi-player decision processes.
The key importance of buildings is defined by different actions into the

project:
- the refurbishment, starting from social housing and public buildings, which
considers the renovation of façades and the implementation of architectural
devices as means to reduce overheating in summer and to improve solar
gains in winter. The refurbishment of building is pursued by the
implementation of passive solutions as well as with the integration of
innovative RES solutions, both thermal and PV;
- the installation of sensors and automated devices able to collect data and
monitoring the building behaviour, in order to increase the end-users
consciousness and the adoption of positive behaviour toward a more
sustainable lifestyle.
To achieve those actions, the project proposes to stakeholders a Renovation
Kit, in which different standardised solutions are provided according to main
geographical contexts and climate profiles. The project assumes that despite it
not being possible to provide a unique design solution in all contexts, some
standardised configurations could be a good starting point to develop specific
tailored responses. Building refurbishment projects have a vital importance for a
sustainable future and they cannot be efficiently managed by current one-
problem-one-solution technical approach. The Refurbishment Kit developed by
the project, instead, aggregates solutions and renovation options according to the
level of refurbishment that the end-user wishes to reach. The innovation potential
of this tool is based on the opportunity of classifying refurbishment works in a
limited number of kits, delimiting their scope and thus the range of possible
technical solutions to apply, the involved agents and the request budget.
Although the uniqueness of each building will be considered at the end of the
process, to define the specific refurbishment works to be done, the Renovation
Kit gives the opportunity to boost refurbishment by cataloguing several
renovation solutions.
3.2 The district as nodes of multi-layered smart city
To be “smart” the whole city must act in a holistic way. However, this integrated
behaviour requires an effective management of a wide number of variables and
the combined effect of multiple dynamics, affecting each part forming the urban
system.
Since the problem in its whole dimension was perceived as not approachable,
the traditional approach to the urban management operates on each part by
specialized tools and sectorial strategies. The intermediate dimension of the
district scale offers a more interesting issue: all actors of the process could be
involved, both in economic and social way (for example by implementing fab-
lab or co-creation activities for the development of the district) and all
technologies could have their application. To implement the Smart City process,
a district or a set of district could be an easier scale of intervention, also to made
tests and pilot projects.
A comprehensive district approach to renovation offers the most likely and
effective scale at which the overall goals of a sustainable city can be addressed.
District and buildings refurbishment could be a key area where the impact of
innovation is expected to create socio-economic changes, including tools and/or
solutions that allow a smarter approach to energy efficiency principles, through

the adoption/integration of ICT empowering communities and end-users, figure
2.
Figure 2: The interoperable platform architecture is based on a strong

connection between ICT tools and the buildings in order to have a
feedback at district/city level. The platforms enable the
refurbishment kit to be applied in several demonstration cases
involving the stakeholders by living labs and a dedicated discussion
area.
In this framework, not only the building in itself but also the shared space
between buildings assume a great importance, and the connections between
indoor and outdoor conditions, the district with its grids, as well as the different
actors of the refurbishment actions.
An integrated approach on the refurbishment at district level has to consider
different steps:
- to define key design parameters and interrelation between buildings at
district scale, by the mean of clear and measurable factors (considering the
specific climate conditions), to develop mitigation actions improving
comfort conditions;
- to define design and management settings to be applied in the operational
environment: design strategies (at building and district scale), technical
solutions (for heating/cooling, ventilation, domestic hot water production –
including renewable energy sources, thermal storage, electrical energy
production and distribution, building envelope systems, building
components), construction processes, building management system/district
management system;
- to combine energy efficiency with cost-effective standards at district level;
- to create a refurbishment products and solutions production/supply chain;
- to create adequate geo-clusters in order to manage the complexity of the
existing building stock and to obtain a homogeneous set of aggregated data
to be used as key indicators in large-scale interventions;
- to provide decision support and fault diagnostic tools, that use models of
regular operation (based on time series and statistic correction to identify
abnormal events) integrated with support for simulation and what-if
analysis;
- to define bottom-up interactive and interdisciplinary activities, adopting
participatory design methods and tools, to raise awareness and acceptance of
sustainable energy use and promoting behavioural change towards energy
efficient sources and technology.
The main actions at district scale perform different approaches, depending on
the urban context in which they are applied, but referring to those general
strategies:
- heat-island mitigation, by acting on surfaces, green pavements and
innovative façades materials, able to contribute to outdoor thermal and
environmental comfort;
- water-management, by acting on greeneries, rain storage and also
implementing positive and sustainable attitudes of end-users (for example by
promoting the use of courtyard or roofs as urban vegetable gardens);
- data collection, by the implementation of technologies aiming at both
simplifying people life (by acting on slow mobility, electrical mobility,
intelligent traffic systems, intelligent parks systems) and collecting
important information on the effects of the project and its possible
improvements;
- people participation, by creating social and economic opportunities to boost
a community identity, as well as co-creation and participation processes to
implement refurbishment strategies.
3.3 Interoperable platform for maps and data management
To foster the development of a built environment transition strategy, an

interoperable platform is proposed to support decision makers and stakeholders
in selecting design solutions, priority of intervention, predictive maintenance
programs, life cycle assessment, etc.
The platform is designed as a user-friendly tool able to provide data and
analysis and to share knowledge and expertise between stakeholders and end
users. In particular, the tools take into account:
- integration of smart metering devices and sensors installed within the
building and management system at district level, monitoring indoor and
outdoor conditions, energy consumption, user behaviour, and providing real
time data to update a queryable GIS dashboard;
- assignment of digital ID to buildings and systems, in order to create active
catalogues and data registry;
- creation of a management tool to supervise heating and cooling systems,
energy generation, grids at neighbourhood scale, energy demand and peaks
at district level;
- involvement of district communities and end users through ICT and apps;
- definition of a participatory design tool based on a socio-economic analysis
at district scale;
- identification of built environment refurbishment needs and opportunities,

facilitating market growth and jobs creation.
In order to foster the change from high emission district to low carbon
district, the platform provides a set of integrated refurbishment kits, tuned on
clear and measurable parameters to be adapted and replicated in different
contexts.
The refurbishment kits provide solutions combining excellent design concept
and effective technical performances for the building envelope implementation,
the grid optimization, the achievement of optimal comfort conditions, and the
integration of interrelated tasks. The Refurbishment Kit is thought as a set of
solutions that can be adapted, replicated and tuned to the specific site conditions
in order to maximize their impacts at building and district scale, figure 3. The
tool aims at generating a positive impact on the quality of the built environment
at urban scale, focusing on in between spaces as key-quality drivers.
4 Impacts, replication models and conclusions

The research aims to answer three principal needs:
- understanding the Smart City model complexity, by analysing how the
different layers interact and how the building dimension could become an
interconnection point among grids, power systems, monitoring systems and
end-users;
- boosting the transition toward low carbon cities, assuming the district as
optimized scale of intervention and the retrofitting of buildings and space
between buildings as starting point;
- simplifying the interconnection among stakeholders, supplying fast and
effective answers to common urban problems.
As a consequence, the methodology adopted by the project includes a first
phase in which different strategies and case study are analysed in a critical way,
followed by an applied research stage focusing on the specific context of
Bologna and Mediterranean urban contexts.
4.1 Monitoring as a support tool
One of the ways to exploit the pervasive presence of ICT devices for useful
issues is to withdraw information from them and collecting these data to feed
management processes. The research plans the installation of different devices
on buildings, such as sensors and data collectors, as well as semi-automatic
knowledge dissemination systems. So the building is assumed not only as a
comfortable system to housing people, but also as an interactive device able to
play different actions:
- to collect data. Mainly aggregated data at building/district level are
important to draw maps of the behaviour able to deep understand some
important climate issues, as heat-islands, indoor and outdoor comfort,
ventilation strategies, overheating analysis or solar gains strategies, water
management;
Figure 3: The Interoperable Tool is based on a multi-layer structure that is

aimed to describe the complex and interrelated topics that are
involved in the development of smart district/cities. The tool enables
the management of several data set in order to optimize the design
solutions to be delivered in each specific situation according to the
needs in a balanced and sustainable vision.
- to manage data in an automatic or semi-automatic way. It becomes

important that the building could act directly, without the human
intervention, on some parameters (for example to limit overheating);
- to control actions. Data processing can allow different actions, done by end-
users or building managers, or taken in automatic way;
- to share knowledge among end-users, in order to train people to better
understand building and sustainable behaviour; and among stakeholders, in
order to improve urban strategies and technologies.
4.2 Impacts at different scales and replication
Refurbishment actions at building and district level could bring excellent

opportunities to reduce energy consumption and to encourage the adoption of
other sustainable principles concerning citizens’ healthcare, environment

protection, rational use of resources and stakeholders groups’ awareness. One of
the project aims is the development of tools and methodologies able to accelerate
refurbishment actions at district scale through user-friendly interfaces, cost-
savings solutions and integrated engagement of stakeholders. The main impacts
expected by the use of this kind of instrument are the following:
- more communication and cooperation between stakeholders. The
improvement of communication and cooperation between stakeholders
could have an immediate positive impact in the short term and, at the same
time, its achievement will provide long term outcomes;
- more effective time management. The project is also aimed at developing an
open management system capable of supporting not only the design phases
but also operation and maintenance at district scale as well. The adoption of
faults diagnostic tools will allow to detect performance anomalies, system or
equipment failures and to provide alert messages in order to boost prompt
corrective measures. This dedicated tool is aimed to reduce faults, increase
adequate reaction, maximize occupant comfort conditions and make
buildings more economically competitive;
- more cost-effectiveness;
- more effective performance assessment;
- optimised design of integrated energy-efficient buildings, considering the
different physical dimensions in a holistic perspective. An optimized design
ensures an effective connection between the several aspects of the
refurbishment action avoiding a number of different problems associated
with the loss of key information generated during design phase, construction
and operation;
- quantified performance objectives in compliance with regulation and user-
oriented comfort expectations and constraints.
4.3 Conclusions
The proposed methodology, as well as the platform, is assumed as a tool to

support and address the development of the city vision. The process is based on a
wide replication potential that invests several areas of the city after the pilots
have been completed, as well as a number of similar cities in Italy and Europe
where the tool set can be adapted for the specific context.
The envisaged methodology includes a number of different key parameters
which are related to specific layers of information that the platform enables to
manage with the goal to address the design and the development of the involved
areas. This means the integration of ICT and conventional or innovative
components represents the main driver to make the building smart increasing the
connection level and providing access to several services and potential
opportunities. Each single building can be associated to a sort of ID card that
enable the platform to index information from different data set and the re-
aggregate data according to specific filters. This way specific strategies
concerning energy behaviour, trends and demand as well as other key parameters
can be developed and managed at district scale reshaping vast parts of the urban
fabric by a systematic vision that keeps together any single intervention

delivered at building scale.
Described methodology and tools try to provide an effective answer to the
need of Municipalities to have the chance to connect information coming from
different sources an investing the built environment at different scale so that to
plan the most suitable option to profitably invest the available resources and
maximize their impact at city level.
References
[1] IBM Institute for Business Value, Smarter city for smarter growth. How
cities can optimise their systems for the talent-based economy, IBM
Global Services, 2010.
[2] United Nation Population Fund (UNFPA), The state of world population
2011. People and possibilities in a world of 7 billion, USA, 2011.
[3] GIZ and ICLEI, Operationalizing the Urban NEXUS: towards resource
efficient and integrated cities and metropolitan regions, GIZ Eschborn,
2014.
[4] ESPON, Third ESPON Synthesis Report. Territories finding a New
Momentum: Evidence for Policy Development Growth and Investment,
Luxembourg, 2014.
[5] Hajer M. and Dassen T., Visualizing the Challenge for 21st Century
Urbanism, Ed. naio10publisher/PBL publishers, Amsterdam, 2014.
[6] Kramers A., Hojer M., Lovenhagen N., Wangel J., Smart sustainable
cities. Exploring ICT solutions for Reduced Energy Use in Cities,
Environmental Modelling and Software, 56, pp. 52-62, 2014.
[7] Nam T, Pardo T., Conceptualizing Smart City with Dimension of
Technology, People and Institutions, Proc. of the 12th Annual Int. Digital
Government Research Conf. on Digital Gov. Innovation in Challenging
Times, 2011.
[8] European Environment Agency, Urban sprawl in Europe, the ignored
challenge, Office for Official Publications of the European Communities,
Luxembourg, 2006.
[9] Wolfram M., Deconstructing Smart Cities: an Intertextual Reading of
Concepts and Practises for Integrated Urban and ICT Development, Proc.
of REAL CORP 2012, pp. 171-181, 2012.
[10] Between spa, Smart City Index. Confrontarsi per diventare Smart, 2014,
www.between.it
[11] Forum PA, ICity Rate 2014. La classifica delle città intelligenti italiane,
2014, www.forumpa.it
[12] Giffinger R., Fertner C., City ranking of European Medium-Sized Cities,
Vienna University of Technology, University of Ljubljana, Delft
University of Technology, 2007.
[13] European Commission, Energy Efficiency plan, Brussels, 2011.
[14] Smart City Council, Smart Cities Readiness Guide. The planning manual
for building tomorrow’s cities today, 2013.
Urban sustainability challenges:

democracy and spatial injustices
in modern Tunisia
A. Mahmoud
National School of Architecture and Town Planning,
Carthage University, Tunisia
Abstract
In this paper, the author addresses spatial injustices in Tunisia, and seeks to
understand to what extent social and territorial inequalities could hamper
democracy. Indeed, urban disparities and social anomalies such as informal
sector, terrorism, unemployment, and unsustainable development policymaking
threaten vulnerable ongoing democratic processes in modern Tunisia.
The author described and analyzed the previous urban planning processes,
which had been undertaken by the nation’s mono party state since independency.
The top-down development policies implemented up until now in Tunisia
entailed the deepening of the large gap between coastal and inland areas. In fact,
the former benefitted from their location across the seashores, and their
proximity to the central power and economic growth. However, the latter had
been left behind due to their austere geographical neighbourhood (e.g. desert,
drought, lack of livelihood…).
Urban disparities and social inequalities in Tunisia join in a networked
society where local and global unfold in a globalized world of flows and nodes.
Local societies are subsystems within a global neo-liberal capitalist system.
Hence, the current social movements triggered in Tunisia are not cyclical. They
are amongst global social networked movements. Terrorism, pollution, and
inequalities are not per se, but they are the negative results of a myriad of
factors: economic, politics, cultural, emotional, social, and urban morphologies
syndromes.
Our method is theoretical drawing into literature review of documents (i.e.
town planning documents, reviewed and un-reviewed papers on sustainability,
democracy, territorial and social inequalities in Tunisia since independency. Data
doi:10.2495/SC150041
collected on the topic are worthy of the analyses but we tried to make sure of
their credibility. Our objective is to demonstrate that without a sustainable urban
governance development, democracy faces many hindrances and could be
undermined in Tunisia.
Keywords: challenges, democracy, injustices, space, sustainable, Tunisia.
1 Introduction
Sustainability is often confined to environmental dimensions. It is, indeed, a
multidimensional concept: ecological, economic, and social. Urban and social
disparities are anthropogenic in the way that they stem from human actions on
nature. They are socially and culturally constructed. So we highlight that
sustainable urban development couldn’t be achieved regardless of assessing the
existing urban syndrome, and spatial injustices entailed by previous urban
policies in modern Tunisia.
Our conceptual framework needs to be clarified through epistemological
point of views. Inasmuch, theory is compulsory for any empirical or theoretical
study, we distinguish between inequality and injustice. The former means
disparities and gaps entailed by economic, social, and political processes. The
latter, is related to the legal laws, statutes, citizenship, and the right to the city.
Spatial phenomenon shapes social reality. Talking about spatial injustice refers
to geography and denies social injustices, which are grounded in geographic
space. Spatial injustice as related to democracy, equality, citizenship, and civil
rights (Soja [1]) has new meanings today in the new global neo-global capitalist
liberal context due the deepening of gaps between haves and have-nots.
First, we can postulate that sustainability is ecological, economic, and social.
Then we analyze the phenomenon as a total social fact encompassing all those
dimensions.
Second, the urban and social gaps in Tunisia were entailed by a complexity of
factors intermingling (i.e. geographic, historic, economic, social, and cultural).
The Nation-State implemented town-planning policy-making that didn’t achieve
spatial and territorial equalities.
Third, lack of resources in energy, regional and local conjunctures constitute
hindrances against sustainable development in Tunisia. Accordingly, the
deepening of the socio-spatial gaps could hamper the vulnerable democratic
process in modern Tunisia.
Multilevel governance based on fairness, justice, and accountability is
required in order to fulfil and achieve the revolution objectives in Tunisia.
2 Bisectorial economy and beyond

The Tunisian economy is still vulnerable due to its structural foundations.
Inasmuch, Tunisia – as any other country – is amongst a global network, the
conception of two-tiered economy is not relevant enough to understand economy
syndrome in Tunisia.
In 1973, the first master urban planning plan was undertaken by Town
Planning Direction (Group Eight) along with the new liberal economic policy led
by Hedi Nouira (Deputy Prime Minister at that time) in the aftermath of the State
Capitalism failure in 1969. The subsidies abolition decision triggered revolts all
over Tunisia (3rd January, 1984). The subsidy funds had been created by decree
since French protectorate on 28th June 1945. It consisted to protect Tunisian
households against high rising prices of cereal products. Its objective bypassed
the protection of household’s consumption of power, it also aimed to guarantee
the minimum wages for agricultures in difficulties. Afterwards, the subsidy
funds encompassed more food needs (i.e., milk, meat, energy).
The well-being has been conceived in terms of GDP growth only. Then, we
wonder why Tunisian and Egyptian economy growth were the best in the MENA
and Africa though, uprising sparked in both countries? According to Stiglitz [2]
(Nobel Prize Economist), “the well-being shouldn’t be limited in GDP growth”.
It also has to take into consideration other dimensions (i.e. gender, health,
education, governance). Otherwise, we still remain in the Kenysian and Fordist
conceptions criticized in the sixties by many scholars as Marcuse [3] did in his
book entitled: “the one-dimensional man”, considering the new consumption
society as more repressive and alienating the human being, and so did Eric
Fromm in America in talking about ‘Revolution of Hope’. For Stiglitz, the well-
being calculation must take into account the following: “Material living
standards (income, consumption and wealth), health, education, personal
activities including work, political voice and governance, social connections and
relationships, environment: present and future conditions, insecurity of
economics as well as physical nature. All these dimensions shape the people’s
well-being, and yet many of them are missed by conventional income measures”
(Stiglitz et al. [4]).
In short, spatial inequalities are social and vice versa. Territorial inequalities
in Tunisia are shaped by policy makings and several social and urban actors
strategies.
2.1 Urban gap in Tunisia
Urban planning documents: PAU (Urban Spatial Planning), SDAT (Master Plan
of Town and Country Planning), CU (Urbanism Code), PRAT (Regional Master
Plan of Urban Planning) didn’t fulfil urban policy making objectives. However,
the territorial inequalities deepened sharply in Tunisia.
The results of the parliamentary elections held on Sunday, 26th October, 2014
draws a political map where the Islamist party is still popular in the areas of its
main historic origins, and inland of the country. The central and south-western
governorates feel excluded by the modern nation-state. Nidaa Tunis had the
lion’s share of votes in northern areas of Tunisia. Even though, in the central
west, it shares its votes quite equally with Ennahdha.
The Islamist party didn’t fulfil its promises and then anger aroused among
voters. In the South, many Ennahdha leaders are issued from there, and the
sympathy to the Ennahdha could be explained also by some historic collective
memory, and the past political conflict between Habib Bourguiba and Salah Ben
Youssef (political opponent of Bourguiba about Tunisia’s full independency

from France’s protectorate). Territorial inequalities play a key role in the present
political map of Tunisia.
In their studies on inequalities in Tunisia, Kriaa et al. [5] argued that
inequalities between regions and delegations in Tunisia are correlated to neo-
liberal openness policy making. In fact, the location of foreign companies settled
thanks to the 1972 law was an incentive to foreign development investment. FDI
may benefit relatively to hinterland-disadvantaged areas. The authors highlighted
that “foreign companies may choose to settle in developed areas where
accommodation and facilities exist. Then inequalities between delegations
increased”.
The coastal areas benefited from development policies. More than 60% of
investments are concentrated on littoral areas, mainly Tunis and the North East
and the South East. The new technologies of information and communication,
cosmetic, tourism and refined commerce (e.g. export industries, textile) are
located in the Eastern littoral areas (Belhedi [6]). During an important forum
held in Tunisia in September 2014 many investors from across the world
attended the forum and committed to invest in Tunisia (i.e. economic city in
Enfidha nearby Sousse, financial harbour in Tunis, to name but a few). Would
those projects be achieved in the short-run? Those mega projects would
guarantee around 250,000 job opportunities. In fact, much resilience exists which
could hamper foreign investment in Tunisia (e.g. land planning documents,
growing terrorism, governance).
In the same way, continuing to invest in the littoral would deepen more and
more the territorial and social gaps between coastal areas and hinterland (Dlala et
al. [7]) and the urban syndrome would likely worsen furthermore. It seems that
the same tendency consisting of doing “city for profit persists instead of
making cities for people” (Marcuse et al. [8]).
3 Informal activities and territorial hiatus

Since the seventies, social movements were growing (26th January, 1978) and in
the eighties culminating in economic crisis (3rd January, 1984) when the
government decided to lift subsidies on foods; the president Bourguiba, at the
beginning of the end of his reign, resiliated the government decision in order to
appease the people’s outrage. The miner basin movements (January, 2008)
against recruitment by clientilism, obedience to the regime was led by bottom
trade unions in Sfax-Gafsa Company and in the west of the country, Gafsa. In
the summer of 2010, in the border town of Ben Guerdane, the informal traders
and unemployed youth of the region opposed the authorities, which decided to
close the Ras Jedir Gate. It is the main means of living of many families in the
area.
3.1 Areas of chaos
The urban vacuum or what we can call ‘space of chaos’ (Balandier [9])
characterizing south-eastern, south-western, central-western and north-western
areas is an area of poverty, social exclusion and marginalization due to previous

development policies led by the Nation State. In the south-east, Jeffara area
(south east of Tunisia) is arid where rainfall doesn’t exceed 200 mm per year,
pastoral activities (camels, livestock) is the most important livelihood in history,
agriculture represents around 17.3 of useful agricultural land (Boubakri and
Nouri [10]). Many of the Jeffara inhabitants emigrate to north Tunisia (Tunis,
mainly), to Libya or to Europe where they exert some activities traditionally
well-known in the area Ftaïri (doughnuts maker), bakery, Hammas (dried fruit
seller).
In fact, local populations living across borders, and even in many towns and
villages, are occupied by about 42% informal commerce. A few barons became
the richest; other intermediaries gain their livelihood through informal commerce
with Libya, and Algeria. We can find those informal activities in a broader
worldwide economic network (e.g. US and China commerce deals) amongst
economic competitions between the super powers of the world. Wholesalers in
Libya import goods from China, India, and Turkey and stock them in
warehouses. Retailers from Ben Guerdane and others buy those merchandises
through money exchangers, cambists, who provide Libyan currencies with
interest – sometimes banks – make the operation. The benefits of this commerce
are 50% or more when they are free of custom taxes. The main border station
controls are: Jendouba and Kef governorates in the North West, Kasserine in the
Central West, Bouchebka, and Tozeur in the South West, Ras Jedir in Ben
Gardane South East, Wasin, and Mashhad Salih in Tataouine, South East of
Tunisia (Kartas [11]). Some connivance usually exists between customers,
security agents, and smugglers.
The United Nation’s Habitat report confirmed those practices as follows:
“Such groups can become involved in acts of communal violence in regions of
Asia and Africa. On the other hand, police, especially in Africa, have found
themselves in situations where it may make tactical sense to develop ongoing
relationships with these groups” (UN-Habitat [12]).
In the north-western regions, informal activities are growing among the local
unoccupied population. In these areas, agriculture activities are the most
important ones. Though, some problems of water costs, natural disasters (i.e.
floods, wildfires) undermine development. There is a negative migratory balance
between north-eastern governorates (Le Kef, Jendouba, Beja, and Siliana). Youth
unemployment is very high mainly among university graduates.
In fact, social and cultural capitals play a key role in the social and urban
inequalities phenomenon. The habitus as a system of long-lasting and
transposable capacities (Bourdieu [13]) determines success or failure in
education and society. Instead of developing justice and social equalities, the
education system is a main factor of deepening social, and urban inequalities.
4 Education enrolment disparities

Women’s unemployment reaches about 25.6% against 14.6% rate for men. On
the higher education level, the more graduated women are the most exposed to
Table 1: Youth unemployment in Tunisia. Source: http://i0.wp.com/wg.
15–19 20–24 25–29 15–29 30–34

years years years years years
Tunis District 52.8 52.2 31.9 36.7 18.5
North East 40.5 36.7 29.0 33.7 19.6
North West 50.0 43.8 37.2 41.5 19.6
Central East 22.0 25.1 22.4 23.3 12.1
Central West 61.7 63.2 52.4 57.9 31.8
South East 48.0 53.1 45.8 48.6 26.1
South West 60.2 60.5 53.8 56.5 24.8
Total 43.6 41.8 34.5 38.2 19.0
unemployment (43.5%) in comparison to men (20.9%) in the same year 2012.

Gribaa and Depaoli [14, p. 4] pointed out on this issue: “Girls are less
represented in: engineering diploma (29%), architecture (34.5%), veterinary
medicine (35.9%), physics sciences (45.9%), informatics (47.4%), and
mathematics”. But, women remain vulnerable to more unemployment, poverty,
health, and economic risks. School enrolment and success rates vary throughout
regions and delegations.
This soaring unemployment rate is an obvious indicator of the critical
financial situation of the country. As we demonstrated in our recent research on
territorial inequalities in Tunisia (Mahmoud [15]), Nation State failed to ensure
fair urban planning. In fact, the deep gap between littoral areas and mainland
persists. But note that even though in littoral areas of Tunisia, social inequalities
exist between haves and have-nots (Boughzala and Tlili [16]).
Since the 1980s, regionalisation has been a mere framework for different
development plans (Belhedi [17]). Only since the fifth development plan that the
state undertook the regional dividing of the country to six or seven regions.
Sboui [18, p. 62] pointed out: “in the 1980s poor people represented about 52%
of the Tunisian population. By the 2000s, in urban areas, the poverty rate (52%)
was higher than in rural ones. By 2005 the situation had reversed and the urban
poverty rates decreased drastically by 3 points”.
The paradox is that planning targets only regulation but not sustainable urban
planning. Some institutions were created such as General Commissionership of
Regional Development and proceeded to the creation of credit cards of Regional
Development Plan, and afterwards Regional Plan of Integrated Development and
the several Regional Development Plans along with The Office of Development
of the North West (ODNW), and the Office of Development of the South (ODS);
Office of Development of the Center West (ODCW)” (Belhedi [19]). The
monoparty state led by Habib Bouguiba, and ‘presidentialist’ regime of Zine al
Abidine ben Ali adopted a top-down economic, urban development, which begot
the spatial inequalities.
5 Energy, the burning issues!

The energy issue is in the core of the sustainable development. Tunisia had
nearly achieved an energy sufficiency in the beginning of the third millennium.
However, since 2005, a growing lack of energy resources had been observed.
This decline has clearly accelerated from the year 2001, which urges us to
wonder on the origin of this reduction (Hammamia [20]). Industries, transports,
and real estate consume the lion’s share of energy consumption in Tunisia. In
fact, the energy intensity in the industrial sector decreased by 28% in 2008 with
regard to its level in 1990s since its ration of energy consumption has decreased.
However, it increased by 18% in the transport sector in 2008. The energy sector
in Tunisia is closely correlated to fossil energy consumptions. The atmospheric
pollution of the neighbourhood stems from those materials combustion. The
higher is the economic growth, the lesser is household’s well-being
improvement.
Table 2: Energy resources in Tunisia.
Years 1987 1991 1995 1999 2003 2005 2006
Resources 13984 6171 5283 6777 6379 6785 6442
Crude oil 5109 5293 4343 4037 3230 3479 333
Natural gas 850 855 931 2720 3105 3264 3080
Hydraulic and wind electricity 25 23 9 20 44 42 29
Demand 3638 4307 5391 6192 6964 7314 7411
Oil products 2478 3442 3430 3724 3859 4017 4110
Natural gas 1135 842 1952 2448 3043 3255 3272
Hydraulic and wind electricity 25 23 9 20 44 42 29

Coke 18 0 0
The primary energy consumption had swiftly increased by 2013 (7947 Ktoe –
Kilotons of Oil Equivalent).
Abid et al. highlighted: “Given the dominance of industrial, transport and
residential sectors in ultimate energy use, our descriptive as well as
econometrical analyses will focus only on these three sectors. Moreover, we will
consider that energy consumption depends only on the three basic components:
oil, electricity, and natural gas because the other energy categories represent very
small proportions and/or their consumption statistics are integrated in those of
basic components” (Abid et al. [21, p. 23 and 57]).
Tunisia has many renewable energy resources. The report also argued that
VLS-PVPS (Very Large Scale Photo Voltaic Power Systems) are not only
technically and commercially feasible, but represent one of the most promising
solar energy solutions. In desert regions (Kebili, Tataouine) in the South of

Tunisia many sustainable energy opportunities such as natural gas extraction and
solar plants could be implemented. Tunisian State will soon undertake a
partnership within an institutional and research framework. Local inputs are
importantly available, but energy good governance has been lacking.
5.1 How to meet the growing demand of energy in Tunisia
Due to population growth and increasing affluence, the total electricity

consumption as well as the per capita consumption in Tunisia has increased over
the last decade. If either was limited, the energy resources cannot fulfil Tunisian
energy needs for the economy and society.
In the year 2010, electricity sales, by STEG (Electric and Gas Tunisian
Company) increased by 6.2% from 12,254 GWh in 2009 to 13,015 GWh in
2010. Peaks occurred during summer afternoons because of air conditioning
overuse, which threatens the electricity supply capacity. Some experts speculate
that by 2016, Tunisia will face severe shortages of electricity in the summer
unless new power plants are constructed.
In addition, a cheap and stable supply of electricity is important to promote
economic growth. After the revolution, cheap electricity plays an important role
in jobs supplies. For example, STEG owns and operates nine wind farms in
Tunisia. However, these turbines are not effectively used to their full potential
because of their location – a suitable location where there is a constant wind
supply, and more importantly across urban settlement and hence disturbs
inhabitants from the noise they cause.
As far as renewable energies are concerned in Tunisia, Ito argued in this
issue: “The Tunisian government subsidises imported natural gas in order to
make electricity costs low for end users. However, this puts financial pressure on
the state’s budget. The policy supports Algerian exporters and creates a
dependency on these exports. Furthermore, electricity generated by other
methods has to compete with subsidised gas prices. As a result, this provides a
disincentive for installing one’s own residential solar panels or investing in
power plants” (Ito [22, p. 19]).
Some shale gas deposits were discovered in Kairouan and Kasserine
governorates (Center of Tunisia), but civil society and public opinion is opposed
to its extraction. However, because of potential environmental risks, some
experts warn that drilling of shale gas introduces carcinogenic waste into the
environment, and nearby water supplies.
6 Conclusion remarks
Sustainable urban development in post-revolutionary Tunisia is facing a myriad
of challenges. Spatial and territorial inequalities could hamper the democratic
transition process. Many social, economic, and cultural aliases such as terrorism,
informal activities, and ecological syndrome constitute resilience to sustainable
urban governance implementation. Previous urban development policies

undertaken since independency entailed a deep gap between coastal regions and
hinterland. As a subsystem within a global economic system (Wallerstein [23]),
the Tunisian economy and society developed amongst a liberal and new liberal
economics, and ‘bisectorial economy’ of formal and informal sectors is not
conceivable in a mere dual approach. Both sectors blur and interfere within a
networked world economy that transcends national edges to interconnect with
global urban nodes (i.e. New York, Tokyo, and London) and megapolises in
Europe, America, Middle East, and China.
The top down policy makings followed by Tunisian State since independency
deepened instead of reducing inequalities, they entailed economic, urban gaps
and spatial inequalities.
In order to mitigate those spatial and social disparities, and injustices,
Tunisian State had put in place some urban planning institution framework that
benefitted – economic world competitiveness obliged – more the littoral areas.
The decreed parcelling out documents (e.g. Urbanism Code, Urban Planning
Plans and Schemas of Urban Planning Master Plans) were conceived and
achieved through top-down policy makings. Poverty and social exclusion were
so acute in the central areas of the country (i.e. Sidi Bou Zid, and Kasserine) that
uprising had grown since 2008 and begot the December 17, 2010, and January
14, 2011 revolution. Even though, the quartet and civil society succeeded to draft
a new democratic constitution and fair democratic election, social and territorial
inequalities persist between coastal and interior areas and between towns, rural
areas, and between the better-off and the less well-off. Middle classes downsized
to the lowest level of their living standing.
Hence, those urban and social biases could hamper the democratic process.
The growing smuggling traffic linked to the rise of terrorist acts targeting new
nation-state are serious challenges against the democratic process and economic
recovery in Tunisia. New elected rulers have to achieve people expectations by
ensuring security, and implementing a new sustainable urban planning in
accordance with Tunisia revolution objectives (i.e., freedom, dignity and justice).
Energy sectors matter too much in economic development of Tunisia. The
country lacks energy resources, and has many renewable energy opportunities.
However, those resources exploitation depend on good governance in this very
sensible sector depending on national and supra national stakeholders who are
competing in this issue. Energy intensity exploitation and seeking for new
renewable ones are in the core of a sustainable social and territorial development.
This development strategy requires that social and urban actors rely on local
democracy strategies based on their social and cultural contexts; a bottom up
policy making shouldn’t deny the top down state role in public spending and fair
taxations policies. The new ruling majority government of the main civic and
modernist party Nidaa Tounes has to rule the country, not alone, and according
multilevel governance (Gonzelman [24]) for a sustainable urban planning with
fairness, accountability, and justice.
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A systemic model of the sustainable urban

tourism insertion in the digital, smart and
knowledge city of Mexico City
L. E. Romero-García, R. Tejeida-Padilla,
A. G. Ramírez-Gutiérrez & O. Morales-Matamoros
Systems Engineering, Instituto Politécnico Nacional, México
Abstract
The aim of this paper is to propose a systemic model for the urban tourism
insertion in the Digital, Smart and Knowledge City (DSKC) of Mexico City
(CDMX) due to the recent and considerable economic importance of this kind of
tourism in innovative and competitive cities. Based on this understanding, a
diagnosis of the urban tourism role in the DSKC of CDMX was developed by
using the systems thinking. Therefore, the Soft Systems Methodology (SSM) was
applied, because of its holistic vision, and the technological and social components
it involves. The Strategic Direction Model (SDM) was also used in a
complementary and parallel way to the SSM. The findings allowed us to detect,
among other aspects, the problem situations such as the inexistence of a document
which contains the development of the DSKC, and the lack of articulation between
the components of the urban tourism and the DSKC. For that reason, some
elements were established in order to design a conceptual model. This research
finishes by using the Viable System Model (VSM), to validate this construct and,
at the same time, provide it with substantial elements, such as innovation, ICT,
sustainability, and accessibility, in which tourism and cities have been immersed
recently.
Keywords: systems science, urban tourism, SSM, VSM, SNA.
doi:10.2495/SC150051
1 Introduction
Tourism is one of the main sectors which promotes the economy anywhere there
is touristic vocation. However, nowadays, it is necessary for touristic destinations
to accomplish certain guidelines which allow them to fulfil the touristic practice
in a sustainable [1], safe, and accessible way, among others [2]. These aspects
become challenges for big cities because of their overpopulation and the problems
it causes. Nevertheless, if well-defined strategies and objectives are designed and
stablished, such problems can become opportunities and, thus, can be overcome
[3], leading to the construction of innovative and competitive cities. Under this
context, tourism and cities are more immersed within the new trends by using and
applying Information and Communications Technologies (ICTs) bringing changes
in two aspects: i) in tourists’ preferences and needs, who are more informed and
become more exigent at the time of their visit and; ii) cities adequacy under urban
landscape patterns which will make them more attractive and competitive.
This way, urban tourism as well as the cities’ new models such as the digital,
and the smart ones, among others, become key elements which deal with new
trends, citizens and tourists demands, as well as resolve the re-urbanization of big
cities. Santander, among other bigger Spanish cities, which were recently
constituted as smart cities [4], they have benefited from linking their city model
with urban tourism implementation; leading Spain to be first place in the Travel
and Tourism Competitiveness Ranking [5]. At the same time, urban tourism
represents the 25% of Spain tourism and has become a priority strategy for the
country [6].
For Mexico City (CDMX, in Spanish), which is one of the most visited
destinies in Mexico and Latin America, the local government (Gobierno del
Distrito Federal (GDF)) has as a priority to promote and encourage health tourism,
to enhance ecotourism, and to consolidate cultural and business tourism; which,
according to Ashworth and Page [7] and UNWTO [8], it implicitly talks about
urban tourism since this offers certain plurality in its offer, allowing the urban
tourist to perform a wide and ample range of touristic activities within a city. At
the same time, the GDF wants to turn CDMX into a Digital, Smart and Knowledge
City (DSKC). If these situations are achieved, urban tourism can be inserted in the
design of DSKC so that the GDF can take advantage of its objectives, and as a
result, similar benefits can be reached to the ones in Santander, Barcelona, Madrid,
among others [4, 9].
As a result of what has been explained, this research diagnosed the viability of
inserting urban tourism in DSKC-CDMX applying the first three stages of the Soft
Systems Methodology (SSM) [10] on one side and, on the other side the Strategic
Direction Model (SDM) [11]. Both tools were used to detect conflicts which make
the study system inefficient.
Based on this diagnosis, the following two steps of the SSM were developed in
order to design a conceptual model which would allow to insert urban tourism in
the DSKC-CDMX, and finally, to validate this conceptual model with the reality
applying the Viable System Model (VSM) [12, 13], so as to test how efficient and
viable the developed conceptual model can be and, this way, make sure urban
tourism is inserted in DSKC-CDMX.
2 Study area and methodology

2.1 Study area
The capital city, CDMX, is located in the Metropolitan Area of the Valley of
Mexico (MAVM). This area was inhabited by 20,843 million people in 2014;
being CDMX where most of those people has settled in, which it makes it one of
the biggest and most density populated cities in the world, according to UN [14].
CDMX is conformed by 16 municipalities, being Cuauhtémoc one of the most
important. It is considered to be the seventh National Economy because of its
infrastructure; commercial, cultural, financial and political activities; as well as its
urban corridors specialized on tertiary activities. Regarding tourism, the
municipality works on the promotion of 7 local tourism zones. From these zones,
Zone 1 (Historical Downtown) and Zone 2 (Alameda, Garibaldi and Bellas Artes)
are the most visited [15, 16].
According to the elements given by the Internal Factor Evaluation Matrix,
which is a tool used in the diagnosis, spatial study limits on Historical Downtown-
Alameda zones could be stablished. The demarcation was done based on one of
the requirements for urban tourism development; that is, to rely on the existing
elements in the city [7] which show considerable advances on the development of
the DSKC since an already intervened zone is more profitable in the short term
than one which is not; moreover, as for technologies implementation, Historical
Downtown-Alameda have been more benefited with the ICT’s incorporation such
as: free Wi-Fi access, events to reduce the digital gap, among others. Regarding
the urban image reconstruction, there is the recovery of spaces such as pocket
parks (small green areas). This way, 8,125 users downtown, and some other 1,857
in the Alameda Park have been benefited by being simultaneously connected via
the free Wi-Fi service [17].
2.2 Methodology
The SSM by Checkland [10] was applied for the development of the diagnosis
because of the holistic vision it handles, and because it encloses technological and
social components. For the development of the second stage of the SSM, the Social
Network Analysis tool (SNA) [18–20] was used, which allowed us to create a
pictogram and set the Rich Picture. This way, conflict situations among the
elements and agents which conform the system were detected and highlighted.
Besides the above, the MDE by David [11] was used in order to reinforce the
methodology, which allowed us to make the mission statement of the study
system; through the External Factor Evaluation Matrix (EFEM), and the Internal
Factor Evaluation Matrix (IFEM), we corroborated the weakness and threats found
in the Rich Vision, as well as the strengths and opportunities which, within the
Rich Vision, cannot be easily perceived. Afterwards, the SWOT matrix was built
with the success and the failure key factors of the EFEM and IFEM. This matrix
helped us structure the necessary strategies, which could be feasible to implement
in the short term, in order to accomplish the system’s mission. Finally, based on
the findings obtained in the diagnosis, the proposal of an urban tourism insertion
in the DSKC-CDMX conceptual model was built, as well as its validation by using
the VSM by Beer [12].
3 Findings
3.1 Current situation of the study object
Through the diagnosis made over the role of urban tourism in the DSKC-CDMX
project, it was found that there is a strong disarticulation between both parts; that
is, urban tourism is not considered in the DSKC-CDMX project and, in the
touristic sector, the DSKC is not presented. Therefore, neither of them is taking
advantage of the elements they offer for mutual benefit or development. This
causes some others problems, which are the conflict situations detected in the Rich
Vision (Figure 1). Once the system is designed, along with the elements it is
integrated by, and the interrelations are stablished, one can detect: i) the links with
some kind of problematic (shown in semi-thick lines), and ii) the non-existent
links (thick lines) which, because of their condition, are catalogued within this
kind of situations. Some of the problems found were:
1. Cuauhtémoc municipality, tourism secretaries (local and federal), and the
GDF perceive only part of everything the urban tourism is about. Therefore,
it is identified as a non-existent link. We believe that this type of tourism must
give a range of diversified and innovative urban offer, mainly through what
already exists, and which assists with the needs of the people who perform
the touristic practice [7, 8, 21]. In this sense, we conclude that urban tourism
must offer: i) products, such as tours within the destiny using virtual reality,
augmented reality, video mappings, and holograms; ii) spaces: safe,
accessible, passable, sustainable and maintainable, with a sustainable touristic
plant which applies environmentally friendly measures such as solar cells, re-
use of blankets in catering facilities, wastewater treatment plant, among others
and; iii) services, such as the service providers professionalization, as well as
cultural, social and environmental protection training for the citizens, free Wi-
Fi access, online booking, mobile applications, touristic location apps,
substantial content in landmarks using the heritage interpretation tool, which
will generate knowledge and, at the same time, meaningful and transcendental
experiences for the one who access it [22–24]. All these under the active
participation of agents and elements of the system.
2. The GDF lacks a document which explicitly expresses what the DSKC is.
There is only a version of the governmental management in the years 2006–
2012 related to the Digital and Knowledge City, which is why it is catalogued
as a non-existent link. This way, a defining concept is proposed: the DSKC is
the dynamic urban space which is conformed by the interrelation among the
digital, the smart, and the knowledge elements under an organized society
structure formed by the active participation of the government, enterprises,

universities, organism, citizens, and visitors who make use of the different
kinds of services, products and offered spaces, in an accessible, sustainable
and maintainable environment and, with the incorporation of the ICT’s, in
order to give creative and innovative solutions (based on knowledge
generation) to the problems in the city, to generate well-being for society, and
develop a competitive space at worldwide level.
3. In regards to accessibility, only some of the disabilities related to the mobility
of the people within the city, by the implementation of ramps, have been
assisted. Therefore, it is considered as a link with interrelation conflict. In this
sense, the incorporation of elements, which assist the rest of disabilities and
vulnerable people, is missing. At the same time, it is necessary to focalize the
attention in order to reduce the communication barriers (contents), through
the use of the heritage interpretation tool.
Figure 1: Second stage: problem situation expressed. Rich Vision.
This way, since the incorporation of the urban tourism in the DSKC-CDMX is
missing, an approach to the role it has to play in a city like this is given: Tourism,
as a humanistic, transdisciplinary, multi-causal, and systemic phenomenon, has as
its main goal to generate meaningful and transcendental experiences which will
contribute to the integral development of the ones who make it and generate a
positive impact in the place to be visited as well as in the place tourists live.
Therefore, urban tourism, under the same optic and within the DSKC, has to give
information in real time about the places to be visited in a city, design and provide
constantly innovative products and services in order to add value to the city, and
become a knowledge generator with the aim of causing a positive effect within the
visited place as well as in the residence of the people who perform the touristic
practice. This last aspect is really important because of the economic impact it can
have on the societies [25].
On the other hand, through the SDM stages, as a complementary part to the
methodology in order to develop the diagnosis, in the EFEM and IFEM, it was
detected that the internal and the external evaluation of the study system reached
a higher understand, on the one hand, that the study system has enough strengths
and opportunities in order to be able to take part in a competitive worldwide
environment; whereas, on the other hand, the system is capable of foreseeing, at a
certain extent, the effects caused by the threats and weaknesses; all this if adequate
strategies are stablished.
As a result, it stands out that the systems thinking in the DSKC design must be
considered. In consequence, the need to build and propose a systemic model was
detected. This model will allow us to insert each of the urban tourism components
in the DSKC in order to give space, products and service proposals in which
government authorities, entrepreneurs, professionals, among other agents
involved in urban tourism and the DSKC invest, link, create plans to help to solve
the city problems, generate meaningful and differentiating experiences, innovate
and become competitive; all this, in order to lead to systemic value generation.
3.2 Design of a conceptual model
The proposed model shows the urban tourism insertion in the DSKC-CDMX as
one of the main sectors which would generate well-being to citizens, tourists,
stakeholders, among others.
The urban tourism model structure which is inserted in the DSKC-CDMX
(Figure 2) is formed by five systems in the shape of holos which are open to the
system in order to interact freely and clearly with the rest of the systems and its
environment. The importance of the client, whom the system is aimed at because
of its location towards the centre, is emphasized. These systems are conformed by
subsystems which, at the same time, are conformed by some others. Each of the
five systems is ordered inside out according to the direct impact this can cause to
the system in case of failure. Next, each of the system is explained briefly.
The first system, the antropoaxiologic, is proposed as the base system since its
main function is to give the humanistic, cultural, and ethical supports to all the
agents found inside and affected by the city components. It is composed by
elements such as bioethics and social accessibility which have to encounter in the
government programs contents, in order to promote the formation of better human
beings in relations to themselves, environment, as well as to their peers. With this
system, it is aimed to contribute to the reinforcement of the sense of belonging,
community and hospitality is promoted; mainly within the citizens.
The second system, the operational, is conformed by two subsystems: of
design, and of marketing and sales. As for the design subsystem, this manages the
Figure 2: Conceptual model of the urban tourism in the DSKC-CDMX.
optimization of the natural and cultural resources the city has, through governance
and bioethics. It also considers urban planning for the rehabilitation of the
structure under the landscaping, physical and content accessibility, signaling,
sustainability, safe, and innovation parameters in such a way that it contributes to
give order and diversity to the spaces. Also, equipment and technological
infrastructure must be given through the Internet of Things (IoT) and the Internet
of Everything (IoE) so as to generate knowledge and the city sustainability. With
this technological part, the development of the city as digital and smart is
promoted. This element becomes substantial for the design of the city as well as
for their services and products at the moment information arises in real-time and
in a more reliable way. In the case of touristic activity, consumption tendencies as
well as satisfaction levels of tourists and any who makes use of the city services
are given.
As for the marketing and sales subsystem, it has to know the structure as well
as the natural and cultural resources the city has in order to promote and spread
them at international, national and local level. It is also in charge of diffusing the
discounts and offers to make the destiny more attractive and thus, become more
likely to be visited. Likewise, by taking advantage of the technological
architecture, market studies are made in order to know the tourist’ and visitors’
new trends. This way, a wide, new, and accessible offer is given based on the
generation of meaningful and transcendental experiences which lead to studies
about the assurance of products and services qualities.
The third system, the control, is led by a superstructure such as the GDF and
tourism Secretaries under the governance principles, which are: transparency,
accountability, active collaboration among actors, networks work, local capacities
reinforcement, management efficiency, among others, so that the system works
efficiently and effectively.
The fourth system, the direction, will allow authorities to measure, evaluate
and, at certain moment, give remedial work to generate systemic value through
research coming from the link and interrelation of different agents in the system,
such as: academician, businessman, investors, organism (Touristic
Competitiveness Institute (ICTUR in Spanish)), citizens, and tourists who, by
visiting labs, observatories, and scientific parks, generate quantifiable, accurate,
open and manageable information to generate knowledge. This system interacts
with the competitiveness subsystem in order to develop the knowledge part of the
city, through the professionalization of services providers, government authorities,
among others. It also has to promote entrepreneurship, give accessibility to content
in tourist places, through the heritage interpretation tool. The hard part of the
system is also found, which covers financial aspects conformed by the public
sector, semi-public, volunteering and private. To sum up, this system, along with
the antropoaxiologic one, must provide with most of the necessary elements for
the total system maintenance.
The fifth system, the political, helps create public policy in order to make the
system works appropriately. In this case, the creation of a regulatory document of
DSKC and urban tourism is necessary. Another document is related to the
collaboration between ICTUR and the Science, Technology and Innovation
Secretary (SECITIDF in Spanish) due to the disarticulation between both agents,
which handle aspects such as: innovation and the ICT’s. The transparency and
accountability subsystem, with the help of the technical subsystem, are considered
because they can provide the necessary elements to give continuity to plans and
programs which have been working appropriately and, because of political issues,
are discarded. This last aspect helps continue with the development of the digital
part.
Under this conceptual model, the interaction among the five systems will allow
us to put forward strategies structured through the SWOT matrix. For instance,
antropoaxiologic, direction, and operational systems fulfill strategy 1, which is
about the reinforcement of the cultural identity and the digital gap rupture among
the citizens by taking advantage of the social, transparency and accountability
programs of the GDF.
The interaction of the operational, control and direction systems aims at
fulfilling strategy 3, which is to diminish the seasonality effect and to increase
hotel occupancy by encouraging the stay of local and nearby tourism (MAVM),
through the implementation of new products and services which can be offered
through urban tourism with the intervention of agents and elements of the system.
The interaction of direction, operational and normative systems, tries to fulfill
strategy 5, which is to digitally back up the plans and programs of the GDF and
its municipalities, as well as to upload them to different websites of the
government with the collaboration of different sectors and agents, so as to monitor
the follow-up and continuity of those which are having a positive impact in
society, as well as to modify the ones which present a high level of failure in order
to reduce corruption and promote citizenship, country and international credibility
among citizens within the country and at international level.
Once the conceptual model is stablished, validation by the VSM was made in
order to design a systemic model proposal which make the system work
effectively.
3.3 Conceptual model validation through the VSM
The conceptual model can be contrasted with the reality by using the VSM. Such
validation is based on the diagnostic results and from the researcher hermeneutic;
to be questioned by the postulates of the system which is conformed by five
subsystems highly interrelated among them and their environment which lead to
the total system viability; that is, they need to be able to maintain the system
identity leading to its survival [26]. This way, the construct is the following:
Figure 3: Viable System Model for the urban tourism system, to insert in the
DSKC-CDMX.
In Figure 3, a total system and its elements can be appreciated. In a general

way, this model is conformed by three basic elements: the environment (amoeba
shape), the organization (circle), and the administration (square). From these
elements, the five subsystems which conform the model emerge: 1) Operations, 2)
Coordination, 3) Operative Management, 3*) Audit, 4) Strategic Management,

and 5) Board of Directors. For the case of the study system applying the VSM,
there are five operational units (small circles) which are in charge of offering
tourism products and services to the environment. Each one has its own
environment, coordination and regulator in order to keep its identity and ensure its
viability. This system is supported by some elements which facilitate the
communication in its inside and its outside, which are: a) amplifiers (white
arrows), which broader the information scope; b) attenuators (spring shape), which
allow agents to get, from all the information in the environment, only the one
which is useful for the system; c) the algedonic channel (dotted line), which is a
strategic channel that allows urgent information to reach subsystem 5, if necessary,
to timely decision making and; d) the Homeostat (thick black arrow), which is the
controller channel between subsystems 3 and 4, to coordinate the inside and
outside information of the system.
When these five subsystems are contrasted with the reality, the coordination
and operation subsystems, which do not currently exist, were identified. Therefore,
these subsystems, together with the auditing one are incorporated to the conceptual
model in order to make it viable. In this research, we focused only in the
coordination subsystem because it provides the necessary elements to create a
positive impact in the study system. The coordination subsystem is conformed by
the elements of information systems, products and events programs, tasks
programming planning, coordination teams, and operation standards; and it is in
charge of the holistic operation of the operational units to prevent conflict
situations from arising among each of them. In many cases, the non-existence of
this subsystem in the reality causes the lack of links, making the system fail, as
they were found through this research.
This way, by contrasting the conceptual model with the VSM, the design of the
systemic model of urban tourism insertion in the DSKC-CDMX, in which not only
sustainable part is taken into account, but also the innovation and accessibility,
among others, in order to achieve the maintainability of the system, that is its
viability.
4 Conclusions
This research concludes with a systemic model proposal, which has a high level
of reliability because it is designed under the Systems Thinking, and the Strategic
Direction; leading to provide solutions to the conflict situations as well as to set
the links where there were no before.
Regarding the VSM used to validate the proposal model, it allow us to verify
the way the subsystems and agents of the system operate, and how their
interrelations among them and their environment must be to be efficient and viable
to achieve its mission and objectives.
In this sense, the systemic construct proposed is easy to apply because of its
singular characteristics, such as: i) flexibility, because it does not need many
resources, as others do and; ii) robustness, to replicate the model in other zones
and municipalities of the CDMX; cities and states; taking into account their
different particularities, obtained through the diagnosis.
Therefore, with this research we are trying to contribute to state of the art in
urban tourism in digital, smart and knowledge cities, to provide solutions to
problems with social and technical content.
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Compact city and traditional housing

areas for urban sustainability:
a case study – Bursa, Turkey
A. Çahantimur1, R. Beceren Öztürk1 & S. Sevgi2
1
Faculty of Architecture, Uludağ University, Turkey
2
Faculty of Architecture and Design, Bursa Orhangazi University, Turkey
Abstract
There is a continual need for dwellings through which people can integrate their
own values, form social links, and become anchored in a positive way. To meet
this vital need, sustainability should be a core dimension of housing quality and
be central to the development process as a whole. On the other hand, cities clearly
appear to be the most important location for action to help the goals of the
sustainable development. In this context, the purpose of this paper is to highlight
the potential of historic cities and their traditional housing areas to achieve urban
sustainability, in the context of compact city form. It consists of four sections with
a brief introduction on the critical role of cities for sustainability. The first section
highlights the importance of traditional housing areas for urban sustainability. The
second section covers an evaluation of the suitability of the compact city form for
historic neighbourhoods, through empirical studies undertaken in Bursa. The
theoretical approach is based on the transactional perspective, which considers
home and home environments as a transactional whole that defines and is defined
by a range of cultural, social and psychological factors. Observational and
ethnographic research methods are used together with the surveys applied in a
valuable traditional neighbourhood in the city of Bursa, one of the most important
historic cities of a developing country, Turkey. The paper concludes with the
findings of the case study to offer some proposals for policy principles of
sustainable urban development in historic cities.
Keywords: sustainability, compact city, traditional housing.
doi:10.2495/SC150061
1 Introduction
The city is more than just a physical entity, more than a place where people live
and work. As many researchers state, the city is a work of imagination, a metaphor,
a symbol – and cities are like documents of cultural and historical value, composed
by different elements from changing periods and varied political flavours [1, 2].
However the globalization process has brought about a fundamental social,
cultural and economic transformation, which have been experienced in cities.
Especially historic cities where past and present penetrate each other giving
witness to the past, and people are made participants in the whole by the spaces
and places of the city which are affected by these transformation processes very
heavily. They are influenced by population growth and rapid urbanization. The
rising demands for more housing and emergence of new housing areas, whether
formal or informal, change the character of the cities, especially traditional
housing environments. At this point, the importance of sustainable urban
development, which has to be understood as an action balancing the present with
the future, but also with the past, clearly appears. However, the sustainable city is
not a new phenomenon. Historic towns and cities around the world existed for any
length of time because they were able to develop and maintain a continually
rebalancing relationship among their internal, social and economic activities and
externally with their natural and agricultural landscape [3].
In this context, the aim of this study is to investigate the opportunities of
sustainable urban development of historic cities as they could be able to maintain
in the past, but with today’s conditions and life styles. The main idea of the paper
is that the compact city, which is one of the urban forms for sustainable
development of cities, is the most appropriate one for sustainability of historic
cities. By the opportunities of this urban form it would be possible to accommodate
substantial growth in the number of households without changing the original
character of historic cities and also to recreate vital and viable city centres. The
paper envisions sustainability of historic cities as closely bounded up with the
identification of the local and cultural values they own that could be best achieved
by compact city form. On the other hand, it is proposed that, the acceptability of
this urban form to urban residents is one of the most important topics that have to
be emphasized as an issue of social equity and choice together with the
environmental criteria of sustainability. If it is not taken into consideration, those
who can, will leave the city, and only the most disadvantaged will be left. This
will cause a scenario, which is clearly unsustainable.
In order to discuss this proposal two empirical studies undertaken in the same
environment at different times are compared by means of the changes in the
opinions of the residents. The aim is to understand the reasons for the changes in
the ratio of acceptability of the compact city form and if the changes caused by the
urbanization process are effective or not. The case study area is a traditional
neighbourhood of a valuable historic city in Turkey – Bursa. Before the
presentation of the empirical study, the way we handle the relationships of the
main concepts; sustainable urban development, historic city and compact city form
will be explained in the following section.
2 Sustainability of historic cities and compact city form

The most common definition of sustainable development is “development which
meets the needs of the present without compromising the ability of future
generations to meet their own needs and aspirations” (WCED, 1987); a more
holistic definition of sustainability made in the 20th UIA Congress in 1999 is “a
local, informed, participatory, balance-seeking process, operating within an
equitable ecological region, exporting no problems beyond its territory or into the
future”; and the definition of sustainable development made in the Forum for the
Future (2000), is “a dynamic process which enables all people to realize their
potential, and to improve their quality of life, in ways which simultaneously
protect and enhance the Earth’s life support systems” all show that these concepts
are closely related to the concept of “human development” which is defined as “a
process of enlarging people’s choices” and which have the goals of “leading a long
and healthy life, acquiring knowledge and having access to resources needed for
a decent standard of living”. Today, the authorities have come to recognize the
importance of participatory and integrated approaches to the incremental
implementation of sustainability. Also, local governments have found that it is
necessary to not only take it in environmental terms, but also in social, economic,
psychological and cultural terms, and their interrelations.
With such a large proportion of the world population, the concentration of
environmental problems, and consumption of resources, cities play a pivotal role
in bringing people together as a focus of social and economic activity. If successful
policies and practical solutions can be found for the sustainable development of
the cities, then the benefits will be great [4, 5]. As supported with this paper, the
idea of creating sustainable cities through centralisation and containment, which
is named as a compact city, rather than dispersal and low-density development, is
one of the sustainable urban form approaches seen in the world literature as well
as practical studies. As Urbed argues, “Policies to attract people back to cities have
the potential to kill three birds with one stone. They could reduce the loss of the
countryside and promote more sustainable patterns of development, while at the
same time addressing the root cause of urban decline by making the inner city into
somewhere which people no longer wish to escape” [6, p. 15]. Heath also thinks
that, the benefits of concentrating residential development within existing urban
areas and the positive impacts upon the quality and vitality of these places are
widely recognised, notably in the European Communities’ Green Paper on the
Urban Environment [7].
Breheny [5] provides an apt summary of the “compact city” as a high density,
mixed-use city, where growth is encouraged within the boundaries of the existing
urban areas, but with no development beyond its periphery. On the other hand, it
has been suggested that a sustainable city “must be of a form and scale appropriate
to walking, cycling and efficient public transport, and with a compactness that
encourages social interaction” [8]. There is an important topic as Haughton and
Hunter [9] pointed out – the sustainable city is not rooted in an idealised version
of past settlements, nor is it one given to a radical casting-off from its own
particular cultural, economic and physical identity in the name of the latest passing
fad for urban change. At this point, the importance of historic cities for the
sustainable city debate in the context of compact city form comes to the scene. As
Jenks et al. [10] state, the vision of the compact city has been dominated by the
model of the densely developed core of many historic European cities. Those from
outside see them, often, as ideal places to live and experience the vitality and
variety of urban life. However, in today’s world, tensions between the demands
for both development and conservation in historic cities have given rise to a
growing recognition that they cannot reproduce themselves without forms of
intervention, regulation and management of the physical and social fabric upon
which their localness, specificity and economic success is predicated. As Urry
(cited in Strange [11, 12]) states, in an increasingly competitive global market
where spatial and temporal barriers are diminishing, the specification of place –
its character, history, buildings, culture and distinctiveness – become more
important. These developments have brought into focus the extent to which
sustainable development policies are capable of resolving some of these conflicts.
The investigations point out that the city, whether historic or not, and whether
compact or not, is a holistic system and the relationships between the parts are
complex. The need for more scientific and objective knowledge has led to
measurement and monitoring at the local scale and the strategic level. Research is
especially needed to test the claims about the sustainability of the historic cities in
the context of a compact city and to test the social acceptability of the concept.
The empirical study made in the context of this paper, tried to test the social
acceptability of the compact city in a historic city. The study and its details are
briefly explained in the following section.
3 Case study
The main aim of the case study is to evaluate the acceptance of the compact city
form by the urban residents living in a traditional housing area of a historic city,
Bursa. Two empirical studies structured with similar conceptual frameworks were
undertaken in the case study area in different years in order to find out the changes
in the opinion of the residents. The first empirical study was undertaken in the
scope of the Ph.D. Thesis of the first author, A. I. Çahantimur, entitled “A Socio-
Cultural Approach for Sustainable Urban Development, A Case Study for Bursa”
in Istanbul Technical University, Institute of Science and Technology, Department
of Architecture, in 2007. The second empirical study was undertaken in the scope
of a scientific research project carried out by the first author within the
collaboration of Uludağ University and Bursa Metropolitan Municipality entitled
“A Proposal of Site Management Plan for Hisar, Osmangazi/Bursa”.
The reason for a housing environment to be selected for the case study is that
“home” is central to human well-being in every part of the world. What’s more,
as Altman claims, contemporary and future centrifugal and centripetal worldwide
trends ultimately affect the physical, psychological and social survival of ordinary
people in terms of families and friends, homes and residences, proximate
neighbours and community, and their everyday work and means of livelihood.
Then, the challenge is to develop housing systems and approaches to housing that
reflect the dynamics of contemporary society where transactions between people
and the residential environment are forever evolving [13]. Thus, it can be said that
the aim of this study, which is to understand the reasons of the changes in the ratio
of acceptability of the compact city form and if the changes caused by the
urbanization process are effective or not, is very meaningful. The outcomes will
help to determine the ways of making people conscious about urban sustainability.
Development alternatives of the urban form, especially the form of traditional
housing environments for the achievement of urban sustainability in historic cities
will be discussed. Also it will give clues about people’s thoughts of sustainability
studies. The data obtained can be the pioneer for developing sustainability policies
in historic cities of Turkey. The theoretical approach of the paper is based on the
transactional perspective, which considers home and home environments as a
transactional whole that defines and is defined by a range of cultural, social and
psychological factors. Observational and ethnographic research methods were
used together with the detailed surveys throughout the empirical study.
3.1 Description of the case study area
Bursa is one of the valuable cities that could reach our times without losing its
importance in Turkey (figure 1). It is the first capital of the Ottoman Empire and
has always been an important focus point in social and historical aspects due to its
location being suitable for settlement, natural structure’s favouring agriculture and
military strategic importance. Bursa is located in the centre of a plain with fertile
land. However, as a result of it being a focus of large inner and outer immigration
and undergoing a rapid process of industrialization, it has one of Turkey’s highest
population rate increases. This situation produces a demand on the fertile plain
land and affects the development of the city [14]. Bursa, having an ancient and
valuable past, faces urban problems of various aspects because of rapid
development but promises a great future with very suitable features for the case
study area in which, especially socio-cultural dimension of urban sustainability is
examined within limits of traditional housing areas. These traditional zones, which
are still being used as residential areas illustrate the characteristics of the compact
city form with their mixed used building stock and transportation network. They
are all in the centre of Bursa within walking distance to all of the public utilities
and are connected to the newly developed parts of the city with public transport
alternatives. They also have a congestion of facilities, traffic and urban land-use
alternatives that don’t exceed the carrying capacity of the city. Some views from
these traditional neighbourhoods having different locations in the centre of the city
are seen in figure 2.
The neighbourhood of “Hisar”, the city’s oldest place of settlement which
includes traditional housing patterns preserved to the best level up until today, has
been selected as a sample traditional settlement. Surrounded by the old city walls,
the neighbourhood is located to the west of the centre on a hill overlooking the
city (figure 3). Unfortunately, a wide motorway has been constructed in the
neighbourhood of Hisar as a part of reconstruction and modernization works to
Figure 1: Location of Bursa in Turkey.
Figure 2: Views from Reyhan, Tuzpazarı and Muradiye neighbourhoods.
Figure 3: Location of Hisar in Bursa (from Metropolitan Municipality Archive).
great extent. However, the urban fabric of Hisar, with its narrow roads and blind
alleys and the morphological characteristics of its built environment, give it a
special identity, very different to that of the other neighbourhoods (figure 4).
Figure 4: Views from “Hisar” (from Çahantimur’s archive).
3.2 The fieldwork

The suitability of the compact city form for Hisar with its physical and social
conditions, is evaluated in two steps. Firstly, making observations in the area and
examining archival documents. Data relating to physical environment, history and
social demography of the settlement have been obtained. The conclusions of these
qualitative and quantitative environmental analyses are evaluated in order to
understand if the environment is suitable for intensification that is vital for a
compact city.
As a second step, the acceptance of the compact city form by the residents of
the environment was examined with the help of a detailed survey. The
questionnaire was composed of five main parts including questions in order to
indicate the socio-cultural characteristics of the case study area, psychological
characteristics of the case study area, physical requirements of sustainable urban
development in the area, socio-cultural requirements of sustainable urban
development in the area and alternative scenarios of the compact city form for the
area respectively. The answers to the questions evaluating urban sustainability in
terms of socio-cultural factors in the context of place identity, attachment and
residential satisfaction and also evaluating the roles of user perception and
participation for sustainable urban development of historic cities were critically
important for the final results of the study.
These surveys were conducted to the people living both in traditional houses
and also those living in newly constructed apartments in the same environment,
half and half for the total number of survey. The ages and education levels of the
interviewed people were important points in the evaluation of their answers. The
questions were referred to the acceptance of the important changes, which will
come out in the physical and socio-cultural qualities of the environment after an
intensification process has been taken out in this environment. For example; the
increase in the population and the number of cars, the changes in functions of some
of the buildings, the new opportunities of work, the new places of social
interaction, the alternative solutions for parking and traffic problems, etc. In the
working out of data, statistical analysis method SPSS was applied.
3.3 Conclusions of the study
As a result of archival data analysis and observations, physical, historical and

socio-demographic data has been obtained regarding the area. Housing patterns of
the Hisar area consist mostly of wooden houses bearing traditional Turkish
features, narrow roads in the scale of human beings or blind alleys in some places,
small squares with a small mosque or an awesome oriental plane tree in the centre.
This structure contributes to the maintenance of social living. Residents of
traditional houses mostly own their own homes, partly from being heirs to the
previous owners, the other part are new owners, who have bought their houses
sold due to lack of funds, restored them and moved in. Residents of apartment
buildings in the same neighbourhood are mostly tenants, but some of them are
owners. The residents are generally small size employers and employees who
belong to the middle-income class. The area includes a lot of facilities and social
opportunities due to its being within walking distance of the city centre. It was
found that these physical, spatial and socio-cultural characteristics identified in the
first study haven’t changed since then.
As a result of the surveys conducted, it has been determined that most of the
residents of traditional houses are absolutely satisfied by the location of their
neighbourhood within the city, relations with their neighbours, social life and
houses and that they would not prefer to reside in another neighbourhood or
another house despite their houses’ being underdeveloped due to lack of funds. It
had been determined that the inhabitants of this traditional environment have
powerful identity and attachment feelings, whether they live in a traditional house
or in an apartment. It had also been determined that they are almost conscious
about the cultural and historical values of their environment and agree to the idea
of preservation and regeneration. In the first study, all of them were pessimistic
about the future of their environment because of the uninterested authorities,
however in the second study they indicated that municipality authorities have
begun to do some restoration studies in and around the neighbourhood but they
are insufficient in terms of both quantity and quality. Although most of them,
especially the younger and well-educated group of the inhabitants, have
knowledge about the meaning of the term sustainability, they don’t exactly know
how it can be provided. On the other hand, it is meaningful that local people are
all ready to co-operate in anyway and want to help the authorities of the
municipality for the benefit of their environment. The results of the surveys made
in both of the studies show that the residents want their environment to be in better
physical condition, especially the traditional houses. In the first study 83% and in
the second one 85% of them, wanted the traditional houses to be restored or
repaired and used more efficiently. However, they are not able to fund it and for
this reason, they want the municipality to do something for their environment and
they are ready to help in anyway.
All of these results show us that the residents of Hisar mostly accept the
compact city form and its physical and socio-cultural needs as an alternative
sustainable development form for their environment, because they feel that they
belong to their neighbourhood and don’t want to go anywhere else although most
of them don’t have a well-qualified house. The majority of them agree to the idea
of restoration and repairing all of the houses and continue to use them efficiently.
They accept the intensification of the area within the limits of its carrying capacity
and want to benefit from this process especially by means of the socio-cultural and
economic opportunities that will emerge. They were asked which out of three
alternative scenarios of intensification they preferred; a compact residential area,
a compact residential area together with the service and tourism functions for
daytrips, a compact residential area together with touristic accommodation and the
other service functions. In the first study the acceptance ratio of the first scenario
was 82%, the second scenario was 73% and the third scenario was 63%.
Surprisingly, six years after there were no meaningful changes and the acceptance
ratio of the third scenario was again 63% although almost all of them want
opportunities for work in one of the touristic facilities that will be proposed [15,
16].
4 Final remarks
As a result of the theoretical literature analysis made and of empirical studies
carried out in this aspect, it has been justified that the compact city, which is one
of the urban forms for sustainable development of cities is an appropriate one for
sustainability of the historical neighbourhood Hisar in Bursa. The empirical
studies made in the valuable traditional area of the city showed that by the
opportunities of this urban form, it would be possible to accommodate substantial
growth in the number of households without changing the original character of the
environment and also to recreate a vital and viable city centre. It has been justified
by the results of surveys that the idea of making people conscious about the
concept of sustainability and adopt its requirements before any implementation of
sustainability and taking their ideas about the future of their environment in the
context of sustainable urban development would be a positive approach. This
participative approach will be an important step towards providing social and
psychological needs of sustainability besides the physical ones. We can conclude
that this study can be an example for future studies to obtain sustainability in
historic cities together with their residents.
References
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[5] Breheny, M. (1996) ‘Centrists, Decentrists and Compromisers: Views on
the Future of Urban Form’ in Jenks, M., Burton, E. and Williams, K. (eds.)
The Compact City: a sustainable urban form? E&FN Spon, London: pp.
13-35.
[6] URBED, Tomorrow: A Peaceful Path to Urban Reform, London: Friends
of the Earth and Wise, 1998, from Heath, T., Achieving Sustainable Urban
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Achieving Sustainable Urban Form, M. Jenks, K. Williams (eds.), E&FN
Spon, GB, 2000.
[7] Heath, T., Achieving Sustainable Urban Form Through the Adaptive Re-
use of Buildings For Residential Use, in Achieving Sustainable Urban
Form, M. Jenks, K. Williams (eds.), E&FN Spon, GB, 2000.
[8] Elkin, T., et al., 1991, Reviving the City: Towards Sustainable Urban
Development, Friends of the Earth, London, quoted from, Haughton, G. and
Hunter, C., Sustainable Cities, Regional Policy and Development Series 7,
pp. 15-20, 24-27, 40, Jessica Kingsley Pub., London, 1994.
[9] Haughton, G. and Hunter, C., Sustainable Cities, Regional Policy and
Development Series 7, 311 pp., Jessica Kingsley Pub., London, 1994.
[10] Jenks, M., et al., Introduction, in The Compact City: A Successful,
Desirable and Achievable Urban Form? Jenks, M., Burton, E., Williams,
K., (eds.), E&FN Spon, GB, 1996.
[11] Strange, I. Planning for Change, Conserving the Past: Towards Sustainable
Development Policy in Historic Cities, Cities, Vol. 14(4), pp. 227-233,
Elsevier Science Ltd., 1997.
[12] Strange, I., Urban Sustainability, Globalisation and the Pursuit of the
Heritage Aesthetics, Planning Practice and Research, Vol. 14(3), p. 301,
1999.
[13] Altman, I., Foreword, Homes, Housing, and the 21st Century: Prospects and
Challenges, Arias, E., (ed.), The Meaning and Use of Housing, Hants,
Avebury, England, 1993.
[14] Çahantimur, A.I., The Impact of Different Urban Housing Patterns on the
Sustainable Urban Development of a Historic City, Bursa/Turkey, Urban
Development, Dr. Serafeim Polyzos (Ed.), ISBN: 978-953-51-0442-1,
InTech, DOI: 10.5772/35968, 2012.
[15] Çahantimur, A.I., “A Socio-Cultural Approach for Sustainable Urban
Development, A Case Study for Bursa”, Ph.D. Thesis, in Institute of Science
and Technology, Department of Architecture, ITU, Istanbul, 2007.
[16] Çahantimur, A.I.,“A Proposal of Site Management Plan for Hisar,
Osmangazi/Bursa”, unpublished scientific research project carried out by
the first author within the collaboration of Uludağ University and Bursa
Metropolitan Municipality with the number, M.16.0.BBB.0.31.53.604.99-
138597, Bursa, 2013.
The urban block as a potential for

sustainable urban design
M. Oikonomou
Department of Urban Planning and Regional Development,
Aristotle University of Thessaloniki, Greece
Abstract
Urban blocks in a broader sense can work as the essential settlement form of the
urban tissue and organization scheme of a city. Along with streets they define
the urban layout and influence the way a city works. Additionally, they can be
flexible enough to adjust to different built forms as well as to distinct socio-cultural
environments. Moreover, an urban block can generate a mixed-use economy while
it creates social mixture of different users. With these points in mind this paper
introduces a concept of a future sustainable urban block; the Community Block, a
contemporary view of the author regarding sustainable cities and urban
environment. This visionary plan represents an eligible and profitable future
design concept for contemporary sustainable planning. At the same time, equally
important with the block is its urban context. Therefore, urban design guidelines
are proposed in order to achieve a future sustainable city.
Keywords: urban block, sustainable cities, sustainable planning, community,
social connectivity, design guidelines, urban context.
1 Introduction
What can a future sustainable city look like? Which design guidelines should be
implemented into future urban planning in order to achieve sustainability?
The proposal of this paper is an approach on rethinking the urban block based
on the idea of social connectivity and community living. The Community Block
is a bold statement on the scale of urban design, a new idea concerning future
sustainable cities. In fact, sustainability in terms of planning is not so easy to
achieve. For this reason, a new dimension of a sustainable city is further explained
in the next section.
doi:10.2495/SC150071
The urban framework of the Community Block is based on four layers of an

urban block – street, plot, buildings and open space. These specific parts represent
on one hand the morphological characteristics and on the other hand the social
qualities of a block. If one puts the morphological characteristics together, the final
product is the form of the urban block. If one puts the social qualities together, the
final product is the relationships between people and the urban block. These
features portray the symbols, which one uses in order to find the meaning of the
block and to perceive the environment as a whole.
2 A new dimension of a sustainable city

A large body of empirical literature about ecological or sustainable city highlights
principles and parameters in order to achieve a balance between ecological,
economical and social objectives in urban environments. Meanwhile, a sustainable
city cannot refer only to a network of these three relationships. The built
environment and the spatial relationships are in very close relation to this well-
known triangular network and obviously equally important.
Moughtin’s book Urban Design – Street and Square, first published in 1992,
introduces to the international discourse the importance of flexibility and networks
of the urban environment. He observes: “The sustainable city, or more correctly,
a city that approximates to a sustainable form, is a compact and flexible structure
in which the parts are connected to each other and to the whole, with a clearly
articulated public space” [1]. The study of Williams et al. concerning sustainable
urban forms examines which characteristics of the urban environment could be
sustainable efficient. They conclude that sustainable urban forms “are
characterized by compactness (in various forms), mix of uses and interconnected
street layouts, supported by strong public transport networks, environmental
controls and high standards of urban management” [2]. Additionally, Dempsey et
al. examined the relative influence that different elements of urban form – land
use, density, urban layout, accessibility, housing/building characteristics and
layout – have on economic, environmental and social sustainability [3].
In other words, a sustainable city could become a reality if city planning adopts
sustainable urban forms, which fulfill the people needs and at the same time are
not aggravate the natural environment. For this reason the triangle of sustainable
development is not enough. Form is the crucial issue when it comes to planning a
sustainable city. With this in mind the triangle has transformed to a ‘rhombus’ of
four equally important parameters in order to achieve a sustainable city;
ecological, social, economical and morphological (see figure 1).
3 The Community Block

If planners shape healthy and dynamic environments, which activate social
connectivity and cohesion, then cities can become valuable spaces of everyday
life. The concept of the Community Block is a contemporary interpretation of a
future urban block in a sustainable city. Social connectivity and community living
are the promoting themes of the proposal. According to the traditional city
Figure 1: The rhombus of sustainable development.
planning open space is always the result of the built space. Different from this
process, the Community Block brings forward the open space and regenerates the
communication between the user and the environment. Therefore, the concept
promotes built space as a result from the open space, which is the core element of
the proposal.
Another important issue of the design is the integration of climate sensitive
planning. This means, that the Community Block should be adapt appropriately to
climate and respect the natural environment. Green infrastructure holds a primary
role in the open space, whereas the management of resources can be easily
implemented into the design because of the flexible layout.
It is essential to point out that to conceive the built form of the urban block is
obviously a long and difficult process. Therefore, this research study introduces a
conceptual model with several case scenarios of development. The aim of the
proposal is to visualize the organization process and highlight fundamental social
and morphological relationships of the plan.
3.1 The urban process of the Community Block
Figure 2 shows the urban process of the proposal; starting from the inner to the
outer; from the open space towards the building and to the street. The core of the
urban block is the open space, an available area for socializing and interaction with
the urban environment; the community node. Pedestrian transition spaces are used
as corridor streets, which connect the urban blocks with the public space and the
street network. A transition space from the node to the buildings works as a
collective space in the outside bringing people to the inside or vice versa. This
space is a flexible mixed-use environment with functions for the community in the
ground level. In that case, built space follows the function/s of the building/s and
has a constant relation to the transition space. Form is irrelevant in the process.
The intention is to bring forward the meaning of social relationships into the way
we design cities.
Figure 2: The urban process of the Community Block.
Regarding the specific morphological and social characteristics of the

Community Block, one should keep in mind the following principles concerning
the four layers of the block:
I. Streets function as transition space for pedestrian mobility.
Jacobs, in his book Great Streets, notes; “a great street should be a most
desirable place to be, to spend time, to live, to play, to work, at the same time
that markedly contributes to what a city should be. Streets are settings for
activities that bring people together” [4]. The corridor streets of the
Community Block are ‘great streets’ because they are pedestrian oriented
with a simple and flexible layout. They produce livable and multifunctional
streetscape in relation to the facilities of the ground floor (commercial,
services, etc.). Additionally, they provide a safe and secure environment for
the users, whereas vegetation improves the quality of the open space.
II. Plots are distributed to private and public ownership.
Land tenure influences at a great extent the uses in an urban block. If the aim
of the Community Block is to produce a mixed-use environment then plots
should combine private and public ownership. With this intention the city
can provide social housing, public facilities, parks, etc. whereas private
functions, such as housing, services, working spaces are distributed in the
block as well.
III. Buildings and built space offer a variety of dynamic images to the users and
an internal mixed-use environment.
Different typologies of buildings and diverse architecture create livable
environments and pleasant atmospheres (different heights and FAR
according to use and location, building materials, playful facades with
various openings, green vertical walls, etc.). Moreover, flexible floor plans
adapt easily to eventually changes in the future. Buildings should be designed
in accordance with orientation and natural ventilation. In the case that this is
not possible the use of mechanical ventilation and cooling systems will
increase the quality of air and temperature in the inner spaces. Additionally,
mixed uses 24/7 create social mixture of ages and incomes. Regarding the
management of resources see the objective 4 in the next chapter.
IV. Open space provides socializing spaces accessible for all and creates a unique
urban environment.
Green infrastructure in the block (in the community node, along corridors
and in open spaces) reduces heat islands and improves the microclimate.
Open spaces are based on a hierarchical network of private (inside the built
space e.g. atriums, patios, green rooftops), semipublic/semiprivate
(community spaces), and public spaces (community node and green spaces).
3.2 Case scenarios of the block layout
The Community Block can be transformed easily to different urban environments

always in relation to the uses and activities within its boundaries. With this in mind
several scenarios of the block layout can be feasible in relation to the environment,
which an urban designer want to achieve. Figure 3 shows two scenarios, which are
developed in two phases. The first phase illustrates the initial organization scheme,
whereas the second phase shows the ability of the layout to transform and generate
into more complex systems. The Community Block can be multiplied in the urban
layout in order to create small neighborhoods.
The first phase of the first case scenario shows the Community Block
consisting of housing with mixed-uses in ground floor, one building with public
facilities (e.g. kindergarten, administration, etc.) and with a part, which
accommodates a square with green spaces. Depending on the use of the public
facility, the built space can be increased in order to gain more space (e.g. school,
library, etc.) in the second phase.
From the other side, the second case scenario shows the Community Block
consisting only of a large area, which accommodates a park. A large park can
accommodate more leisure activities (e.g. small gardens of agriculture, sports
fields, skating park, etc.) in the second phase.
These case scenarios are only two examples of the many possibilities
showcasing the flexibility of the layout. The urban environment transforms
depending on the activities, the uses and the users who will live in the Community
Blocks.
Figure 3: Two case scenarios of the block layout depending on uses of the built
space.
4 The urban context: urban design guidelines for

sustainable planning
Urban blocks function as sustainable planning tools when planning focuses also
in the scale of the urban context. In other words, the Community Blocks can work
efficiently only in relation to the other parts of the city. For the purpose of creating
a comprehensive strategy for the urban context, the proposal framework deals with
the four objectives of a sustainable environment already discussed in main section
2 and consists of five main urban design objectives; mobility, land use, natural
environment, management of resources and economical aspects. The proposed
guidelines are the following:
1. Mobility: minimize the dependence on automobiles and promote pedestrian

culture by providing a flexible street network in close proximity
I. Street network and connections:
- Main streets provide a mixture of pedestrian, buses, cars and cycle
routes and possibilities for underground parking as well. These
streets should be in a radius of 200 m–250 m (2–3 min walking).
- Secondary streets are only pedestrian and bicycle oriented and
accessed for loading and unloading purposes. People should feel
safe and secure when they use transition spaces.
II. Public transport:
- An efficient public transportation network consists of buses, tram
(500 m 6–7min walking), metro and train (800 m 10 min walking).
III. Alternative possibilities:
- Use of car sharing and bicycle sharing.
2. Land use: optimize the use of the ground by combining private and public
ownership and create possibilities for social mixture
I. Public spaces:
- A network of public spaces, like squares, leisure and recreation
activities, playgrounds, parks, etc. activate the public realm and
promotes social connectivity.
II. Public facilities:
- Plans should provide spaces for public facilities such as
kindergartens, schools, library, administration services, etc. in
relation with the population density and proximity.
III. Mixed uses:
- Mixed-use is the most effective design principle for sustainability.
A combination of housing, working spaces, commercial activities,
public facilities, services, etc. creates 24/7 urban environments, a
mixture of users with different ages, stimulates economical and
social relationships.
- Mixed-uses at the ground level activate the streetscape and create
livable transition spaces.
3. Natural environment: design with nature and provide green infrastructure
for all in close proximity
I. Green infrastructure and urban ecology:
- Green infrastructure includes parks (min. radius of 500–600 m. 6–7
min walking), green rooftops of buildings, green corridors through
the blocks and vegetation along streets.
- This kind of green spaces network create and protect natural
habitats, whereas planting improves the microclimate.
II. Food production:
- Gardens for small-scale food production like vegetables and herbs
are a feasible option in the scale of a neighborhood.
4. Management of resources: use technological systems in order to achieve a
better balance of resources
I. Energy production:
- Buildings should be designed based on active solar energy

(orientation) and passive (photovoltaic panels, solar thermal
collectors, etc.).
- Use of smart grids and district heating systems allow reducing the
energy demand.
II. Rain and wastewater collection and recycling systems:
- Rainwater and wastewater should be collected, recycled and
filtered, in order to reuse it (e.g. water for toilets and water for green
spaces).
- Controlling the water use by smart mechanisms reduces the water
people consume.
III. Solid waste collection and recycling systems:
- Recycled solid waste should be collected and recycled in any
possible way (biomass for electricity, used paper to produce toilet
paper, etc.).
5. Economical aspects: support local economy and people with low income
I. Local economy:
- Plans should provide spaces and create networks for local
businesses and local food markets in order to increase the local
economy growth.
II. Mixed incomes and social status:
- The offer of social and low-cost housing makes possible for people
with low income to afford to buy or to rent a new apartment.
It can be emphasized that the connection between the four parameters of a
sustainable city (ecological, economical and social and morphological) and the
single guidelines is comparatively complex as most of the principles proposed
have multiple-relations to each parameter. The circle diagram together with the
areal-measured orientation illustrates the remarkable balanced distribution of the
proposed guidelines in relation to the four categories (see figure 4). This can be
considered as an evidence for an intertwined relationship and a trace for
sustainability. In addition a negligible expansion towards the social axis can be
recognized. This fact is accompanied by the relatively dominance of the
morphological component, which can be explained by the intentional emphasis of
the created guidelines.
5 Conclusions
In the long run, a sustainable city means adaption, reorganization, reformation and
regeneration. Therefore, the morphological dimension of sustainability is as
important as the ecological, social and economical. As has been noted the
morphological aspect is on a great extent important if it comes to the
implementation of sustainable principles into urban design.
What Mumford observes concerning cities which need to be areas of “effective
symbiosis” [5], is further implemented into the conceptual model of the
Community Block. The future urban block is a proposal with a flexible urban form
in order to be adjusted based on community needs and social mixture. The
Figure 4: The areal-measured orientation of the proposed urban design

guidelines towards the four parameters.
Community Block is a matrix of patterns and relationships related to each other

with a common aim; to improve the social connectivity of urban environments.
All things considered the model tends to create more images than structures and
built forms due to the fact that urban process is more essential than the actual urban
form; it advocates that in the scale of urban design the process of urbanism is more
important than architecture. It is essential to point out that the Community Blocks
can work efficiently only in relation to the other parts of the city. Finally, the
proposed urban design guidelines showcase how dynamic can be the intertwined
relationships of sustainability, whereas morphological characteristics are
significantly important for creating a comprehensive strategy for the urban context
of the Community Blocks.
References
[1] Moughtin, C., Urban design: Street and Square, Oxford: Architectural Press,
2003, p. 193.
[2] Williams, K., Burton, E., Jenks, M. (eds). Achieving Sustainable Urban Form,
London: Spon Press, 2001, p. 355.
[3] Dempsey, N., Brown, C., Raman, S., Porta, S., Jenks, M., Jones, C. and
Bramley, G., Elements of Urban Form. Dimensions of the Sustainable City
Jenks, M. and Jones, C. (eds.), London: Springer, pp. 21-51, 2010.
[4] Jacobs, A.B., Great Streets. Cambridge, MA: The MIT Press, 1995, p. 8.
[5] Mumford, L., The Culture of Cities. The Sustainable Urban Development
Reader, Wheeler, M. S. and Beatley, T. (eds.), London: Routledge, pp. 18-22,
2008.
Sustainability assessment of an urban

neighbourhood revitalization project in
Bogotá, by transposition of a European
indicator system to the Colombian context
A. V. Cifuentes, S. Lufkin, M. Riera & E. Rey
Laboratory of Architecture and Sustainable Technologies (LAST),
École Polytechnique Fédérale de Lausanne (EPFL), Switzerland
Abstract
With 80% of its population living in cities, Latin America is one of the most
urbanized regions in the planet. Its urban areas are characterized by rapid
transformations that entail urban sprawl and its subsequent environmental impacts,
social segregation and poverty. Urban revitalization of deteriorated inner-city
areas appears as an alternative that seeks to combat these problems and contribute
to create more sustainable cities. To support this strategy, it is necessary to develop
sustainability assessment methodologies specifically adapted to projects in Latin
America. This paper presents the sustainability assessment of the Progresa Fenicia
neighbourhood revitalization project, located in Bogotá. The methodology was
developed by transposing a European indicator system to the Colombian context.
The objective is to support the creation of indicator systems to assess the
sustainability of urban revitalization projects at the neighbourhood scale in
Colombia. It demonstrates that, to create sustainable neighbourhoods and
consequently sustainable cities in a Latin American context, it is not enough to
just consider physical and environmental variables related to density, mix land
uses and mobility. It is necessary to consider sociocultural, politic and economic
issues associated with the guarantee of human rights in the urban context and
innovative governance models which prioritize the participation of local
community and its empowerment.
Keywords: urban design, urban revitalization, sustainable neighbourhoods,
sustainability assessment, indicator system.
doi:10.2495/SC150081
1 Introduction
Giving priority to the revitalization of inner-city areas is a fundamental urban
planning principle for many European cities seeking to avoid urban sprawl and its
negative consequences [1]. Responding to these new urban challenges, several
European countries have already developed different sustainability assessment
tools for urban revitalization projects at neighbourhood scale [2–4]. On the other
hand, Latin American cities are also facing their boundless growth, and need to
take advantage of the potential of underutilized lands [5]. We can affirm that
sustainable urban revitalization of inner-city areas is a relevant process in the
search for sustainability in European and Latin American cities [6]. However in
Latin America, urban planning presents major challenges, mainly regarding social,
economic and political stability [7–9]. In the specific case of Colombia, urban
planning faces situations of social segregation and economic vulnerability of the
population that arrives to the cities displaced by violence [10]. For these reasons
it is not enough just to apply European good practices in urban revitalization
processes of Latin American contexts. It is necessary to transpose and adapt
European methodologies for the assessment and integration of sustainable
development into different potential solutions for urban revitalization in Latin
America, taking into account the specific challenges of the territory [11].
Trying to fill this gap, the present work aims at transposing European
sustainability indicators into a real urban neighbourhood revitalization project in
Bogotá. This paper explains the conceptual approach of sustainable development
towards a comprehensive and multidimensional sustainability assessment of a
neighbourhood located in a Latin American context, as is the case of Colombia.
Additionally the methodology of the transposition process is described. Finally,
results and main conclusions of the neighbourhood assessment in Bogotá are
exposed.
2 Urban revitalization for sustainable urban development

The sustainability of cities is not possible if their components (neighbourhoods)
do not contribute to their overall sustainability [12]. Therefore, urban revitalization
projects focusing on neighbourhood scale must allow cities to concretize their
objectives of sustainable development. Indeed, neighbourhood scale appears to be
a very appropriate scale for planning. It is the place where inhabitants develop
their lives [13], which allows the analysis of physical and human variables.
Furthermore, the notion of sustainable neighbourhood is situated exactly at the
crossroads between the art of constructing sustainable buildings and the art of
managing a sustainable city [14]. By definition, it is based on a global-local
approach, which enables the understanding of a variety of aspects at different
scales.
To develop a holistic approach towards sustainable development,
understanding the objectives of the territory from this global-local approach is
essential [15]. It involves knowing the shared objectives between European and
Latin American countries, and local objectives of cities in each context.
Accordingly, to achieve a sustainable urban development, Latin American cities

must seek a solution to urban sprawl, but also overcome social segregation,
poverty and lack of trust in government [16]. Hence, the notion of sustainable
urban revitalization established in this paper, includes not only the regeneration of
physical-spatial conditions of the city, but also its human and immaterial
conditions [17].
3 Sustainability assessment at neighbourhood scale

To develop a sustainable revitalization project at neighbourhood scale, several
principles can be found in the literature. Most authors highlight the necessity to
use decision-support tools and monitoring assessment indicators to ensure the
integration of sustainability principles all along the project process [1, 15, 18–20].
Mainly in Europe, North America, Australia and China, sustainability
assessment tools are used to measure the success of a neighbourhood in
approaching sustainable development goals. However, most of the available tools
do not involve a holistic approach regarding the simultaneous integration of social,
economic and environmental aspects [21]. This can be explained by understanding
Sharifi and Murayama’s classification [2] that divides neighbourhood assessment
tools (NSA) into two groups: “spin-off tools” and “plan-embedded tools”. The
first category consists of tools derived from building assessment methodologies,
which tend to privilege environmental indicators. It is the case of LEED-
Neighbourhood Development [22] and BREEAM-Communities [23]. The second
category includes tools that contain indicators related to urban plans at
neighbourhood scale, i.e. they follow an approach of sustainable city. As a result,
these tools, such as HQE2R [24], SmèO [25] and SIPRIUS [1], have a better
performance supporting the decision-making process of urban revitalization
projects.
It can be concluded that plan-embedded tools enable performing a
comprehensive sustainability assessment of the neighbourhood, by analysing
physical and human variables taking into account the three pillars of sustainability
in a transversal way. Furthermore, they allow measuring the success of the
neighbourhood responding to the sustainable development goals of a particular
context, which is the main objective of the sustainability assessment at
neighbourhood scale.
4 Assessment criteria transposition:

from Europe to Latin America
Considering the characteristics described in the preceding chapter, three “plan-
embedded” tools were analysed in order to select the most appropriate tool for the
transposition to a Latin American country. The selected tools share two
fundamental characteristics: transversality, i.e. their system of indicators take into
account the three pillars of sustainability, and flexibility i.e. their indicators are
related to urban land policies which probably are shared with other contexts.
To make the final selection three criteria were defined (see Table 1): Pragmatic
criteria regarding the scale and the type of intervention, Latin American criteria,
taking into account the importance of encouraging a new governance which
considers the participation of inhabitants in neighbourhood revitalization
processes [11], and the Transposition criteria, which means it has to be a tool
already transposed to different contexts.
Table 1: Assessment of 3 different plan embedded tools according to 3 defined

criteria.
Criteria INDI (HQE2R) [15] SméO [25] SIPRIUS [1]

Building and
neighbourhood scales/
Neighbourhood Neighbourhood
Scale and type New neighbourhoods,
scale/Renewal scale/Regeneration
of intervention adaptation for
projects of brownfield sites
renewal projects in
process
Consultation
Consultation between
Consultation between between stake-
Governance stakeholders is not
stakeholders is holders is not
and inhabitants compulsory but
compulsory compulsory but
possible
possible
Already tested on Adaptation to other
Only used in the
Adaptability different European European contexts
Swiss context
contexts in process
Good Uncertain Bad
Based on this analysis, the indicator system called INDI was selected. It
responds well to the three defined criteria. INDI is the operational tool of HQE2R,
which is a project coordinated by the Centre Scientifique of Technique du bâtiment
(CSTB) in France [24]. The operational structure of INDI is based on 4 objectives,
20 themes and 127 indicators. It integrates a global-local approach that takes into
account major global goals but also local issues according to the Grenelle Law of
the Environment, practices and goals of local actors, and the needs of the context
[15].
After the selection of the tool its indicators were evaluated to initiate the
transposition which implies three major steps. Firstly, indicators from INDI are
selected taking into account the global objectives of Latin America [5] and the
local objectives of Bogotá, according to the Exceptional Modification of its Land
Management Plan [26]. Secondly, considering the specific needs of the local
context, complementary indicators were integrated into the assessment
methodology. Finally the selected indicators were adapted to the local context.
4.1 Choice of indicators
In order to select from the 127 indicators of INDI, the most coherent ones with the
context of Bogotá, 4 criteria were defined (see Table 2). Considering a global-
local approach they aimed at identifying which of the INDI indicators best
represented urban planning challenges in Bogotá, Colombia and Latin America.
Table 2: Criteria for indicators selection.
Criteria Description Approach

In a globalized context, these indicators stimulate the
Innovation
development of a polycentric and compact city model [27].
Taking into account that Latin America is the most urbanized
and segregated region in the world, human right indicators Global
Human
are valuable on the way to a more respectful human rights
Rights
society. Specifically in the urban revitalization context, the
Right to the City is a main objective [28, 29].
Indicators that seek to build a positive citizenship culture
Identity
[30].
Local
Indicators related to the public policies of the Exceptional
Territory
Modification of the Land Management Plan of Bogotá [26].
These criteria allowed the selection of 33 indicators (26% of INDI), meeting

the global and local needs of the territory. Public policies of the Land Management
Plan of Bogotá were taken into account in a transversal way so each indicator is
related to a public policy of the local context.
4.2 Integration of specific indicators
The local context faces specific problems which are not taken into account by the
INDI system. To achieve a comprehensive evaluation of an urban revitalization
project in Bogotá, it is necessary to incorporate new indicators that respond to
local issues. Consequently, the assessment methodology is enriched with 2 new
themes which are described below.
4.2.1 Re-densification
Bogotá is considered one of the densest cities in the world [31], its land
management policies do not seek a densification of the city but a re-densification
[32], which makes necessary to address this issue not only in human terms (as it
is studied in INDI, item 5 [15]) but also in physical spatial terms. Consequently
occupation and land use indicators from the assessment tool SméO [25] are
incorporated into the assessment methodology. The amount of occupied floor and
the built area are evaluated in order to preserve green areas and to generate public
space.
4.2.2 Accessibility to basic urban services

One of the biggest problems of Bogotá, as well as of most Latin American cities,
is urban informality, which means people living without basic urban services [5].
As it is a very specific problem in developing contexts, it is not taken into account
by INDI, neither by the other analyzed assessment tools. Therefore, a new
indicator that assess in a qualitative way the accessibility of the neighborhood to
water, sanitation and electricity is created.
4.3 Transposition of indicators
The result of the above-described process is a list of 35 indicators which aim to

assess, from a multidimensional perspective, the success of a neighbourhood in
meeting sustainable development challenges in the capital of Colombia. In this
perspective, the transposition process must go beyond the mere selection of
indicators, and their structure has to be studied for a better contextualization. In
conclusion 34% of the indicators remained as described in INDI (I) while 60%
were modified in their structure (M) which means that the measuring method and
the rating system were adapted according to laws, regulations, methods and trends
of urban revitalization in Bogotá. Lastly 6% correspond to new indicators.
Table 3: List of indicators meeting urban land policies of Bogotá.
Urban Land Policies

Indicators I M N
MEPOT [26]
1 Knowledge and respect for ecological continuity x
2 Biotope coefficient x
Environmental
1 3 Tree coverage x
Sustainability
4 Rainwater management x
5 Outdoor air quality x
6 Consideration of climate change (natural risks) x
7 Building orientation and optimization of free solar gains x
Risk Management
Energy efficiency of residential buildings (new and
2 and Adaptation to 8 x
existing)
Climate Change
9 Reduction of artificial lighting needs x
10 Illumination level of public lighting x
11 Mix land uses x
12 Quality of residential buildings and dwellings x
3 Urban Habitat
13 Social mix: social rental housing x
14 Safety of people and property x
15 Education in civic culture x
Differential 16 Transversality of the project management structure x
4
Approach 17 Sustainable Development project charter x
18 Participation of residents and users x
19 Use of local materials x
20 Actions for sustainable employments x
5 Productivity
21 Proficiency of project's economics x
22 Assessment of procedures x
23 Net human density x
6 Revitalization
24 Occupation and land use x
7 Heritage 25 Preservation and promotion of heritage x
26 Access to structuring transport x
27 Bicycle slots in buildings x
8 Mobility
28 Bike paths x
29 Quality of pedestrian paths x
30 Accessibility to basic urban services x
9 Public Services 31 Management of construction waste x
32 Household waste management x
33 Surface area of public green spaces x
10 Public Space
34 Enhance the quality of the urban form x
11 Urban Equipment 35 Proximity and access to urban equipment x
5 Sustainability assessment of Progresa Fenicia project

Having completed the indicators transposition process, the sustainability
assessment of the neighbourhood revitalization project in Bogotá is possible. This
chapter presents the selection of the case study, and the evaluation of the most
relevant indicators.
5.1 Choice of the neighbourhood
The criteria described in Table 4 are defined in order to select a revitalization

project having an impact on the achievement of the sustainable development goals
of the city of Bogotá. In addition, the case study should include not only physical
and environmental issues but also socio-cultural, political and economic ones.
Hence, the project can be evaluated following a multidimensional approach, as the
one here developed.
Table 4: Criteria defined in order to choose the neighbourhood revitalization

project.
Criteria Theme Description

Have a global urban logic in which the
Density, mobility,
Innovation densification, mobility and mix land uses are
mix land uses
privileged. The concept of compact city [27].
Human The Right to the Take into account the Right to the City [28, 29] of
Rights City pre-existing and future inhabitants.
The common interest prevails over individual
interests of the promoters of the project. The idea
New Common sense
is to build a shared story [34] which means that
Governance and participation
participation of inhabitants is necessary from the
beginning.
An intermediate size (5–10 ha) that enables a
Project size complete analysis of physical and human
Pragmatic
variables.
conditions
Information A revitalization project published on the website
accessibility of the District Planning Secretariat of Bogotá [35].
The modification of the Land Management Plan of Bogotá proposes an

approach of urban development in which the re-densification, mobility and mix
land uses are key strategies for sustainable development [26]. Within this focus 21
urban revitalization projects were identified [32] of which only one fulfilled all the
defined criteria described in Table 4. This is the urban revitalization project called
“Progresa Fenicia” [33].
5.2 Sustainability assessment of the revitalization project

“Progresa Fenicia”
Progresa Fenicia is an ambitious urban neighbourhood revitalization project,

located at the center of Bogotá and led by the University of Los Andes. Its main
challenge is to reduce social segregation avoiding gentrification, being the only

urban process with these characteristics in Bogotá. The project was already
approved by the District Planning Secretary and this year it is expected to initiate
the construction of the first phase.
Four representative indicators were selected to illustrate synthetically the
sustainability assessment of Progresa Fenicia neighbourhood (see Table 5) and
also to show the differentiating features of the project. They are related to 4 public
policies of the Land Management Plan of Bogotá [26], and classified according to
the selection criteria of indicators in Table 2 (Innovation (In), Human Rights (Hr),
Identity (Id), New Governance (Ng)), the multidimensionality or three pillars of
sustainability (Environmental (En), Social (So) and Economic (Ec)), and the type
of indicator (quantitative (Qn) or qualitative (Ql)).
Table 5: Selection of 4 representative indicators illustrating the assessment

process.
Criteria 3 Pillars Type

Public Policies Indicator In Hr Id Ng En So Ec Qn Ql
Global
Occupation and
Re-densification 1 X X X
land use
Actions for
Productivity 2 sustainable X X X
Local
employments
Social mix: Social
Urban Habitat 3 X X X
rental housing
Governance
Differential Participation of
4 X X X X
Approach residents and users
Indicators related to re-densification, productivity, urban habitat and

differential approach are described below. A scale from 0 to 5 allows placing the
results of the assessment, where 0 is a not considered variable, 3 is an acceptable
practice and 5 is the best practice.
5.2.1 Occupation and land use (Innovation)

The revitalization project seeks, on the one hand, to reduce the lot coverage from
0.47 (actual scenario) to 0.25, this in order to offer a more open urban structure
with a wide range of public space. As a result public space is almost doubled, from
3.8 ha in the actual scenario, to 6.2 ha in the revitalization scenario as shown in
Figure 1. On the other hand the floor area ratio is increased from 1.41 to 2.96,
which complies with legal land regulations regarding re-densification. As a result
a rating of 5 is given to this indicator.
Figure 1: Re-densification of Progresa Fenicia neighbourhood and

reconfiguration of its public space [33].
5.2.2 Actions for sustainable employments (Human Rights)

Informal employment is a recurrent feature of neighbourhoods in developing
contexts [9]. According to the study of social and economic dynamics of the
neighbourhood [33], one of the main challenges is to encourage the creation of
formal jobs. For that purpose two training programs were created: the program
“Training for Work” addressed to young people between 15 and 25 years old, and
the program “Business start-up Fenicia” addressed to small entrepreneurs in the
sector. The rating for this indicator is also 5 as the ultimate goal is to combat
informality by empowering inhabitants with a job that gives them financial
stability and self-confidence.
5.2.3 Social mix: social rental housing (Human Rights)

Social mix in Latin America is a strategy against segregation [34]. In Progresa
Fenicia more than 20% of the dwellings will be destined for actual residents of the
neighbourhood who are currently living in precarious conditions, and also for
future residents with the same economic difficulties. The aim is to ensure the Right
to the City of vulnerable people by assuring them dignified housing in an inner-
city area where they will have accessibility to different urban services. The rating
for this indicator is 4, taking into account that social mix in the city of Bogotá
faces the obstacle of the socio-economic stratification system which limits social
mix possibilities.
5.2.4 Participation of residents and users (Identity and New Governance)

Since the beginning of the design process the model of “participatory urban
design” has been implemented. It involves the development of 4 types of
workshops where residents are participating [36]. This model allows knowing the
desires, interests, fears and expectations of pre-existing and future inhabitants in
relation to the transformation of the neighbourhood. All this information is being
considered in the design criteria and in the project development, for this reason a
rating of 5 is given to this indicator.
5.3 Results
The sustainability assessment allows measuring the success of the neighbourhood

revitalization project in approaching sustainable development goals of the city of
Bogotá. The radar chart (Figure 2) summarizes the assessment and results of the
35 indicators listed in Table 3. It also highlights the strengths and weaknesses of
the revitalization project.
Figure 2: Synthesis of results regarding 35 indicators.
Progresa Fenicia responds well to indicators related to mix land uses (11),
mobility (26), and density (23, 24), which means that the revitalization project
follows the concept of a polycentric compact city model. Regarding the guarantee
of human rights in an urban context [29], it was demonstrated that Progresa Fenicia
guarantees the right to water and to access and supply of domestic and urban public
services (30, 32, and 35), the right to work (20) and the right to housing (12, 13).
Concerning the right to a healthy and sustainable environment, a good
performance was observed for the following indicators: knowledge and respect for
ecological continuity (1), biotope coefficient (2) and surface area of public green
spaces (33). Finally, indicators related to a new governance model that stimulates
the transversality of the project management (16), the participation of residents

and users (18) and the empowerment of citizens (15) reach the best performance.
The weaknesses of the revitalization project concern topics related to
environmental sustainability such as rainwater management (4), which can be
improved by the project, and outdoor air quality (5). The latter issue related to the
context where the neighbourhood is located, which makes it harder to improve. A
low performance was also observed for the optimization of free solar gains
indicator (7), which can be explained by the fact that bioclimatic urbanism is a
very recent concept in Bogotá.
Two indicators related to procedures also obtained low scores. They concern
the introduction of a sustainable development charter (17) and the assessment of
procedures (22) issues that have not been taken into account yet and that may help
to guide the project towards better performances.
6 Discussion
The indicators choice according to the criteria of innovation, human rights and
new governance, and their transposition to the Colombian context, allowed the
evaluation of 35 key issues for achieving the objectives of sustainable
development of Bogotá. The assessment of Progresa Fenicia revitalization project
teaches that, although a comprehensive approach of the three pillars of
sustainability is necessary, social and economic indicators related to human rights
and new governance are those that require more effort and, at the same time, those
that will really support the achievement of the major goals of Latin America
concerning social segregation, poverty and lack of trust in government.
Accordingly, it is not enough to just consider physical and environmental variables
in neighbourhood revitalization projects of Colombia.
7 Conclusion
It is the first time that a European indicator system, for urban neighbourhood
revitalization projects, is transposed to a Latin American context. This exercise
required a holistic view of sustainable development and also a global-local
approach which helped to structure not only the transposition process but also the
sustainability assessment methodology. The result is the sustainability assessment
of a neighbourhood revitalization project in Bogotá, which provides a
comprehensive and multidimensional understanding of the planning decisions
taken at the neighbourhood scale, and their impacts on the sustainable
development goals of the city, the country and the region. Therefore, this work is
a foundation stone towards sustainable revitalization in Latin America, and opens
the research towards the creation of a sustainability assessment indicators system
for Colombian urban contexts, which may truly support the decision-making
process during the development of different neighbourhood revitalization
processes.
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une évaluation intégrée à la dynamique du projet, Louvain-La-Neuve:
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design: a review, Proceedings of the ICE – Urban Design and Planning,
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Neighborhood Environments, Sustainability 2009, 1, pp. 612-627.
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Hábitat). Estado de las ciudades de América Latina y el Caribe 2012,
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world’s cities 2012/2013, UN Publication: Nairobi, Kenya, 2012.
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projections, and key challenges for sustainability, Technology in Society,
28, pp. 63-80, 2006.
[8] Bolay, J.C., Pedrazzini, Y., & Rabinovich, A., Quel sens au “développement
durable” dans l’urbanisation du tiers monde?, Les annales de la recherche
urbaine, 86, pp. 77-84, 2000.
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urbana para el desarrollo sostenible en América Latina y el Caribe,
Publicación ONU: Santiago de Chile, 2003.
[10] Bello, M., El desplazamiento forzado en Colombia: acumulación de capital
y exclusión social. Aportes Andinos No 7. Quito: Universidad Andina
Simón Bolívar, Sede Ecuador; Programa Andino de Derechos Humanos,
8p, 2003.
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Estudio sobre las condiciones generales para la revitalización de áreas
urbanas en México, Colombia, Ecuador, Brasil y Chile, Imprenta Mariscal,
Quito, Ecuador, 2011.
[12] Choguill C.L., Developing sustainable neighborhoods. Habitat
International, 32, pp. 41-48, 2008.
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dans les projets d’aménagement et de renouvellement urbain. Actes de la
conférence européenne des 2 et 3 février 2004, La Calade: Cannes, 2004
[14] Lefèvre P., & Sabard M., Les écoquartiers. L’avenir de la ville durable.
Apogée, 261p, Rennes, 2009.
[15] Charlot-Valdieu C., & Outrequin P., Concevoir et évaluer un projet
d’ecoquartier avec le référentiel INDI. Édition Le Moniteur, París, 2012.
[16] URB-AL III, Desarrollo urbano sostenible en Latinoamérica, Parte 2:

Lecciones aprendidas en proyectos piloto de la revitalización de áreas
urbanas en México, Colombia, Ecuador y Brasil, Edición 500, 2012.
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[18] Luederitz, C., Lang DJ., & Von Wehrden, D., A systematic review of
guiding principles for sustainable urban neighborhood development,
Landscape and Urban Planning, 118, pp. 40-52, 2013.
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renewal scenarios for an existing neighborhood. Case study in Lausanne
(Switzerland). Building and Environment 65, pp. 58-70, 2013.
[20] Laprise, M. Intégration des enjeux de la durabilité aux projets de
régénération de friches urbaines: Du référentiel théorique à l’outil de
monitoring opérationnel. Thesis in progress within the Laboratory of
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Eyrolles, 2009.
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Inc., 2011.
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développement durable, La Calade, 2004.
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Lausanne: Etat de Vaud, Ville de Lausanne, 2009.
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Bogotá, 2013.
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Barcelona, 2004.
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espacio público: motivaciones y regulaciones, Presentación en el Encuentro
de Representantes de Gobiernos Subnacionales de la Unión Europea y
América latina. Lecciones y Experiencias del Programa URB-AL, Rosario,
Argentina 3–5 de julio, 2007.
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N°22: Densidades Urbanas. Bogotá, 2011.
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centro ampliado. Primer Simposio Internacional de Renovación Urbana,
Bogotá, 2012.
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de Fenicia, Bogotá, 2014.
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from broad urban stories to everyday tales, 6th Conference of the
International Forum on Urbanism (IFoU). pp. 1-11, Barcelona, 2012.
[35] Secretaría Distrital de Planeación (SDP). Planes Parciales de Renovación

Urbana, Website, Bogotá DC http://www.sdp.gov.co/
[36] Universidad de los Andes, Visiones Futuras Fenicia. Talleres de
composición participativa, Bogotá, 2014.
Monitoring urban storm water: facing climate

changes in a Mediterranean coastal city
N. Veloso1, P. Cruz2, H. Carvalho1 & M. Moreira da Silva3,4
1
Faculty of Sciences and Technology, University of Algarve, Portugal
2
Portuguese Environmental Agency (APA-ARHAlgarve), Portugal
3
Institute of Engineering, University of Algarve, Portugal
4
CIMA Centro de Investigação Marinha e Ambiental,
University of Algarve, Portugal
Abstract
In the actual global climate change scenario, Mediterranean cities are particularly
vulnerable to floods and droughts, destabilizing the urban water cycle. During the
intense precipitation events, more than in normal rainfall scenarios, the resulting
diffuse pollution can be a major threat to the natural ecosystems and human health.
Therefore, the characterization of the urban storm water runoff is considered of
the utmost importance to the region, and was the main objective of this work. With
this purpose, a monitoring plan for urban storm water of Faro (Portugal) was
developed. Representative sampling locations, frequency of sampling and
analytical parameters were defined. A major storm of the 2014–2015 wet season
was monitored. The analytical parameters were TSS, BOD, COD, pH,
Conductivity, TN, TP, Ni, Cd, Pb, Total Hydrocarbons and E. coli. Results showed
that, mainly during the first 45 min of the precipitation event, some levels of
pollutants (e.g. Pb), can be high enough to cause serial disturbances in the Ria
Formosa ecosystem and thus in human health.
Keywords: urban storm water, Mediterranean coastal city, climate change, EMC,
urban pollutants.
1 Introduction
Ecosystems sustain societies that create economies. But although human beings
are a product of the natural world, we have become the dominant force that shapes
ecological and biophysical systems. Societies developed infrastructure projects,
doi:10.2495/SC150091
for instance, building large industrial and urban areas, particularly in coastal zones
to have access to sea ports (ADB [1]). High concentration of people,
infrastructures and economic activity mean that urban centres are highly exposed
to natural hazards and climate change risks (WWF [2]). Sustainable urban water
management is a great challenge to coastal cities, in the current scenario. This
study was performed in Faro (Figure 1), which is a Mediterranean coastal city
located at south of Portugal in Algarve region, near Ria Formosa.
Figure 1: Location of Faro.
This coastal lagoon is a Natural Park with a relevant socio-economic role,

associated to several activities, such as recreation, fisheries, salt extraction, and
aquaculture, namely shellfish production. The city has a population of 44,119, and
the land use is mainly urban (INE [3]). The urban perimeter catchment has
4.7 km2, with an impervious surface of 96%. The mean annual precipitation is
509.1 mm with a monthly variation between 1.9 mm (in July) and 115.6 mm (in
December). The wet period is between October and April. The Köppen climate
classification is Csa – a Mediterranean climate with rain being mostly regulated
by frontal systems (Miranda [4]). The hydrological response of the basin is
dominated by long dry periods followed by the wet season, in which rain events
are usually short and intense. As presented in Figure 2, there are seven sub-
catchments linked to seven discharge points within the urban perimeter catchment.
There are no previous studies concerning urban storm water in Faro, therefore
a methodology for all the different phases was developed following a multi-
discipline effort.
2 Methodology
2.1 Precipitation monitoring and meteorological forecast
The precipitation was monitored by one rain gauge located at no longer than
5000 m from the farthest point of the catchment and it is characterised by a
0.1 mm tipping bucket and a temporal resolution of 1 minute. Meteorological
Figure 2: Urban perimeter SC (from 1 to 7).
forecast was made using the Global Forecast System – GFS numerical model with
a resolution of 50 km (Kanamitsu et al. [5]), and the Weather Research and
Forecast – WRF numerical model with a resolution of 9 km (Michalakes et al.
[6]). It is not the intent of this study to detail these numerical models.
2.2 Site selection
The site selection was done using three criteria: accessibility, representativeness,
and safety. Accessibility to the discharge points is a compulsory condition at all
times, and is not possible at SC 2 because it’s located on private property. Sub-
catchments 1, 3, 4, 6 and 7 can be accessed by paved roads. Sub-catchment 5 can
only be accessed by water. Faro is considered a city with homogeneous land use,
so representativeness was measured considering the relative area of the SC to the
total area of the urban catchment. The relative areas were measured: SC 1 (17.0%);
SC 2 (0.9%); SC 3 (0.5%); SC 4 (20.0%); SC 5 (5.6%); SC 6 (30.7%); and SC 7
(25.3%). Concerning safety, and given the sloped access, SC 1, SC 2 and SC 7
have low risk of accident, SC 3, SC 4 and SC 6 have medium risk, and SC 5 has
high risk, in this case depending on tides. The main sampling SC was chosen using
the criteria mentioned above, in a three step exclusion scheme. The first exclusion
step was the accessibility to sampling site, with SC 2 and SC 5 being excluded.
On the second step, the combination of representativeness and safety was
evaluated, and showed that SC 1, SC 3 and SC 4 should be excluded. On the third
step all mentioned criteria were used. The two remaining sub-catchments, SC 6
and SC 7 have good accessibility and similar representativeness, but SC 7 has safer
conditions, and was therefore chosen as the main sampling SC.
2.3 Sampling
A major storm of the 2014–2015 wet season was monitored on the 15 of January,
2015. Samples were collected every 15 min during the first hour after the rainfall
event start, and then every 30 min until the end of the event.
2.4 Parameters
The selected parameters were Total Suspended Solids (TSS), Total Nitrogen (TN),
Total Phosphorus (TP), Chemical Oxygen Demand (COD), Biochemical Oxygen
Demand (BOD), pH, Conductivity, Nickel (Ni), Cadmium (Cd), Lead (Pb), Total
Hydrocarbons (TH) and Escherichia coli (E. coli) All analysis were performed by
the Sanitary Engineering Laboratory of the University of the Algarve, accredited
for water analysis (national code L0306), and analytical methods are presented in
Table 1.
Table 1: Analytical methodology.
Parameter Unit Method Reference

Persulfate digestion and
TN SMEWW mg/L N Ultraviolet Spectrophotometric Eaton et al. [7]
Screening Method
Flame Atomic Absorption:
Cd mg/L Cd Eaton et al. [7]
Air-Acetylene Flame method
BOD5, 20°C mg/L O₂ Respirometric method Eaton et al. [7]
COD mg/L O₂ Colorimetric method Eaton et al. [7]
Pb mg/L Pb Eaton et al. [7]
Conductivity at 20°C in situ µS/cm Electrometric method Eaton et al. [7]
Escherichia coli N/100 mL Membrane filtration ISO [8]
Flame Molecular Absorption:
TP mg/L P Eaton et al. [7]
Ascorbic Acid Method
Ni mg/L Ni Eaton et al. [7]
Sorenson
pH in situ Electrometric method Eaton et al. [7]
scale
TSS mg/L Gravimetric method Eaton et al. [7]
Gas Chromatography: Flame
TH mg/L --
Ionization Detector
2.5 Calculations
Event Mean Concentration (EMC), determines pollutant loads from a site and is
representative of average pollutant concentrations over an entire runoff event
(Heart et al. [9]). The EMC is an important factor in predicting the total pollutant
load, and therefore a critical parameter for estimating the contribution of runoff to
the ecosystem (Maniquiz et al. [10]). EMC was determined using eqn. (1):
(1)
where:
EMC = event mean concentration (mg/L);
M = total discharged mass of pollutant (mg);
R = total runoff volume (L).
Total discharged mass of pollutant (Load) was determined using a runoff-

weighted trapezoidal rule for numerical integration with a non-uniform grid
(Atkinson [11]), as shown in eqn. (2):
1
. | |
2
(2)
1
| |
2
where:
Ri = initial runoff (L);
Rf = final runoff (L);
R = accumulated runoff (L);
N = number of samples;
k = sample number;
C = pollutant concentration (units according to pollutant).
Runoff volume was determined using an adaptation of the Simple Method
(McCarthy [12], Schueler [13]) with eqn. (3):
∗ (3)
where:
R = runoff (L);
P = precipitation (L);
Rv = runoff coefficient.
Runoff coefficient was determined with eqn. (4):
0,05 0,9 4
where:
Rv = runoff coefficient;
Ia = percent impervious area draining to the sub-catchment in decimal form.
3 Results and discussion

3.1 Characterization of the event
The rainfall event lasted for 174 min, having its maximum intensity peak of 20.4
mm/h at 115 min, and total accumulated rainfall of 12.7 mm (Figure 3).
3.2 Evolution of pollutants during the event
In general, there was a clear peak in pollutant concentrations in the first 31 min
(16 min after runoff start) for all parameters except E. coli, which had the
maximum peak later. These results indicate a typical first flush effect. The
concentration of pollutants at the beginning of the event is substantially higher
than during later periods (Lee et al. [14]). Runoff began 15 min after the rainfall
Figure 3: Hydrograph.
start. The results of the TSS, BOD and COD analysis are shown in Figure 4.
According to previous studies in other urban areas (e.g. Lee et al. [15]), similar
temporal evolutions of the TSS, BOD and COD were observed. Maximum
concentration of TSS was 2507 mg/L at 31 min and minimum 50 mg/L at 209 min.
Concentrations of BOD and COD were maximum at 31 min with 500 mg/L.
Minimum values were obtained at 209 min, 22 mg/L for BOD and 40 mg/L for
COD. Total suspended solids can be related to multiple sources, such as, pavement
wear, construction sites, waste and atmospheric deposition, among others (Lee et
al. [15], Barbosa et al. [16]), and can therefore be associated to BOD and COD
values in different ways, according to the respective origins. Organic matter
present in storm water is mainly of vegetal origin, but animal waste or dead
organisms can also contribute to the BOD and COD values (Lee et al. [15],
Barbosa et al. [16]).
Figure 4: Evolution of TSS, BOD and COD.
As previously demonstrated, e.g. in the French Mediterranean Coast

(Obermann et al. [17]), TN and TP had similar behaviours during the event (Figure
5). Maximum concentrations of TN and TP occurred at 31 min, 72 mg/L and 19.2
mg/L respectively, and minimum at 209 min, 3 mg/L and 0.8 mg/L, respectively.
In the case of TN at 124 min, another minimum value of 3 mg/L was observed.
Figure 5: Evolution of TN, TP and E. coli.
The most important sources of N and P in urban areas, are atmospheric

deposition and fertilizers used in the treatment of urban green areas (Lee et al.
[15], Barbosa et al. [16]). In terms of microbiological results, the first peak of E.
coli occurred at 47 min, which can be related to the first flush effect, followed by
a decreasing to 3 x 103 N/100 mL at 67 min. At 96 min, during a peak of rainfall
intensity, a second maximum of E. coli (9 x 103 N/100 mL) occurred, perhaps due
to a non-authorized wastewater discharge to the storm water system. Wastewater
cross connections, leakages and overflows are common origins of E. coli, when
precipitation intensity peaks exist (McCarthy et al. [18]). According to previous
studies (House et al. [19], D’Arcy et al. [20], Moy et al. [21], Ellis and Mitchell
[22]), E. coli in the UK ranges between 400 and 50,000 MPN/100 mL, associated
with specific urban land use types and surfaces. The temporal evolution pattern of
Conductivity was according to the first flush effect, with a maximum of 430 µS/cm
at 31 min, and a minimum of 66 µS/cm at 124 min (Figure 6). Cadmium, Ni and
Pb had similar variations during the event, with some particular differences,
namely to Pb. The maximum of Pb concentration was 93.42 µg/L at the beginning
of the event, followed by a decreasing. A second peak of Pb occurred at 124 min.
The minimum concentration of Pb was 7.77 µg/L and was observed at the end of
runoff. The first flush effect was clearly noticed also on Ni and Cd concentrations.
Maximums were at 31 min, with 21.56 µg/L Ni and 2.32 µg/L Cd. The minimum
concentrations occurred from 96 min to Ni (4.96 µg/L) and from 124 min to Cd
(0.56 µg/L). In general, Cd, Ni and Pb have the same sources: tire wear, lubricating
oils, fuel, and diverse metallic structures such as road signs, roofs or covers
(Barbosa et al. [16], Gikas and Tsihrintzis [23]). In this study, according to official
data, the main anthropic pressures associated to the presence of heavy metals, are
traffic and urbanization.
Figure 6: Evolution of Conductivity, Ni, Cd and Pb.
Total Hydrocarbons (C10–C40) were lower than 0.1 mg/L (Limit of

Quantification) during all event. Main sources of TH in urban basins are fossil fuel
combustion, road and pavement wear, tire wear, and plastic materials from
construction, or other temporary structures (Lee et al. [15], Barbosa et al. [16]).
During this event, pH ranged between 7.1 and 8.0, which are common values to
surface waters (Smith [24]). Event Mean Concentrations and loads were calculated
and are presented in Table 2.
Table 2: Pollutant concentrations and loadings.
Urban
Sub-catchment 7 perimeter
catchment
Load per
Load
Parameter EMC (mg/L) unit area Load (kg)
(kg)
(kg/km2)
TSS 316 4661 3950 18565
TN 9 126 107 502
TP 2.1 32 27.12 127
Ni 6.73 x 10^-3 0.099 0.084 0.394
Cd 0.79 x 10^-3 0.012 0.010 0.048
Pb 33.46 x 10^-3 0.493 0.418 2
TH <0.1 -- -- --
E. coli 4x10^3 -- -- --
3.3 Pollutant concentrations and loadings
The EMC’s for different parameters monitored during this event, were compared
with EMC’s from previous studies (McCarthy et al. [18], Ellis and Mitchell [22],
Brezonik and Stadelmann [25] and Mitchell [26]), despite the different climate
classification of the studied cities. Total Suspended Solids, TN and TP had higher
EMC’s than the UK (Ellis and Mitchell [22]) and the Twin Cities, USA (Brezonik
and Stadelmann [25]). Nickel, Cd and Pb presented lower EMC’s than those
quantified by Mitchell [26], and in case of Pb also by Ellis and Mitchell [22]. The
E. coli EMC is lower than that described by Ellis and Mitchell [22] and McCarthy
et al. [18]. The EMC values obtained can be overestimated or underestimated (eqn.
(1)), which might lead to considerable variations depending on the event
monitored. These variations are reported in several studies (Maniquiz et al. [10],
Lee et al. [15], McCarthy et al. [18], Bi et al. [27], Maniquiz et al. [28] and Ellis
and Chatfield [29]).
In an environmental perspective, loads per unit area were calculated for SC 7,
and then estimated to the entire urban catchment to access the quantity of
pollutants discharged to Ria Formosa. During this event, it was shown that, even
parameters with low EMC’s can represent risk to natural ecosystems and human
health (e.g. Pb).
4 Conclusions
Results showed that, mainly during the first 45 min of the precipitation event, some
levels of pollutants (e.g. Pb), can be high enough to cause serial disturbances in
environment and human health. The risk can be higher in a scenario of climate
changes, in which coastal Mediterranean cities like Faro are particularly
vulnerable to extreme precipitation phenomena, occurring even more frequently.
In the case of Faro, all pollutants are discharged directly to Ria Formosa, which is
a Natural Park, considered of main importance to habitats and biodiversity, but
also to local economy. An integrated urban water management plan should be
developed, with tools and measures, supported by scientific studies to monitor
storms. Mediterranean coastal cities should implement technological solutions like
first flush treatment to reduce the pollution loads from storm runoff, and to achieve
sustainable development.
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Section 2
Planning, development
and management
A new approach to simulate buildings and

their crucial characteristics in a comprehensive
urban simulation environment
M. Ziegler & T. Bednar
Institute of Building Construction and Technology,
Vienna University of Technology, Austria
Abstract
URBEM is an interdisciplinary cooperation between the Vienna University of
Technology and Wiener Stadtwerke. One of the key elements is to find a proper
simulation environment to simulate the effects of different urban development
strategies (e.g. 2020, 2030, 2050) focusing on all buildings, the entire district
heating and cooling grid as well as the whole gas and electricity grid within a
district or even the entire city. The aim of this research is to find a validated method
to create load profiles in terms of scalable density function for individual buildings
and building neighborhoods regarding the heating, cooling and electricity demand
with respect to certain building use cases, thermal qualities, construction year,
HVAC-systems and even the influence of lifestyle aspects. This paper
demonstrates a new approach how to implement buildings and their characteristics
into a new developed urban simulation environment. Due to special requirements
on the urban simulation environment, conventional building simulation tools are
not capable in terms of time efficiency, interoperability and connectivity to deal
with those particular initial parameters to run the entire simulation environment.
By using density functions only the input of a certain urban development scenario,
that is going to be investigated within the URBEM and the quantity of buildings,
is needed to generate aggregated, location and time dissolved heating load curves.
By comparing the results with a detailed simulation, the range of the relative
deviations performs by +/-1.5%, which is an accurate and sufficient result for
using scalable density function within the URBEM simulation environment.
Keywords: urban simulation environment, load profiles, density function, energy
demand validation, building simulation model, urbanization.
doi:10.2495/SC150101
1 Introduction
Global urbanization and sustainable cities are polarizing and central catchphrases
and omnipresent in the media today. Certain technologies as well as road maps
towards sustainable cities already exist. Besides the implementation planners,
consultants as well as political decision makers needs appropriate tools to be
prepared for future challenges and to make, based on that, informed and accurate
decisions.
URBEM is an interdisciplinary cooperation between the Vienna University of
Technology [1] and the Wiener Stadtwerke (Vienna’s biggest utility company) [2].
This comprehensive doctoral course, entitled “Urban Energy and Mobility
System”, covers the work of 10 PhD candidates and 20 professors within 5
faculties at the Vienna University of Technology as well as along with many
experts and decision makers of the Wiener Stadtwerke and the City Council of
Vienna. The aim is to research and develop an interactive environment for
analysing scenarios towards a sustainable and secure supply, affordable and
liveable city by the example of the city Vienna in a holistic and interdisciplinary
approach. A general visual of the URBEM [3] environment is provided in figure
1.
Figure 1: URBEM environment and their dependencies.
This paper addresses a new scientific approach for buildings and their
utilizations to deliver both highly aggregated load profiles to the overall system as
well as detail considerations at the level of local used energy technologies. By
considering the overall energy supply system, the potential of several
decentralized technologies gets determined with respect to an increasing share of
renewables. Therefore time and location dissolved data’s for buildings in terms
of heating demand, cooling demand and electricity demand are crucial.
Besides the role of buildings and their characteristics, URBEM [3]

simultaneously considers the scientific disciplines mobility, the entire energy
supply grid, lifestyle issues, economics as well as computing, big data and the
complexity of visualization within this comprehensive simulation environment
(figure 1). Each topic gets conducted by one PhD candidate and supervised by two
Professors as well as one representative of the Wiener Stadtwerke. One key
challenge within the simulation task force is to make the participating disciplines
interacting to each other on every time step a year. This enables the visualization
of a dynamic and interacting energy grid within an entire city depending on the
investigated scenarios.
2 Building simulation
This comprehensive simulation environment gets newly developed. Therefore
new models for the simulation and overall evaluation for buildings, thermal and
gas grid as well as electrical grid needs to get implemented and make them
interacting among themselves. According to Crawley et al. [4] and Maile et al. [5],
state of the art building simulation programs are generally powerful and enables
almost all detailed calculations to meet extensive requirements regarding the
energy demand of construction physics issues. But almost all programs have one
characteristics in common, they are usually used for simulating only one building
in a time intensive way. The challenge for the URBEM simulation environment is
to find a proper simulation tool to simulate the effects of different urban
development strategies (e.g. 2020, 2030 and 2050) focusing on all buildings, the
entire district heating and cooling grid as well as the hole gas and electricity grid
within a district or even the entire city. Therefore different urban development
scenarios, such as the annual heating or cooling demand, refurbishment rates, etc.,
will be used as initial parameters to run the entire URBEM simulation
environment. Such individual indicators are usually insufficient to run commercial
building simulation software at an accurate quality level. Too many assumptions
have to be made for even starting such a tool. In order to maintain a sufficient
performance and a time efficient duration within an entire urban simulation
environment, the simulation efforts for single buildings supposed to be as low and
as capable as possible.
To meet the above mentioned requirements a new approach has been
developed. The idea is to use validated load profile in terms of density functions
instead of using conventional building simulation tools. The systematic approach
can be seen in figure 2.
Figure 2 points out in clear terms the systematic process to create static load
profile for different building use cases. Therefore every input parameter such as
thermal standards (e.g. nearly zero energy building, passive house), lifestyle
aspects, year of construction and building use case (e.g. residential building, office
building) a validated density function needs to be created. The result will be a
matrix of static density functions and load profiles depending on the requirement
for each time step within the URBEM simulation environment. Due to all density
Figure 2: Systematic approach to generate a static load profile for one building
use case using a validated density function.
function are scalable, only the input of the investigated URBEM scenarios and the
building area within the investigated boundaries is necessary to generate time and
location dissolved load profiles.
3 Density function
For a better understanding of the results, some crucial content of Ziegler et al. [6]
will be repeated briefly in that chapter. In order to validate the density function, 4
different building models have been developed. The different developed building
models can be seen in figure 3.
Figure 3: (a) 2 stories – 22 zones; (b) 1 story – 3 zones; (c) 3 stories – 18 zones;
(d) 6 stories – 21 zones.
While buildings (a) and (c) represent a simple model of a fictive house, building
(d) represents a typical Vienna building built before 1940, which is actually real.
All building types are well represented in Vienna, that’s why those models seems
to be accurate case study building models for further validations within in this
research. In order to achieve a fair validation, all building models have either the
thermal quality of the current Austrian building guidelines [7] – so called BAU-
B, or the thermal quality of a passive house [7] – so called NZEB.
The reference simulation to verify the correctness and level of accuracy of
particular density function gets done by using the validated simulation software
BuildOPT_VIE [8, 9], developed at the Research Center of Building Physics and
Sound Protection at the Vienna University of Technology.
Eqn. (1) shows the calculation of the density function by using H,nd(t,i) and
H,nd(i).
, ,
, (1)
,
h (t,i) density function for each time step and 1 particular building model
t time step (h)
i building type/model
H,nd (t,i) heating demand for each time step and 1 particular building model
(kWh/h)
H,nd (i) annual heating demand for 1 particular building model (kWh/a)
According to figure 3 the following matrix, eqn. (2), for two example density
function can be created.
,
,
, (2)
,
,
h (t, BAU(a)) density function for the BAU scenario and building model (a)
according to figure 3
h (t, NZEB(a)) density function for the NZEB scenario and building model (a)
h (t, BAU(d)) density function for the BAU scenario and building model (d)
h (t, NZEB(d)) density function for the NZEB scenario and building model (d)
In order to calculate H,nd (t,i) by using a density function for each time step
instead of a conventional simulation model, eqn. (3) will be used.
, , , (3)
h,nd (t,i) heating demand for each time step and particular building type
using a density function (kWh/h)
h(t,i) density function for each time step of a particular building model
f(i) scenario objective for the specific annual heating demand
(kWh/m2a)
A(i) floor area (m2)
4 Results
All upcoming figures [6] are basically dealing with the transformation from a
BAU-B to a NZEB building and the other way round to show example results to
make the approach of this paper clear. Both continuous lines (blue and green) are
representing the results from the simulation with BuildOPT_VIE. Both dotted
lines are representing the results using a density function. In case of building (d),
a density function based on the simulation results for a BAU-B standard was used
to generate the load profile for a NZEB standard (green dotted) and one density
function based on the simulation results for a NZEB standard was used to generate
the load profile for a BAU-B standard (blue dotted). The results show a well
accurate correlation (see dashed lines) between each dotted line to simulation
results.
The results for the relative deviations are in the range of -1.07% and +1.07%
(December). While figure 4 shows only the results for one variable parameter
(thermal quality; BAU-B to NZEB), figure 5 deals with the results by transforming
from building (a) to building (d) and varying the thermal qualities, which equals
to two variable parameters.
Figure 4: Monthly validation by using a density function created building (d).
The results of figure 5 are similar to figure 4, even the load profile is slightly
underestimated. In this particular case the results for the relative deviations are in
the range of -1.5% (December) and +1.2% (October). Figure 6 is showing the
results for three variable parameters.
BUC1 building use case 1
BUC2 building use case 2
BUC1 and BUC2 describes different office occupations. In addition to the
results of figure 5, figure 6 is showing if the building use case gets varied
additionally. The relative deviations performs in a range of +3% (November) and
-2.5% (February).
Figure 5: Monthly validation by using a density function created by building (a)

to create a load profile for building (d).
Figure 6: Monthly validation by using a density function created on BUC2/

building (c) to create a load profile for BUC1 on building (d).
By analysing the results, it can be seen in table 1 that the relative deviation is
increasing by an increasing number of variable parameters.
Table 1: Summary of the results sorted by the number of variables.
Amount of variables Relative deviation

1 (figure 4) +1.07% … -1.07%
2 (figure 5) +1.2% … -1.5%
3 (figure 6) +3% … -2.5%
In order to keep the matrix for different density function clear and easy to use
within the URBEM simulation environment, the number of different density
functions supposed to be as low as possible with respect to the qualities of the
results. Therefore not more than 2 variable parameters gets determined by using
one density function within the URBEM simulation environment.
Even the validation for a daily load profile is not done yet, figure 7 shows a
sneak peak of the current status within this research for a daily validation.
Figure 7: One day load profile with 2 variable parameters (1st March).
Within the operating hours of this office building the results are well accurate.
Even the influence of internal gains due to the office occupation gets covered by
the density function. During the evening hours the deviation is increasing due to a
lower simultaneity factor at this particular occupation.
5 URBEM simulation environment

The comprehensive URBEM simulation environment enables a time and location
dissolved simulation in terms of energy supply, energy generation, energy
distribution and mobility. Therefore different scenarios for the building stock such
as annual heating demand for individual buildings, refurbishment rates, etc., are
the initial parameters to run the entire simulation environment. Depending on the
investigated scenarios, a density functions gets distributed to every building within
the considered boundaries. This could be either a building neighbourhood, a
district or even the entire city.
Due to the interdisciplinary nature and holistic approach, 10 PhD candidates
make all tasks simultaneously within the URBEM [3]. The workflow can be
divided into four main work packages (figure 8). The first work package represents
the economic approach. This part is responsible for all economic boundaries and
scenario driven conditions. The results of this work package are all initial
parameters for the simulation environment, which represents the second work
package. Example results of the simulation work package are time and location
dissolved energy flows. Starting with the heating, cooling and electricity demand
of individual buildings to detailed energy flow calculations for the entire energy
distribution. The third work package deals with all visualization issues. All results
get visualized for a better understanding and can be seen as the basis for decision
makers and other stakeholder. The fourth work package runs simultaneously to the
first three packages and is mainly responsible for all computing issues. All main
results, sub results, simulation sequences, simulation interoperability, data
structure, data security and outcome for further research gets controlled by the
computing sector within the URBEM [3].
Figure 8: Workflow within the URBEM.
Figure 9 presents an example result of the URBEM [3] prototype and indicates
a time snapshot of some parts of the fourth district. The different colours of those
buildings are representing the differences of the thermal quality in terms of heating
demand for this particular time step or even in one year balance based on density
functions which were discussed in the paper.
Figure 9: URBEM Prototype of the visualization of buildings regarding the

annual heating demand for the 4th district in Vienna.
Based on figure 9, the results for the energy distribution, e.g. district heating
grid, are getting visualized in a similar way. This way to visual results is highly
promising to support decision makers and stakeholders for future decisions
towards a sustainable, affordable and liveable city.
6 Conclusion and outlook

This paper demonstrated a new approach on how to implement the discipline
building simulation within a newly developed and comprehensive simulation
environment. URBEM deals with future challenges in terms of urbanization and
sustainable cities. This tool is going to enable a better understanding regarding the
entire energy flow within a city with respect to real characteristics of all buildings,
the entire energy distribution and generation, economics, lifestyle aspects and
visualization. Furthermore it supports decisions makers such as the city council or
of the utility company.
The results for all investigated density functions are sufficiently accurate for
using those generated heating load profiles within the URBEM simulation
environment. The simulation efforts within the considered boundaries (e.g. district
or city level) by using density function instead of individual commercial building
simulation software for each building gets minimalized at an equal and accurate
level of quality. Furthermore initial parameters such as the annual heating or
cooling demand, construction year, type of building or building use case are
sufficient to get the right density function for the right scenario within the URBEM
simulation environment. Further research in this field will be to extend the density
functions on cooling demand, HVAC-Systems for balancing at the level of Et [10],
electrical load profiles, more building types, improved performance during spring
and aunt and a variation of different lifestyle aspects.
Further research within the URBEM will be the continuous work, the
simulation interoperability for different simulation fields and to enable
automatically requesting of initial parameters to run the entire simulation. Due to
URBEM is not done yet, more results and research activities will be published
soon.
Acknowledgements
The author acknowledges the Wiener Stadtwerke and the Vienna University of
Technology for funding this research in the framework of a PhD within the
URBEM. Furthermore the author acknowledges the supervisor of his PhD work.
References
[1] Vienna University of Technology,
https://www.tuwien.ac.at/en/tuwien_home/
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Technology, Editor) http://urbem.tuwien.ac.at/home/EN/
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simulation programs. Proc. of the Building Simulation Conference,
Montreal: IBPSA 2005.
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and Interoperable Perspective. Center for Integrated Facility Engineering,
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Residential And Non-Residential Buildings In Order To Enhance The
Simulation Capability In A Comprehensive Urban Simulation
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[7] OiB. Teil6 – Energieeinsparung und Wärmeschutz. Vienna:
Österreichisches Institut für Bautechnik, 2011.
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Response: Modelling Principles and Common Exercises. Executive
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Evaluation Methods. Energy in Buildings and Communities Programme:
IEA – International Energy Agency 2013.
Regional-urban evolution of the

metropolitan area of Mexicali 1990–2010:
planning changes and challenges
A. Ranfla-González1, C. Pena-Salmon2,
R. Rojas-Caldelas2, O. Leyva-Camacho2,
E. Corona-Zambrano2 & C. R. García Flores1
1
Social Sciences Research Institute,
University Autonomous of Baja California, Mexico
2
Faculty of Architecture,
University Autonomous of Baja California, Mexico
Abstract
The regional-urban development planning is a relatively recent response to the
changes in the economic processes of production and foreign trade which
experienced profound changes over the past two decades. With these changes,
globalization and national openness impacted the economic, social and territorial
relations in the metropolitan area of Mexicali. This area experienced a central
expansion increasing the mobility of vehicles. The importance of urban-regional
network in its territory also augmented. These changes impacted the economic
base, gradually reducing the importance of agriculture and industry while services,
mobility and economic diversification in the territory of Mexicali increased. The
desert environment, demographic concentration and mobility in a very small
territory with a very dry and warm weather, have posed challenges for future
sustainable development in its metropolitan territory. From the results and the
experience of a collective planning process and of civic integration, key challenges
were identified in the scenarios to promote appropriate and successful answers in
the planning of sustainable development for an extreme territory and with
economical competence.
Keywords: regional-urban planning, metropolitan areas, territorial planning,
sustainable planning development.
doi:10.2495/SC150111
1 Introduction
Urban development resulted in global relations and urban linkages providing
important clues about the social, economic and political dynamics that shaped the
texture of human life in much of the world today, both in developed and
developing countries alike [1]. Important changes in the size and definition of
urban areas impact the current urban planning, because of the modification of their
local and global scales. This is leading development to key changes in local
relationships that modify the scale and structure of geographical units, as well as
impacting environmentally the local insertion in global networks and responding
for the evolution achieved by their local organizations in competitiveness and
quality of life (Castells and Cardoso [2]).
The transformations in the global economy led to significant changes in the
process of urban expansion in the demographic, economic, social and
environmental variables in the metropolitan areas of developed and developing
countries in recent decades. In Mexico, the territorial transformations were
reflected in policies, programs and projects at the metropolitan level, in order to
respond to changes in each of them and to the challenges of the study period. This
resulted that in 2010, 59 Metropolitan Areas in Mexico concentrated 56.83% of
the total population [3]. In response to these changes, the Ministry of Agrarian,
Land and Urban Development (SEDATU) was created in 2013, which legally
integrated the rural-urban populations of the largest urban areas of the country and
marked important changes in urban planning [4].
In the Metropolitan Area of Mexicali, BC, the economic, demographic and
social variations that impulsed its original border location into the first decade of
the XXI century were added together, in its passage from a desert into an urban
concentration with an economic competitiveness developed by its global
integration that turned it into a major metropolitan area important at a national
level [5]. In this framework, its urban development has the key characteristics of
the extreme weather on its territory [6], aside from having a high vehicular
mobility at the level of the largest metropolitan areas of Mexico [7]. This
combination of factors has an impact on economic, demographic, regional and
social changes, and pose challenges to its sustainable urban-regional planning. The
purpose of this paper is to identify and establish key challenges in its future
development and urbanization, starting from active economic conditions and the
natural environment of its territory in the evolution of its changes.
2 Methodology
The conceptual basis of territorial analysis is based on the concept of City-Region,
as the territorial space in which geographical, cultural and administrative factors
are concentrated, with political conscience and strength in which groups intervene
who believe and fight for development through processes of growth and change
that lead to improved welfare and sustainability for future generations, in a society
that needs to use and optimally manage its natural, economic, cultural and social
resources [8]. They are aspects that contribute to build a better quality of life based
on the promotion of freedom, human dignity, and greater personal opportunity,

that make possible a collective satisfaction that promotes environmental
compatibility, that respect ecosystems, and increased productivity for future
generations.
From the use of documentary evidence and its geographical distribution, we
sustain the levels of territorial analysis we use. The information is related
quantitatively and qualitatively at a territorial level for its analysis, for which we
link its levels of information and subsequent aggregation to respond to territorial
analysis. In order to contrast the information with various sources and areas of
development, we use a database of essential information to define a metropolitan
vision with a long-term perspective. From this information of the Metropolitan
Area of Mexicali, under a hierarchical arrangement of sectors of the population,
economic activity, and other sectors that register human impact on the regional
environment, we use the scale (population size), intensity (level of economic
activity) and impact on the environment, to obtain regional-urban scenarios of the
Metropolitan Area of study and to identify key challenges in the promotion of its
future development.
For this purpose, the methodological basis was based on the experience of
participation in the Mexicali Grand Vision 2011–2050 Project [9], which was
constituted by the intense participation of the private and social sector in an effort
to define the metropolitan vision with a long-term perspective. This proposal had
a specific methodology that included: a) an interlocutor group that formed the
basis of shared decision between the public, private and social sectors; b) a group
of honorary experts invited in the issues under discussion, who supported the
formulation of the logical framework and identified strategic actions, that give
foundation to the detailed proposal of development vision, from specialized
studies in urban, economic and social development. From this, the key issues were
defined to identify the challenges for the future development of the Metropolitan
Area studied.
3 Results
3.1 Characteristics of population distribution in the metropolitan
territory, climate and mobility
After the 1980s, urban processes experienced significant changes in their spatial
distribution, which changed cities worldwide. Changes in development carried
differentiations in urban activities, widened metropolitan areas and marked
historical changes in the scale and scope of its regional levels. This had an impact
on population distribution and economic activities that territorially impacted
government plans, production networks and regional spaces of consumption. In
the case of Mexicali, these changes posed a major problem resulting from its
internal conditions and external changes that also increased in the first decade of
the XXI century [10], which it impulsed internally: to have a reduction of the
metropolitan territory and to visualize the geographical distribution of human
settlements, to evaluate, design and plan the regional and urban relationships in its
future development. For this reason, we started the characterization of the
metropolitan urbanization of the area as a whole, through a cartographic analysis
of human settlements from three variables: population, surface area, and total
density in the metropolitan area, from which the main groups of territorial density
were established. First, the total land area of the territory, which is ranked third by
size nationwide. The municipal urbanized area accounts for only 3.63% of the total
area of the municipality. This area includes all urban activities that can be observed
on the land cover dedicated to urban uses, including uncultivated areas with signs
of change in land use. The approximate area of agricultural use accounts for 16%
of the total municipal area. The remaining 96.37% is conformed by a cover of
natural ground with or without vegetation and flooded areas without current use.
The urbanized area is composed of 3,491 polygons identified for urban use, 1,830
of them representing a total area of 14,147.98 ha devoted to different productive
activities and with no resident population. The rest of the identified areas, 1,661
locations that match the 2010 population and housing census, represent a total area
of 36,413.39 ha, containing a total population of 977,880 people.
The predominant climate in the municipality is the BW (h’)hw(x’) Very dry,
warm, that occurs in an area of 389,260.96 ha representing 27.93% of the
municipal area; followed by the weather type Whw(x’) Very dry, semi-warm,
which occupies an area of 263,579.00 ha and represents 18.91% of the municipal
area. Thirdly, the climate BShs(x’) Very dry, semi-warm, which occupies an area
of 224,193.57 ha representing 16.09%, altogether constituting 64.93% of its total
territory. Because of its low annual precipitation, the Mexicali climate is a warm
desert climate, according to the criteria of the Koppen climate classification. The
temperature is rarely less than 3°C (37°F) or above 45°C (113°F). The extreme
minimum temperature in record is -8°C (December 15, 1972), and the maximum
is 52°C (July 28, 1995). Summer is extremely hot, with daytime temperatures
exceeding 35°C almost every day of the season, reaching temperature values up
to 46°C and heat index over 60°C every year. Nights are warm and occasionally
hot, reaching over 30°C. The winter is mild and seldom frosts. Nighttime
temperatures rarely drop below 3°C, while in daytime rarely exceed 25°C [9].
The extreme climate characteristics in the Metropolitan Area recorded climate
changes worldwide. In the specific case of Mexicali [11], they found that the
current summer is hotter and more extense than it was twenty years ago, and has
2½ times more heat waves than in the 1971–1980 decade; the variables that
characterize heat waves have an upward trend and the scenarios for the periods
2010–2039, 2040–2069, and 2070–2099, show that heat waves will increase 2.7,
4.6 and 6.9 times respectively, compared with the baseline scenario. The
modernization of the settlements in the territory of the Metropolitan Area led the
until recently native or agricultural land use sites to an increase in concrete slabs.
The materials that are widespread in urbanization (asphalt, concrete, brick, glass,
etc.) and present in the environment since the mid-1980s in urban concentrations,
have resulted in the development of urban heat islands in Mexicali [12], which
confirms that the process of urban development has been increasing its
temperature values in the last decades.
Mexico has no official historical statistics of the intensity of car use in the
metropolitan areas of the country. Recently, however, an analysis of motorization
trends and its impact on the evolution of metropolitan areas in Mexico was
conducted. In the case of the metropolitan areas of Tijuana and Mexicali, the
1990–2010 period of kilometers-vehicle traveled KVR [7] were located. Both
have access to import cars from the United States across the border in northern
Mexico. However, Mexicali in particular ranked first on vehicles per capita at a
municipal level in Mexico, 2000. The economic dynamics of Mexicali and the
conditions of its natural environment increased the volume of route kilometers that
equate it with the largest urban centers of the country. It is important to highlight
that Mexicali, a city with low population density, has a KVR by car as high as
Mexico City or Guadalajara [13]. It is clear that the aspects related to the
characteristics of the natural environment in terms of soil, climate and mobility
with which distributed humans move territorially, lead one to identify the
importance that these variables have been acquiring in the urbanization process of
the current metropolitan area studied.
3.2 Proposed zoning
From the analyzes performed on the Mexicali Grand Vision Project, a new zoning
of land use planning was proposed, which considers the distribution of the
population and the functional aspects of its management. Four main geographical
zones were detected within the municipal territory: the Urban zone, the Valley, the
Deserts, and the Coast. The Urban zone is concentrated in the municipal capital
that is Mexicali and its conurbation with the delegations of González Ortega, Cerro
Prieto and Progreso. In the Valley zone, the main locations are: Ciudad Morelos,
Guadalupe Victoria and Estación Coahuila. In the Coastal zone, the port of San
Felipe is located as its main town. The Deserts zone has almost no population and
urban areas, and in it is located Laguna Salada and lots of mountains that enclose
it. Cartographically, the municipality of Mexicali was divided into six regions,
which are the ones we use in this work of zonification, and has 84 sub-regions that
have available information. Region 1 includes the urban area of Mexicali; Region
2 includes the ejidos Nuevo León, Michoacán de Ocampo, Sinaloa and Hechicera;
Region 3 includes the colonias Benito Juárez, Paredones, ejido Hermosillo,
Ciudad Morelos and the town of Algodones, among others; Region 4 includes the
Delta, ejido Guadalupe Victoria, Venustiano Carranza, and Estación Coahuila,
among others; Region 5 comprises the town La Ventana, Rancho de Dios and sand
springs, among others; and Region 6 comprises the whole area of San Felipe
(Figure 1).
3.3 Regional characterization
Regional urbanization is a process marked by its demographic evolution and

housing distribution in the metropolitan area and in each major locality of the six
regions. Regionally, the population growth in the period 1990–2010 recorded its
highest growth in the period 1990–1995, which was 2.94, the highest of the four-
year periods of information used. In this period, the population dynamics was
Figure 1: Regions and subregions of the metropolitan area of Mexicali. Source:

Social Sciences Research Institute, UABC, 2011.
marked by two global economic crisis and in both countries of this border, which
impacted the Mexicali metropolitan area. During this period, growth was marked
by the reduction of employment for Mexicali residents in the United States and
the reduction of employment and migrant population growth rates at a
metropolitan level. These changes gave a total population growth rate of the
metropolitan area of 1.82 in 2005–2010. Changes in demographic dynamics in the
six regions over the period led to changes in the regional distribution of population
and housing. Two regions experienced changes in increased housing during this
period: firstly, the increases in population and housing were important in Region
6, which boosted tourist housing development during 1990–2000 in San Felipe for
the US retirees market; secondly, Region 1 held a continuous growth, which was
higher between 2000–2005 and resulted in Mexicali reaching the first place on
housing nationwide in 2004, driven by mortgages [14], which promoted the
expansion of housing in the area. In the case of the Valley regions, Region 2
experienced a growth in 1990–2000 to support the generation of energy. The three
regions (2, 3 and 4) experienced a decrease and a reduced increase in population
during the 2000–2010 period.
In the period under review, the localities that experienced significant changes
were: Region 1, which registered the continuous expansion of its urban
concentration, integrating into its urbanization three geographically continuous
localities; Region 6, which increased population and housing in the expansion of
the urban concentration in San Felipe. In a sense, the US national housing policy
and the retiree market marked the expansion in both urban concentrations. The
behavior of the Mexicali Valley is distinguished from the previous ones because
it experienced a process of stability in the population and housing proportions of
the three regions that comprise it (2, 3 and 4), highlighting the differences between
Regions 2 and 4, which maintained their population and housing proportions
during the period, and Region 3 that maintained its population and housing
proportion during the 1990–2000 period and declined in the following. Of these
behaviors, we attribute the high proportion of vehicles in the municipality to be a

key instrument in the process of concentration and expansion because of the
extreme conditions of the natural environment.
Environmentally, the Mexicali metropolitan area sits in the Physiographic Sub-
province of the Lower Delta of the Colorado, of the Physiographic Province of the
Sonoran Desert, and has a predominantly very dry, warm and semi-warm climate.
Its environmental problems are referred to five main issues: solid waste, air
pollution, water quality, green areas and environmental culture, although some
issues are accentuated in some geographical areas [15].
In the Valley Zone, one of the main problems is the issue of solid waste,
because although there are authorized landfills, many clandestine garbage handlers.
Another problem is air pollution due to agricultural, waste and brick burning and
agricultural spraying. There are also water quality problems associated with
gastrointestinal and skin diseases. The Deserts Zone contributes mainly with dust
pollution to other areas due to prevailing winds during the changing seasons, as
well as sand and stone extraction without control. In the Coast Zone, the main
problems are associated both with the quality of water, due to the overexploitation
of aquifers and marine pollution due to discharges of untreated sewage, solid waste
and oil spills, and with the affectation of native flora and fauna, derived from
mining, agriculture and tourism. In the Urban Zone, one of the main problems is
the lack of public green areas (2.1 m2 per inhabitant) and the low maintenance of
existing green areas. One of the common problems in all areas is the lack of an
environmental culture regarding saving and reusing water, a lack of practical
recycling of solid waste, saving energy and reducing greenhouse gas emissions.
Recently, according to the Drought Monitor in Mexico, it was determined that in
March 2015, Baja California was the only state in the country which saw extreme
drought, reaching 23.8% of the state, and severe drought, reaching 30.4%, part of
this corresponding to Mexicali metropolitan area [16].
3.4 Economic characterization
It is important to note that originally agriculture gave life to the present territory
of Mexicali metropolitan area, and gradually its own sectorial development shifted
towards manufacturing activities and private and public services, which gradually
strengthened the settlements adjacent to the US border, corresponding to Region
1, where currently most of the metropolitan area establishments are concentrated.
In the case of agricultural activities, Region 1 has 67% of the establishments,
Region 6 has 22%, and Region 4 has 7%. In the case of mining, power generation
and construction, Region 4 concentrates 89%, and Region 1 has 10%. In
manufacturing, Region 1 concentrates 87%, while other regions range from 5% to
less than 1%. In trade and transportation, Region 1 concentrates 76%, Region 4
has 13%, Region 3 has 4%, and it gradually reduces until Region 5 with less than
1%. In mass media, financial and professional services, 90% is in Region 1, while
Region 4 has 4%, and the rest is diluted. In health care, education and social
assistance, 83% is concentrated in Region 1, 9% in Region 3, and 4% in Region 4,
while the rest is diluted. In terms of entertainment services, accommodation and
food, Region 1 accounts for 73%, Region 4 has 16%, and Region 6 has 6%, while
the reduction continues. In other services except government activities, Region 1

concentrated 84%, 6% in Region 4, 0.5% in the 3, continuing its reduction. On
legislative, government and administration of justice activities, 81% was in Region
1, 8% in Region 6, and the rest in the Mexicali Valley.
As a whole, Region 1 confirms the concentration of the highest percentage of
economic establishments. The region that follows, Region 6, concentrates on San
Felipe based on tourism, is another opportunity for future growth. Economically,
it is noteworthy that the Mexicali Valley (comprising the towns of Guadalupe
Victoria, Estación Delta, Venustiano Carranza, and Estación Coahuila ) as a whole
constitutes the space most integrated to Region 1, the center of the metropolitan
area, and its strength is constituted by the communications network and the
number of vehicles that promote regional-urban integration of the diversified
territory.
3.5 Territorial suitability
The calculation of the territorial suitability for urban use is based on the restrictions
established in the diagnosis of the components of the physical and natural
environment: slopes, geology and earthquakes, undoubted areas, and the
environmental determinants of territorial vulnerability. Figure 2 shows the results
of the interaction of the components, showing with darker color the tendency to
lower territorial suitability for urban use.
High suitability
Average suitability
Low suitability
Unsuitability
Figure 2: Soil suitability of the municipality of Mexicali. Source: Social

Sciences Research Institute, UABC, 2013.
The predominant surface has low suitability, comprising a surface of

666,832.97 hectares and constituting 47.85%; unsuitability covers an area of
501,932.39 hectares and accounts for 36.02%; surface with high suitability
comprises 138,212.91 hectares and amounts to 9.92%. This data can be seen in
Table 1.
Table 1: Soil suitability of the municipality of Mexicali. Source: Social Sciences

Research Institute, UABC, 2013.
Surface Suitability
ID Description Value
Hectares % Index
0 Unsuitability 0 501,932.39 36.02% 0.00
1 Low Suitability 1 666,832.97 47.85% 0.48
2 Average Suitability 2 86,583.02 6.21% 0.12
3 High Suitability 3 138,212.91 9.92% 0.30
1,393,561.30 100.00% 0.90
Territorial suitability is used to determine the overall or gross maximum

capacity to accommodate population in conditions of sustainability for urban use.
The calculation results do not mean the population to inhabit it, but indicates the
conditions of habitation that may be demanded from the territory. The specific
local population depends on the urban character of the area, the demographic
trends, economic activity and the availability of technology.
In the case of the municipality of Mexicali, there are environmental conditions
that will reduce the gross soil suitability, mainly due to water conditions and land
use for agricultural activities.
For this, existing settlements were verified in relation to the territorial
suitability, calculating the gross population relocation needs, as they are in
potential risk areas. A map that crossed territorial suitability variables with the
polygons of settlements in the metropolitan area was elaborated, allowing to
identify a total of 91,442 people settled in territorial areas classified as unsuitable,
9.76% of the total population of the municipality, housed in 25,386 households,
of which 5,870 are unoccupied and 1,844 are of temporary use. These unsuitable
areas inside urban areas occupy a total area of 9,488.71 has. The existing potential
risk must be confirmed by more detailed studies or by establishing stricter safety
standards in the construction of infrastructure and building.
3.6 Scenarios
From the work of participatory planning heightened within the proposed City of
Great Vision we determined which were the problems and the challenges of the
future development. These were agreed among groups of participatory planning
and openly consulted to the population through Internet and surveys. The
construction of each scenario was linked to the municipal development priorities
selected for the first phase of public consultation. Thus allowing the identification
of the strategic elements whose impact would generate an overall synergy for
metropolitan development. There are three strategic elements that create a synergy
for the overall development: The first one was Urban Growth, represented by the
growth profile of urban areas. The second is Transports, which represents the
mobility of people, goods and services and provides the functionality and urban
efficiency, impacting with the elements of physical and environmental support.
Finally, Socioeconomic Development, the third factor, represents the quality in the
development of social context and economic welfare.
To generate a planning scenario that could describe the modeled predictions of
development trends in the territory, a specialized computer program was used.
Based on territorial statistics and diagnostic information generated and processed
in the sustainable development model to construct spatial distribution alternatives
for urban growth, taking as basis the physical, environmental and socioeconomic
conditions of the territory. As a result we obtained scenarios to have an assessment
of the consequences of current development trends of the ecological footprint of
such process and the rate of urban sustainability over the time.
4 Conclusions
City-Region of Mexicali is a typical example of an ordered complexity where there
is a great understanding of the components (demographic, economic and
environmental) and how they relate.
The analysis of the City-Region of Mexicali is an opportunity for dynamic
modeling, which raises trade relations within the immediate environment required
by the urban metabolism of the system, showing the effects of the economic
dynamics of export and maquila on the secondary and primary sectors, as well as
migration flows not covered by local and municipal urban planning. The
contribution is to identify trends and local development sectors that contribute to
the sustainability of the urban development process observed in the city of
Mexicali and its area of influence. From this possibility, the opportunities are
promoted to ensure progress towards sustainable development: the reduction of
social and regional inequalities, increasing housing supply, promoting public
transport, reducing pollution, promoting the ecosystem and establishing a
sustained government participation and cooperation of citizens to boost
achievements and opportunities.
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monitoreconomico.org/media/pdf/edicion.../2015/04/.../15_abril_2015.p.
Can urban planning deliver sustainable

outcomes: measuring the association
between urban structure and form and
sustainable household behaviour
M. Grosvenor
Urbis, Urban Research Centre, University of Western Sydney, Australia
Abstract
Global commitments to make urban areas more sustainable coincide with debate
over the type of urban structure and form to achieve it. This debate has caused
confusion amongst planners and decision makers as to the correct planning
position to take. In my PhD research, I re-examined previous research that
measured the extent to which urban form induces sustainable outcomes and
concluded that alternative methodologies were required for measuring and
mapping urban structure and form, using Australia’s largest metropolitan area,
Sydney, as a case study. I argue that density is an inaccurate proxy for representing
urban structure and form difference and recommend an urban structure and form
typology approach to better represent differences. I also argue that only by
understanding the behavioural choices of households can we compare the relative
sustainability credentials of different urban structure and form contexts. The
research findings have important implications for urban planners and policy
makers. Future planning strategies should provide a clearer understanding of the
actual direct influence different urban structure and form types can deliver from a
sustainable behaviour perspective, rather than relying on the broad belief that
density increases will deliver sustainable outcomes.
Keywords: sustainability, urban form, urban structure, density, household
behaviour.
doi:10.2495/SC150121
1 Introduction
Previous research has shown that there are several urban structure and form
elements that have the potential to influence a household’s ability to behave
sustainably (Ghosh and Vale [1]). These include new residential precincts
designed to minimise impact on the surrounding environment (including
innovative stormwater design, swales, bio retention systems; rain‐gardens, rain
water tanks and wetlands); on-site or centralised renewable energy systems;
proximity to a public transport network; proximity to retail and community
services; council waste reduction and recycling services; and ecologically
sensitive housing design.
Although some researchers conclude that these enhancements help create
sustainable urban areas (Blair et al. [2]), other research from North America,
Australasia and Europe show that a wide variety of factors contribute to achieving
sustainable outcomes (Barr [3]). These other factors relate to people’s propensity
to adopt sustainable behaviours. Such behaviours are influenced by socio-
demographic characteristics, knowledge and experience, beliefs and attitudes, and
a range of psychological variables.
When testing the level association that exists between selected environmental
sustainability data (electricity consumption, water consumption, and car
ownership) and urban structure and form, it was found that statistically significant
associations exist between urban structure and form and these indicators. It was
unclear, however, why such associations exist.
This article reports on the findings of research into why associations between
urban structure and form and household sustainability behaviour might exist. It
will begin by detailing the approach taken to representing urban structure and form
and sustainable behaviour, measuring potential associations using data
representing these variables, and surveying selected case study areas to interrogate
why such associations might exist. The test results from the case study research
are then analysed to assess the relative influence that urban structure and form has
on several important household behaviours. The implications of these results from
a policy and future research perspective are then discussed.
2 Background
Contemporary attempts to seek urban improvement has seen compact cities and
urban consolidation promoted as the preferred urban planning model for achieving
sustainable outcomes. This follows a tradition of urban designers and planners
seeking utopian solutions to address the social and environmental problems of the
day.
An urban consolidation policy position that supports more compact cities has
been in place for some time now, particularly in Australia, yet there is still much
debate as to whether more compact cities actually deliver the most sustainable
outcomes; and whether urban form plays a role in delivering sustainable outcomes
in the first place. Indeed, several researchers question the influence that urban form
has on sustainable outcomes relative to socio-economic, behavioural and

psychological factors.
A review of literature reveals methodological concerns with research that seeks
to determine the extent of influence urban form plays in achieving sustainable
outcomes. Several researchers [1, 4] choose to represent and compare differences
in urban form by using density calculations even though these inaccurately
represent urban form and urban structure difference. To address this deficiency,
some researchers have developed urban form typologies unique to the
metropolitan area being investigated.
Given the methodological questions raised, it is not surprising that some
researchers conclude that there are too many complexities involved in determining
which urban form type delivers the most sustainable outcomes. Although there has
been a plentiful supply of research exploring the relationship between urban form
and a variety of sustainability indicators, including transport use, energy use, water
use, social participation and health outcomes, there is still no universal agreement
as to the most desirable urban form.
Some commentators suggest that asking whether one urban form is more
sustainable than another is the wrong question. Neuman [5] suggests it is only
those that inhabit and behave in different urban form contexts that can be measured
for sustainability. Following this lead, an alternative approach to measuring the
relative sustainability of different urban form types is to measure household
behaviours in different urban structure and form contexts.
Our research methodology consequently contained four distinct stages. The
first stage identifies and maps Sydney’s urban structure categories and dominant
dwelling type areas. The second stage involves the collection of key environmental
sustainability data, namely electricity consumption, water consumption and car
ownership, so as the third stage can take place, which is comparing these three
data sets across our urban structure categories to determine if any statistically
significant differences are evident. The fourth stage involved collecting primary
data from case study locations representing different urban structure and form
types as a way of better understanding why some behaviour might differ across
the Sydney metropolitan area.
3 Mapping Sydney’s urban structure and form

Much of the urban form research that attempts to infer causality between urban
form (represented by density calculations) and various sustainability variables
relies on lineal regression testing. We will argue that not only is lineal regression
problematic if the variables being tested contain inaccuracies, as density measures
do when representing urban form difference, but that regression tests are not the
only statistical step available to show relative levels of association between urban
structure and form and various elements of sustainability.
An increasing number of researchers [1, 4, 6, 7] have begun using a typology
approach to explain urban structure and form differentiation within large
metropolitan areas. Such researchers tend to worry less about inter-city
comparisons (as many researchers have done using density calculations) and more
about developing typologies unique to the city or nation being investigated, based
on variables such as residential type (using density as a guide rather than a proxy),
public transport accessibility and land use mix.
Considering both urban structure and form, Ghosh and Vale [1] develop an
urban taxonomy that encapsulates five data scales to map the level of urban
structure and form differentiation that occurs in large metropolitan areas:
metropolitan/regional scale; sub-metropolitan/city scale; community/
neighbourhood scale; local/residential block scale; and house/micro scale.
Theoretically, once a more spatially relevant urban structure and form typology is
developed like this, it should enable a more accurate comparison of sustainability
related characteristics across different urban structure and form types in the
metropolitan area.
We developed six broad urban structure categories that we found differentiated
parts of the Sydney metropolitan area and mapped these as accurately as possible
with the assistance of GIS (Figure 1). We then placed every Census Collector
District (the CCD is smallest statistical geography used by the Australian Bureau
of Statistics – ABS) within the Sydney metropolitan area into an appropriate urban
Figure 1: Sydney’s urban structure layout.
structure category and highlighted those CCDs with a dominant housing type to
enable a comparison of different combinations of urban structure and dwelling
type (e.g. compact city four-storey and above with a predominance of apartments
versus dispersed city with a predominance of detached dwellings). This approach
to combining urban structure and dwelling type, which is broadly similar to the
approach used in Ghosh and Vale’s urban taxonomy, differs from other urban form
research efforts which calculate residential densities and place them into high,
medium or low density categories.
4 Secondary data collection, testing and analysis

Three indicators (energy, water and transport) are considered by some researchers
[7] to comprise the key behaviours contributing to household related greenhouse
gas emissions. Although these indicators, considered together, do not enable
claims to be made about the overall sustainability credentials of each of the urban
structure and form categories, they do enable us to test the level of relationship or
association that may exist between urban structure and form and three key
environmental behaviours.
One-way ANOVA tests were performed between the urban structure categories
and each of the secondary sustainability indicators. Table 1 illustrates where the
statistically significant differences between means occur at the 95% certainty level
“sig.” as 0.05 or below).
For electricity use, there are significant differences in the means between most
urban structure categories except between the compact city and multi-node
categories, the multi-node and corridor categories, and the multi-node and sub-
regional categories. For water use, there is statistically significant difference in the
means between compact city and every other category. For car ownership there is
significant difference in means between most urban structure categories, except
between the compact city and sub-regional and multi-node categories.
On the surface, the urban structure variable appears to have an influence on the
three key sustainability indicators in different ways. Yet, can it be assumed that it
is the urban structure category itself is responsible for generating statistically
significant difference in the means for each of the indicators or are there other
factors contributing to the results?
From the relevant literature it is apparent that two other potential influences on
the three indicators are dwelling type (representing urban form difference in this
research project) and socio-economic status [8, 9]. With regard to dwelling type,
the different heating and cooling requirements of different building structure
types, in particular, can have a marked impact on electricity use. Socioeconomic
factors are also believed to be associated with energy consumption, with Randolph
and Troy [8] showing in the Sydney context that higher income low density
suburbs record much higher per capita electricity consumption than lower and
moderate income low density suburbs. Water consumption rates are also affected
by dwelling type, with those living in detached dwellings with backyards having
a greater capacity to recycle and reduce the amount of water consumed [9].
Moreover, dwelling type and levels of home ownership may be more important
Table 1: One-way ANOVA results.
than socio-economic factors in influencing water consumption patterns [8]. With

regard to car ownership, socio-economic factors and dwelling type may also have
an influence on transport modal choice, although urban structure is identified as
having a more significant influence on transport modal choice than these factors
[10].
After considering the literature, it was decided to perform additional two-way
ANOVA tests to quantify the extent of difference in the means that exists for the
three indicators when different dwelling types (representing urban form
difference) are considered and then when areas representing different
socioeconomic contexts are considered.
Tables 2 and 3 illustrate the results of two-way ANOVA tests when the effect
of urban structure is assessed for both the dwelling/urban form variable and socio-
economic index variable (a ranking system considering many socioeconomic
factors used by the ABS, with 10 being the highest socioeconomic ranking and 1
the lowest) respectively.
Table 2: Two-way ANOVA tests considering urban form (dwelling).
Table 3: Two-way ANOVA tests considering socioeconomic rankings (ABS).
Table 2 shows that urban structure has a statistically significant influence on

mean electricity consumption in detached dwellings, while mean electricity
consumption does not vary significantly for the other dwelling types across
different urban structure contexts. In other words, electricity consumption has the
potential to vary significantly in detached dwellings when placed in different
urban structure contexts.
Table 2 also shows that urban structure has a significant influence on water
consumption in three of the four dwelling types, with the semi-detached and
terrace dwelling type being the only exception. As well, urban structure influences
car ownership for all dwelling types except semi-detached and terraces.
Table 3 shows that urban structure has a statistically significant influence on
electricity usage and water usage across many of the socioeconomic index ranking
categories, and for all socioeconomic rankings when it comes to car ownership. In
fact, for every socioeconomic ranking above 7, urban structure has a statistically
significant influence over electricity consumption, water consumption and car
ownership.
Although we have not yet determined what it is about urban structure that
results in significantly different household consumption patterns across certain
dwelling/urban form types in the Sydney metropolitan areas, it is apparent that
some urban structure types, like the compact city urban structure category, are
associated with relatively low levels of electricity consumption and car ownership
yet higher levels of water consumption. Therefore, to claim that one urban
structure type is more sustainable than other is inaccurate. What can be claimed
on the basis of the ANOVA testing is that some urban structure types have a
statistically strong association with some environmental behaviours and not
others.
Of course, we still have no clear understanding as to why this may be the case.
It is clear we next need to compare urban structure and form’s influence with other
potential consumption behaviour influences, such as personal attitudes and beliefs,
education levels and other specific socioeconomic variables.
5 Primary data collection, testing and analysis

Self-completion multiple-choice questionnaires were delivered to 11 selected case
study areas representing different urban structure, dwelling (urban form) and
socio-economic types across the Sydney metropolitan area. A 23% overall return
rate enabled us to collect sufficient data to perform chi-square tests to compare
potential associations that may exist between a number of categorical factors,
including location and dwelling type (representing urban structure and form
respectively); socio-economic index; values and belief; household characteristics;
and education levels; with a range of sustainability behaviour responses related to
waste recycling and composting ; non-journey to work travel behaviour; social and
local community participation; access to and use of local services; and purchasing
habits.
5.1 Results
The survey of case study areas representing different urban structure and form
types generated responses that are defined as categorical for statistical purposes
(i.e. they are not continuous or ordinal). Whereas t-tests or Analysis of the
Variance of Means (ANOVA) is the most appropriate statistical test for
determining the level of association between a categorical variable (urban
structure, urban form and socioeconomic factors) and continuous or ordinal data
(the secondary electricity, water and car ownership data), chi-square tests should
be used when considering two categorical variables.
The collation of data from questionnaire returns enabled us to determine the
level of association each case study location has with sustainability related
household behaviours. Certain patterns emerged that suggest case study location
has a significant association with some of sustainability behaviours, including
transport modal choice; composting food and garden refuse; reusing and recycling
household items often; and saving and reusing waste water. The chi-square results
are particularly helpful in clarifying why associations between urban structure and
water consumption; electricity consumption; and car ownership may or may not
exist.
With regard to water consumption, two chi-square results are of relevance.
Firstly, the dependent variable “reducing water consumption often” is found to
have a statistically significant association with three independent variables: strong
political support for the environment, belief that humans are responsible for
climate change, and level of education. On the other hand, the dependent variable
“reuse and recycle waste water often”, a specific water saving technique, shows a
strong statistical association with case study location and level of education. Yet,
there is little statistical association between collecting and reusing waste water
often and pro-environmental attitudes and belief in climate change, nor tenure and
socioeconomic ranking variables. This suggests that case study location, in
association with other influential factors such as level of education, may indeed
have an influence on water consumption rates, at least with regard to a household’s
ability to reuse waste water as a specific water saving technique. As such, there
may be a substantial difference between those saying they reduce water
consumption often and actual water consumption rates based on the chi-square
results. Whether this resolves the issue as to why compact city water consumption
rates are higher than other urban structure and urban form combinations requires
further investigation.
With regard to electricity consumption, the chi-square tests show that the
dependent variable “reducing electricity consumption often” has a statistically
significant association with three independent variables: political attitude towards
the environment, belief in human-induced climate change, and level of education.
This dependant variable also has a statistically significant association with the
socioeconomic ranking, although not to the level of statistical significance as the
other three independent variables. This shows that the independent variables
representing pro-environmental attitudes; belief in climate change; and level of
education are strongly associated with electricity consumption. The secondary
data testing raised the prospect that these independent variables can have a unique
geography and may somehow align to the urban structure categories that we have
applied to the Sydney metropolitan area. The chi-square results suggest that the
case study locations representing different urban structure and form categories
may be statistically associated with other independent variables such as belief in
human-induced climate change, level of education and a variety of socio-
economic factors, which manifest as geo-political differences across large
metropolitan areas. This then might explain differences in detached dwelling
electricity consumption across the urban structure categories. The nexus between
urban structure and form and the combination of political values, level of
education and socio-economic factors is worth researching further.
With regard to transport modal choice and car ownership rates, the chi-square
tests support the findings of the secondary data analysis. For both car ownership
and modal choice, statistically strong associations not only occur with case study
area location, but the household composition, tenure and socioeconomic ranking
variables. The strongest of these are the associations with case study location, both
for short and long trips, which supports the findings that urban structure is strongly
associated with car ownership. Associations between car ownership/modal choice

and political attitudes, beliefs and level of education are not statistically
significant.
The other household behaviour found to have a strong statistical association
with case study location was the “composting food and garden refuse often”. Yet,
pro-environmental attitudes and belief in human‐induced climate change still
provided a stronger statistical association.
6 Conclusion
This research project has shown that different urban structure and form types,
which we classify using an urban typology, are associated with some sustainability
behaviours and not others. There are strong statistical associations between urban
structure and transport modal choice behaviours (in compact city, multi-node and
subregional centre urban structure locations) and, in association with dwelling
type (urban form), some environmental behaviours such as composting and
collecting and reusing waste water (in fringe and dispersed urban structure
locations). Urban structure and form, where it is dominated by certain dwelling
types, is statistically associated with electricity consumption and water
consumption levels, but there are other influential socio-economic, political
attitudes and philosophical belief variables at play. Other household behaviours,
such as recycling often and purchasing environmentally friendly products have
been found to have little statistical association with urban structure and form, with
political beliefs and attitudes and level of education having more of an influence.
These results show that the premise in many global urban planning strategies
that the compact city will help achieve sustainable outcomes should come with
qualifications. Firstly, if the compact city is defined as “high density” urban form,
then we have an inaccurate proxy for representing urban form and the subsequent
policy response of densifying the metropolitan area with an abundance of four-
storey and above apartments is a misrepresentation of the different urban form
types possible within a compact city. Secondly, we need to understand what is
meant by a sustainable urban form. Sustainability is not a fixed measurable entity,
rather a broad combination of measurable environmental, social and economic
elements. We have recommended measuring the relative sustainability of different
urban structure and form types by utilising sustainable household behaviour
measures. Doing so will assist planners understand the impact that urban structure
and form has on the households that inhabit them.
Finally, the sustainable outcomes associated with more compact cities, and
other urban structure types such as the multi-node city, subregional centres, and to
a lesser extent the corridor city, are primarily related to transport accessibility
outcomes. These urban structure types have strong statistical associations with
relatively high levels of public transport, walking and cycling use. Other
sustainability behaviours such as electricity consumption, water consumption, and
reusing and recycling have varying degrees of association with urban structure and
form. In fact, with regard to water consumption, it is apparent that detached
dwellings in fringe and dispersed urban structure locations may be associated with
more sustainable water consumption practices, with the compact city being
relatively unsustainable when it comes to this type of household behaviour. Future
urban planning strategies should provide a clearer understanding of what the
compact city can deliver from a sustainability perspective, particularly its impact
on household behaviour, if it is to continue to be put forward as the preferred
model for future urban development.
References
[1] Ghosh, S. & Vale, R. 2009. Typologies and Basic Descriptors of New
Zealand Residential Urban Forms. Journal of Urban Design, 14, 507‐536.
[2] Blair, J., et al. 2004. Affordability and sustainability outcomes: a triple
bottom line assessment of traditional development and master planned
communities ‐ Volume 1. AHURI Final Report No. 63. Australian Housing
and Urban Research Institute.
[3] Barr, S. 2003. Strategies for sustainability: citizens and responsible
environmental behaviour. Area: Royal Geographic Society, 35, 227‐240.
[4] Newton, P., et al. 2000. Housing Form, Energy Use and Greenhouse Gas
Emissions. In: Katie Williams, E. B., Mike Jenks (ed.) Achieving
Sustainable Urban Form. London E and F N Spon.
[5] Neuman, M. 2005. The Compact City Fallacy. Journal of Planning
Education and Research, 25, 11‐26.
[6] Jenks, M. & Jones, C. 2010. Dimensions of the Sustainable City. Future
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Sustainable Urban Form: Household Consumption of Energy and Transport
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Environment: A Social and Behavioural Analysis. City Futures Research
Centre Working Paper. Sydney: University of NSW.
[10] Mees, P. 2009. How Dense Are We? State of Australian Cities Conference.
Perth; and Rickwood, P. & Glazebrook, G. 2009. Urban Structure and
Commuting in Australian Cities. Urban Policy and Research, 27, 171-188.
Urban expansion evaluation from

orbital images
F. H. S. Ribeiro, S. C. Bettine, R. M. Longo & A. C. Demanboro
Urban Infrastructure Systems, PUC-Campinas,
Pontifical Catholic University of Campinas, Brazil
Abstract
This paper aimed to validate remote sensing tools for the development of land
management plans. This validation was performed from the verification of urban
expansion in the city of Campinas, São Paulo, Brazil, between 1991 and 2011.
For the development of the study, the geoprocessing tools were complemented
with population data to generate urban population, urban expansion and
population density maps for each of the macrozones of the city of Campinas.
Comparing the generated maps and environmental problems present in
macrozones is concluded that the sensing tools are extremely useful in designing
urban master plans and, if aligned with other data, can provide the simulation of
future expansion and urban density of certain area relating them to their
resilience and thus lead to a city planning that meets the quality of life for all
population segments. Cities must be understood in a dynamic context that is
constantly changing.
Keywords: urban planning, remote sensing, orbital images, land management
plans, urban expansion.
1 Introduction
Between 1970 and 2000 there was a substantial change in the patterns of
population growth in Brazil. The high birth rates generated surplus population,
industrial investments fueled migration towards the big cities and changes in the
economic standard of the population led to changes in the dynamics of territorial
occupation in urban centers [1]. In the case of Campinas city – second largest
city in the state of São Paulo – Brazil, low-income peripheral urban occupation
consolidated in the southwest region, with the incorporation of areas expanding
doi:10.2495/SC150131
towards the municipalities of Sumaré, Hortolandia, Monte-Mor and Indaiatuba;

in the north-northeast axis middle and high-income occupation layers occurred,
provided by the location of research and high-tech centers, as well as shopping
malls and supermarkets [2].
2 Methodology
“Remote sensing technologies can provide a synoptic view over a large
geographical area with multiple temporal intervals. Therefore, remote sensing
imagery can serve as a better alternative for quantifying urban extent and
monitoring urban land use changes” [3]. In this context, the Landsat 5 TM
images stand out because they have good historical series and a large collection
of scenes [4]. The temporal analysis, due to successive passages of satellites,
allows monitoring urban expansion and detecting changes in its structure [5].
The data collection process in this work was divided into four stages:
obtaining images; segmentation; classification and data consolidation. The
images were derived from INPE website – National Institute for Space Research
and represent Campinas in 1991 and 2011. A third image from 2004 was used as
the basis for georeferencing of the previous images. For segmentation, the EX®
ENVI software was used creating sets of polygons that represent parts of the
image that share similar characteristics. The composition of the image on
channels 4-5-3 of its spectral channels provides the visualization of urbanized
areas in light blue (Figures 1(a) and 1(b)). The polygons that limit regions with
these characteristics were classified as Urbanized Area and others as Not
Urbanized Area (Figure 1(c)).
Table 1: Urban expansion from 1991 to 2011 in Campinas.
Class 1991 2011

Urbanized Area 140 km2 209 km2
Not Urbanized Area 651 km2 582 km2
(a) (b) (c)
Figure 1: Classification steps: (a) set of polygons on the image to be

classified; (b) polygons classified and unified according to their
class; (c) classes represented by large polygons.
For classification and consolidation of data and generation of maps, we used

the Quantum GIS® and ArcGIS® software, whose products are presented in the
form of maps in results and discussion.

The urban expansion area obtained for Campinas city between 1991 and 2011
can be seen comparing Figures 2 and 3 respectively.
Figure 2: Campinas urbanized area in 1991.
Figure 3: Campinas urbanized area in 2011.
During the period 1991–2011 the urban area expansion of Campinas city was
49%, going from the urban area of 140 km2 in 1991 to 209 km2 in 2011 and for a
total land area of 791 km2. A comparison of Figures 2 and 3 allowed observing
that such urban expansion occurred in different directions as expected by urban
expansion trends in 1991 and presented in Table 2.
Table 2: Urban expansion trends in Campinas.
Region Trends
Consolidated urban area and expansion resulting from commercial,
service and institutional usages, as well as the intensification of
Central residential use of middle and high standard, particularly through the
verticalization process and the implementation of horizontal
condominiums.
The yet unoccupied spaces have different occupation potentials, given
the presence of large shopping centers. To this area significant real estate
East investments have converged which have been changing the region
occupation configuration with the construction of residential gated
communities.
Offers potential for growth and real estate value appreciation. Urban
expansion in this area is induced by investments beginning in the 1970s
North
such as roads’ construction and expansion, construction of University of
Campinas, of oil refinery and supermarkets.
Rarefied periphery with low housing standard and a predominance of
low-income population. Type of occupation that requires significant
Southwest
public actions in terms of infrastructure and basic equipment. Evidence
of pronounced conurbation without discontinuity of urban sprawl.
Recent growth vector with less pronounced conurbation trend in
South
comparison with the other regions.
Source: PMC, 1991 [6]. Table: authors.
Figure 4, the result from the overlapping of Figures 2 and 3, indicates the
increase of the urban area that occurred in 2011 in comparison to this urban area
in 1991. The portion of the image in yellow is the existing urban area in 1991,
while the portion of the image in red represents the increase in urban areas from
1991 to 2011.
Table 3 shows the increase in urban population during the 1991–2010 period
in each macrozone of Campinas city. The population of macrozone 6, being
predominantly rural, is not shown because its small existing urban share is
accounted for in the macrozone 4.
In Table 3 it was observed that the macrozones 8, 7 and 2 showed the highest
population increases during the studied period. With the data from Table 3 the
maps shown in Figures 5 and 6 were generated. These figures show the urban
population in 1991 and 2010 and illustrate the population quota installed in each
macrozone. The population growth from 1991 to 2010 is indicated by the darker
shade on the map of Figure 6 – 2010 – in relation to the map of Figure 5 – 1991.
During this period the increase in the urban population of the city was 27%,
representing 227,130 inhabitants incorporated into the urban area, with 43.93%
(99,788 inhabitants) of this population group focusing on macrozone 5 defined
as a priority area of urban requalification in the Master Plan of 1991.
Figure 4: Overlap of urbanized areas from 1991 to 2011.
Table 3: Campinas urban population from 1991 to 2010.
1991 2010
Macrozone Increase
Population (inhab)
1 12,002 20,990 75%
2 1,925 5,110 165%
3 27,304 37,687 38%
4 590,228 616,915 5%
5 122,939 222,727 81%
6 - - -
7 10,871 45,334 317%
8 3,815 16,142 323%
9 62,204 93,513 50%
Total 831,288 1,058,418 27%
Campinas 847,287 1,080,113 28%
Source: PMC, 1998 [7]; PMC, 2012 [8]. Table: authors.
Figure 5: Macrozone urban population in 1991.
Figure 6: Macrozone urban population in 2010.
The largest relative percentage increases for the urban population occurred in
macrozones 2, 7 and 8 with 165%, 317% and 323% respectively. The macrozone
7 is influenced by the Viracopos International Airport and macrozone 8 is
relatively new and characterized by the occupation of population segments of
medium and high economic levels because of the installation of a high standard
real estate projects with appropriate infrastructure system.
Presented in Table 4 is the expansion of the urban area of the period from
1991 to 2011 in each one of the urban macrozones.
Table 4: Macrozones urbanized areas from 1991 to 2011.
Area (km2) Area (km2)

Macrozone Urban Not Urban Total % Urban Urban Not Urban Total % Urban
1991 2011
1 3.45 217.84 221.29 1.56% 9.27 211.9 221.26 4.19%
2 2.43 87.28 89.71 2.70% 5.71 83.88 89.59 6.37%
3 11.63 58.99 70.61 16.47% 17.60 53.01 70.62 24.93%
4 89.20 71.23 160.42 55.60% 106.59 53.64 160.23 66.52%
5 18.19 70.70 88.89 20.46% 32.60 56.35 88.94 36.65%
6 - - 27.80 - - - 27.80 -
7 3.62 68.98 72.60 4.98% 8.17 64.44 72.61 11.25%
8 2.12 29.17 31.29 6.78% 12.20 19.09 31.29 39.00%
9 9.51 18.82 28.33 33.57% 16.36 11.97 28.33 57.75%
Total 140 651 791 17.72% 209 582 791 26.45%
The data of Tables 3 and 4 have produced the maps shown in Figures 7 and 8
representing the urban population density by macrozone area in 1991 and 2011
respectively. From these figures it was possible to observe the densification that
occurred in macrozones 1, 2, 3, 5, 7, 8 and 9. However, Figures 7 and 8 have a
dividend (urban population) and a divider (macrozone territory), then, they do
not show, right away, that crowded areas are directly close-peopled areas as well.
The most appropriate divider to this trend is the urban area of Figures 9 and 10.
Figure 7: Urban population density by macrozone area in 1991.
Figure 8: Urban population density by macrozone area in 2011.
Figure 9: Urban population density by macrozone urbanized area in 1991.
Figure 10: Urban population density by macrozone urbanized area in 2011.
The urban spacing reflects the occupation of new areas and/or the expansion
of other ones, moved largely by the increase in population. Certain areas, already
consolidated, do not allow the visualization of population increase from the
spacing, but from the population densification that can only be confirmed with
the crossing of the census data.
The analysis of Figures 7 and 8 may show the populational trend, while the
analysis of Figures 9 and 10 intends to demonstrate the settlement trend. The
reflection of the percentage relationship between population growth and urban
area is clearly observed in the comparison of these maps. The increased
population density provided by a percentage lower urban expansion that the
population of macrozones 2 and 7 is indicated by darkening of tone of your
classes – the macrozone 5 remained in the darkest class despite the increase.
Likewise, decreasing the density is indicated by lighter shades in Macrozones 1,
4 and 9 in relation to the other macrozones.
The urban occupation in Campinas city from 1991 to 2011 – Figures 2 to 10 –
was characterized by saturation of the central regions, by the consolidation of
urban voids resulting from real estate speculation coming from large
conglomerates owners of these areas and by the expansion of peripheral areas
with low land value because of the lack of infrastructure services.
4 Conclusion
It is understood that the obtaining of territorial data using geoprocessing tools is
of great importance in the territorial planning process. This tool can provide
information of past and present times, enabling the creation of a database that
helps in land management projects because it allows the visualization of
expected trends in previous plans, pinpoints new trends of urban expansion and
allows also the maintenance and adequacy of management plans, especially in
regards to environmental matters, allowing to see over time what actions are
being implemented in each area and in which cases they are contrary to the
guidelines previously planned.
Another point to note is the possibility of crossing the territorial data,
obtained by the classification process, with census data; this data fusion creates a
variety of information that, by allowing to generate different themed maps,
applies itself at different levels and areas of urban planning.
It’s then possible to observe, throughout the development of this work, the
opportunity for integration of remote sensing tools with other different data,
which allows a better understanding of the problems resulting from the urban
occupation and expansion. This plurality makes these tools needful for urban
planning and management.
Acknowledgement
The Pontifical Catholic University of Campinas – PUC-Campinas.
References
[1] Braga, F.G. Migração Interna e Urbanização no Brasil Contemporâneo: Um
estudo da Rede de Localidades Centrais do Brasil (1980/2000). Encontro
Nacional de Estudos Populacionais, 15, 2006, Caxambú-MG.
[2] Cano, W. e Brandão, C.A. A região metropolitana de Campinas:
urbanização, economia, finanças e meio ambiente. Campinas: Editora da
Unicamp, 2002.
[3] Lu et al., 2004 apud Zang, S.Y.; Wu, C.S.; Liu, H.; Na, X.D. Impact of
urbanization on natural ecosystem service values: a comparative study.
Environmental Monitoring and Assessment, 2011.
[4] Barros, L.C.; Dutra, L.V.; Macedo, D.R. Utilização de imagens espectrais de
média resolução espacial na análise da expansão urbana do município de
Betim (RMBH) por meio de modelo de mistura. Simpósio Brasileiro de
Sensoriamento Remoto, 13, 2007, Florianópolis-SC.
[5] Pisani, M.A.J.; Zmitrowicz, W. Sensoriamento remoto via orbital aplicado a
estudos urbano. Boletim Técnico da Escola Politécnica da USP, São Paulo,
1992.
[6] PMC (Campinas City Hall), Department of Public Works and Services.
Subsídios para discussão do Plano Diretor. Campinas, 1991.
[7] PMC (Campinas City Hall), Department of Urban Planning and
Development. Sumário de dados: População, Campinas e Região.
Campinas, 1998.
[8] PMC (Campinas City Hall), Department of Urban Planning and
Development, Planning Department, Coordination Sector of Socioeconomic
Planning. Campinas, 2012. Available in https://docs.google.com/
spreadsheet/pub?key=0Amj0mSYLXRsfdE9RcGRfdmpOLVNZZW5yN1Z
kRkVXeWc&output=html
The management of informal settlements

for urban sustainability: experiences from
the Campania Region (Italy)
F. Forte
Department of Architecture and Industrial Design “Luigi Vanvitelli”,
Second University of Naples, Italy
Abstract
A particular and worrying form of urbanization are “informal settlements” or
unauthorised buildings (abusivismo edilizio), a phenomenon which is particularly
accentuated in southern Italian cities, especially in Campania Region.
Nevertheless their challenges – economic, social and environmental – have been
widely recognized in international and national programs fostering urban
sustainability. In Italy, as in other European countries, the actions set out by
current regulations to address illegal settlements follow several approaches:
repressive, mitigatory and comprehensive. This last approach provides the
legalization of informal settlements or buildings on the basis of a pecuniary
sanctions to obtain a “retrospective building permit”.
The sanctions could represent a significant item of revenue and capital
expenditure (or investment) in financing the public city. In this perspective, the
article wants to extend the question with reference to some cities of the
Campania Region, where there are numerous types of informal settlements.
Considering the different assessment procedures used by municipalities in order
to determine the value of illegal works and analyzing some municipal budgets,
both the efficiency and effectiveness of this tool will be evaluated, as well as the
capability of local authorities in the informal settlements management for the
promotion of sustainable city.
Keywords: informal settlements management, urban sustainability, local finance,
municipal budgets, evaluation.
doi:10.2495/SC150141
1 Introduction
Today, according to The World Urbanization Prospect: The 2014 Revision [1],
over half of the world’s population – 54% – lives in urban areas, with one of the
most urbanized regions being Europe, where more than 73% of its population
lives in cities, towns and suburbs (in Northern America 82% and in Latin
America and Caribbean 80%). Urbanization in Europe is an ongoing
phenomenon both in terms of urban land expansion and increasing population
share, along with its impacts extending beyond city borders [2].
A particular and worrying form of urbanization is representing by unplanned
urban development, frequently characterized by informal settlements or
unauthorized buildings, especially in the east and south of Europe [3]. However,
its challenges – economic, social and environmental – have been widely
recognized in international and national programs fostering urban sustainability.
The concept of urban sustainability is there intended in a more wide
perspective, as proposed by Allen and You in 2002 [4], with it including the five
dimensions of sustainability and their relationships: economic, social, ecological,
physical and political dimensions. In particular, physical sustainability or the
sustainability of built environment “concerns the capacity of an intervention to
enhance the liveability of buildings and urban infrastructures for ‘all’ city
dwellers without damaging or disrupting the urban region environment. It also
includes a concern for the efficiency of the built environment to support the local
economy” [5].
In this perspective, the informal settlements or unauthorized housing are part
of the built environment, mobilizing those investments that remain outside of the
formal economy and investment cycles, thus constituting a particular form of
valuable capital assets, as well highlighted by De Soto [6].
Generally, the definition of informal settlement is strictly connected to the
context, depending on the planning and legal framework of a country where this
phenomenon appears; in this study, we adopt the significance given by the UN-
Habitat Program, since it is the most widely applicable: informal settlements are
residential areas where a group of housing units has been constructed on land to
which the occupants have no legal claim or which they occupy illegally or
unplanned settlements as well as areas where housing is not in compliance with
current planning and building regulations (unauthorized housing).
In Italy the phenomenon of informal settlements (the “first generation”) is a
serious and very old problem that three amnesties for the infringement of local
building regulations (the last in 2003) could not solve it; the phenomenon is
prevalently in form of unauthorized housing or illegal buildings, “in areas
frequently inhabited by low or middle class families, in housing construction of
modest (sometime good) quality, often on legally owned land. The illegal nature
of these developments is associated with the lack of formal urban plans and/or
building licenses” [7].
Considering that the phenomenon is particularly accentuated in southern
Italian, especially in the Campania Region and assuming that it is no longer
possible to continue to ignore financial tools that may allow for the recovery of
liveability for the community that is widely impaired, the article aims to deal
with the argument from the perspective of local finance. The article is organized
as follows: Section 2 will offer a concise overview of the informal settlements in
the Campania Region; Section 2.1 will address the issue of the assessment of
pecuniary sanctions in order to obtain retrospective building permits, analyzing
the different procedures. Then, Section 3 will introduce the question of the
management of informal settlements from a municipal finance perspective,
exploring, in Section 3.1, two different municipal budgets. The paper ends with
some concluding remarks.
2 Informal settlements in Campania Region (Italy)

Despite the “promotion of the sustainable development of urban and extra-urban
territory trough the minimum soil consumption” being one of the main goals of
the Campania Regional Law on Territory Government (Law 16/2004), the
intense urbanization process, frequently chaotic and unplanned which has
involved for a long time the regional territory and, above all, the urban area of
Naples (Figure 1) seems to contradict this attempt.
Figure 1: Soil sealing in the urban area of Naples [8].
A useful indicator for understanding the evolution of this process is

represented by the size of building permits (the authorisation required to build or
transform existing buildings, issued by the municipality on submission of the
project) released in the last years that remain consistent in all the five provinces
of the Region, as in Table 1, despite the decrease recorded in the latest official
available data for new buildings.
Table 1: Building permits in the five provinces of the Campania Region.

2007 2008 2009 2010 2011 2012
Provinces
Buildings Dwellings Buildings Dwellings Buildings Dwellings Buildings Dwellings Buildings Dwellings Buildings Dwellings
Caserta 740 3.865 601 2.249 537 2.059 457 1.576 505 1.890 393 1.143
Benevento 158 602 277 889 192 571 164 477 162 495 114 300
Napoli 602 3.602 387 1.989 498 2.466 484 2.007 524 1.957 565 1.891
Avellino 348 1.009 279 1.000 289 1.168 198 537 274 817 176 514
Salerno 609 2.409 606 2.163 493 1.637 355 1.284 501 1.640 400 1.194
Campania 2.457 11.487 2.150 8.290 2.009 7.901 1.658 5.881 1.966 6.799 1.648 5.042
Conjointly with the dynamics of authorized buildings, the process of building

pressure is increased by the informal settlements phenomenon that, in addition to
the legal issues, has a strong territorial impact, with relevant effects on the
individual and collective welfare (urban sustainability, quality of life, safety,
etc.). In the BES – Benessere Equo e Solidale – Report [9], an outcome of a
national project aims to measure equitable and sustainable well-being inside the
international debate on “GDP and beyond”, the index of illegal building (ratio of
the number of unauthorized buildings to the number of building permits issued
by the Municipalities) in the South of Italy and the Islands has recently risen
over 35%, as in Table 2.
Table 2: The index of illegal building in Italy.

Illegal building rate
Italian Regions
2013
Northern Italy 5,3
Piemonte 4,4
Valle d'Aosta 4,4
Ligury 15,3
Lombardy 5
Trentino-Alto Adige 1,6
Veneto 6,8
Friuli-Venezia Giulia 4,4
Central Italy 11,6
Emilia-Romagna 5,4
Tuscany 10,8
Umbria 14,9
Marche (The Marches) 8,7
Lazio (Latium) 12,2
Abruzzo 27,4
Molise 49,4
Southern Italy and Islands 35,9
Campania 62,1
Puglia (Apulia) 21,7
Basilicata 29,5
Calabria 69,3
Sicilia (Sicily) 47,7
Sardegna (Sardinia) 21,2
Specifically in the Campania Region, where the maximum intensity of the

phenomenon has been recorded (after the Calabria Region), it has been estimated
that the share of illegal buildings is almost equal to half of those built legally.
The provinces of Naples and Caserta are the most affected by this problem,
with many small and medium sized towns having lost their administrative
boundaries, while the peri-urban areas are frequently transformed for urban uses
by landowners, without any official planning permission and licenses.
These settlements, where the residential component prevails, are

characterized by a low level of physical quality, scarcity of standards and public
facilities, compromising territories with a strong rural and agricultural vocation
or coastal areas of environmental value. It is not by chance that many
municipalities in both provinces are under judicial administration as a
consequence of illegal building practices. The framework becomes even more
complex considering the number of cases that are waiting to be examined in
order to granted the amnesty; in the meanwhile, most of the buildings remain
with their owners with an anomalous cadastral classification (“sanabile”
buildings) and are put on the real estate property market to either rent or sell,
constituting a particular form of “informal submarket” object of sanctions and,
indeed, of appraisal [10].
There are numerous types of informal settlements in the Campania Region:
illegal single-family houses or multi-family buildings within the city; illegal
extensions in violation of building regulations; illegal buildings in protected
areas with landscape and environmental constraints (as in the UNESCO sites) or
in archeological areas (such as around the Appia Antica way); informal
settlements in peri-urban areas, outside the municipality boundaries.
In this very common last type of informal settlement, the spatial-
morphological and functional features prevalently take the form of variants of an
elementary settlement typology structured on a schema in a comb shape, with a
substantial homogeneity of building typologies, in prevalence mono or semi-
detached houses on parcels of a minimum extension and without any ordering
rule.
In the city of Naples, one of the best known cases of informal settlement is
the neighborhood of Pianura with 58 thousand inhabitants and 70 thousand
applications for an amnesty. The buildings are illegal because they were built
without any form of building permit, while also violating the zoning plan; but the
land was legally bought by private developers who respected the building
standards, and homes were placed on the market at prices only slightly (15–20%)
below the cost of legal units [11]. While, in the province of Naples, one of the
best known cases of informal settlements and unauthorized buildings is
Giugliano in Campania; there, the rapid population increase has caused an
unplanned development, especially in the suburbs.
In the Caserta Province, according to the Territorial Plan (approved in 2012),
approximately 12,000 hectares has been built in absence of the Master Plans and
the maximum concentration is in the Caserta and Aversa conurbation as well as
along the Domitian coast.
2.1 Informal settlements and the assessment of pecuniary sanctions
As in other European countries, in Italy the actions set out by current regulations
to address illegal settlements follow several approaches: a repressive approach
that concerns the demolition of illegal structures (frequently disregarded); a
mitigatory approach, that consists in the confiscation of properties and their
regeneration by means a detailed urban plan and a comprehensive approach that
provides the legalization of informal settlements or buildings on the basis of a

pecuniary sanctions to obtain a “retrospective building permit”.
The sanctions are established on the basis of Presidential Decree No.
380/2001, the so called Testo Unico dell’Edilizia, which provides building
activities regulations and could represent a significant item of revenue and
capital expenditure or “investment” in financing the public city. Considering the
informal settlements phenomenon, this opportunity of financial recovery should
not be underestimated, as has happened up until now, especially in light of the
disastrous effects of the current economic recession on the budgets of local
authorities, which are forced to deal with increasingly limited resources and an
increasingly challenging internal stability pact.
The building pecuniary sanction can be proportional to the value of the illegal
building or contraventional, determined on the basis of a minimum and a
maximum. The proportional pecuniary sanction is prescribed by law when it is
impossible to restore the status quo through demolition, both in the case of a
building realized ex novo, in absence of a building permit or in total dissimilarity
with it and in the case of an intervention of renewal without a building permit or
in dissimilarity with it.
The procedures for the assessment of the sanctions are different. In the case of
the renewal of a building for residential use in absence of a building permit, or in
total dissimilarity with it, the amount of the sanction is equal to the double of the
increase of the building value resulting with the realization of the illegal works
(the evaluation criterion is finalized to determine the production cost of the part
of the building realized illegally; this cost is doubled).
For the buildings with a non-residential use, the sanction is established with
reference to the market value estimated by the Cadastral Office. In the case of
interventions realized in partial dissimilarity with the building permit, or in
absence of the statement of the start of works or differently from it, the sanction
is equal to the double of the production cost of the part realized dissimilarity to
the permit if for residential use and to the double of the increase of the building
value for the works concerning other destinations.
In the case of interventions realized without a building permit, or in
dissimilarity with it or in absence of the statement of the start of works, whoever
is responsible for the illegal works or the actual owner of the building can obtain
the permit “in sanatoria” or the retrospective building permit. This can happen if
the interventions are in compliance with the planning and buildings rules in force
both at the time of the realization of the building and at the time of presenting the
application. However, in order to get the “sanatoria”, an amount equal to the
double of contribution of construction (art. 16, Presidential Decree No.
380/2001) must be paid. This contribution is paid so as to obtain the building
permit and is commeasured with the incidence of urbanization charges
(determined by the municipalities on the basis of the regional parametric tables)
and construction costs, determined by the Regions periodically.
A different form of sanction concerns illegal buildings in protected areas with
landscape and environmental constraints. The Italian Code of the Cultural and
Landscape Heritage (art. 167, Legislative Decree n. 42/2004) ascertains that, in
case of violation of the obligations and orders, the transgressor shall be obliged
to restore the cultural property to its original state at his own expense or “pay a
sum equivalent to the greater amount between the damage caused and the profit
derived through the transgression”.
The sum is determined by the Municipality on the basis of an official
assessment and shall be utilised for safeguarding purposes, works for
reclamation of landscape values and the upgrading of deteriorated areas. There
are several procedures adopted by municipalities in order to determine the value
of illegal work: some of them are referred to the cadastral value (established by
Agenzia delle Entrate for property tax); others are based on the difference
between the value of illegal works and the cost sustained for its realization;
eventually, other procedures adopt criteria of pre-existent and old norms.
Prevalently, the sanction for the indemnity is assessed through a purely
financial criterion and the limit of these assessment procedures is the exclusion
of the immaterial or intangible values that characterize the environmental and
historical heritage. In the perspective of sustainability, a more integrated and
multidimensional approach for the evaluation of environmental damage occurs
[12], considering the socio-economic relevance that disruption, deterioration or
alteration produce to the environment, in the widest meaning of the term.
3 Local finance and management of informal settlements

Nowadays local finance plays a crucial role in the implementation of the
Sustainable City. From an economic point of view, the promotion of the
sustainable city – or the self-sustainable city – [13] could be seen as a productive
activity aiming to transform the existing city into a city capable of self-
regulating, enhancing (and not wasting) the existing resources, through the
optimal combination of the production factors (the land; the capital and the
labour, essential for realization or regeneration of infrastructure and buildings
and the management capability of public and private subject in coordinating the
different factors).
In this perspective, it is possible to identify the city or municipality (the local
authority which represents its community) as an entrepreneur subject whose
productive capability should be inspired by criteria of effectiveness, efficiency
and inexpensiveness. This criteria, derived from business administration, have
been incorporated definitively in the Italian Consolidated Act on Local
Authorities (Legislative Decree no. 267/2000), which contains the financial
principles of the Municipal Budget, understood as a programming and
management tool. The importance of budgets has grown significantly as cities
face increasingly difficult expenditure and revenue decisions in an environment
of increased demands of services and infrastructure [14].
According to the Italian legal system, Local Authorities (or Municipalities) –
on the basis of territorial government rules – are concerned with planning and
building matters and, above all, have the faculty to transform urban areas. The
right or permission to build is given under the payment of a contribution of
construction or “development charge”. This contribution is inserted into the
Municipal Budget, the tool that sets out the local government’s plan for revenue
and expenditure for an annual or multi-year period. The revenues from the
issuing of “building permits” (the original former building permit or urbanization
charges introduced by Italian Law 10/77, then modified in “contribution of
construction” by Presidential Decree no. 380/2001) are constrained funds
(together with the property tax) in the budget of the local authority to be used for
financing the “public city” (such as the construction of primary and secondary
urbanization works, urban facilities as well as the maintenance of the assets,
green urban areas, etc.).
In addition, the revenues deriving from retrospective building permit or
permit in sanatoria for the informal settlements are constrained funds, intended,
among the other things, for the demolition of works that are not subject to the
amnesty or sanatoria; for interventions of urban and environment regeneration;
for the realization of primary and secondary urbanization works.
Both the revenues are registered in the Municipal Budget under Title IV, as in
Table 3, but several financial laws during the last decade have contributed to
distorting the original nature of these revenues, no longer exclusively finalized at
capital expenditure or investments for the municipal infrastructure, but also for
current expenditures, within the limit of 50% of the annual total.
Table 3: Municipal budget revenues and expenditures.
REVENUES EXPENDITURES
CURRENT REVENUES CURRENT EXPENDITURES
Title 1 - Tax revenues Title 1- Current Expenditures
Title 2 - Current transfers from other governments
Title 3 - Current no tax revenues
CAPITAL REVENUES CAPITAL EXPENDITURES
Title 4 - Disposal of fixed assets, capital Title 2 - Capital expenditures
transfers from other governments and private enities Title 3 - Loan repayments
- building permits and retrospective building permits Title 4 - Clearing entries
Title 5 - Borrowing
Title 6 - Clearing entries
Total Total
Generally, the expenditures of local authorities are classified on the basis of

four main titles with several functions (see Table 3) and are subdivided into
current and capital expenditures.
In order to try to connect the local authority activity, measured by municipal
cash flows, with some indicators of sustainability, analysing the environment
dimension, in municipal budget, the expenditures for the environment are
considered together with those for the management of the territory (function 9:
Territory and Environment) and are classified as: Urban Planning and Territory,
Social Housing, Civil Protection, Water Service, Waste and Parks.
Analysing the several voices that compose the municipal budget with specific
reference to the final budget, it is possible understand how the resources are
managed and, in particular, how the informal settlement phenomenon is
managed; in this perspective will be developed the next paragraph.
3.1 Experiences from Campania Region
Considering the informal settlement phenomenon, the failure of the Local

Authorities has become evident to contrast its effects through the repressive
approach, or a systematic demolition of illegal structures. In particular, in the
Campania Region this approach has been frequently disregarded for several and
complex reasons (political, social and financial); in the meantime, the difficulty
of local authorities in financing public expenditures is well-known but it is also a
paradox that the citizens have to pay property tax (always more expensive) on
their legal buildings, while the citizens that do not respect the urban planning
rules have built unauthorized structures without paying the construction
contribution and do not even pay the tax (both local and national) on their illegal
buildings. Therefore, the problem of illegal buildings that characterizes many
municipalities, assumes a certain relevance if it is analyzed from a municipal
finance perspective.
An analysis of the latest municipal budgets could help to evaluate both the
efficiency and effectiveness of the retrospective building permit tool as well as
the capability of local authorities in the management of informal settlements,
understood as a consistent part of the built environment, whose sustainability
also includes a concern for its efficiency to support the local economy (according
to the concept of urban sustainability adopted in the introduction).
In this section, some analyses, started within a departmental research on
informal settlements [15], are developed further; it is important underline that
some of the information or data are not available in any institutional data bank
on municipal bases; in particular, for the revenues deriving from the Title 4.05
“building permit and retrospective building permits” it is very difficult to deduce
the differentiation between the two forms of revenue.
For example, it was chosen to explore two meaningful cases: the Municipality
of Giugliano in Campania (in the Province of Naples) and the Municipality of
Casal di Principe (in the Province of Caserta), two urban realities where the
informal settlements phenomenon is particularly accentuated.
In the province of Naples the best known case of informal settlements and
unauthorized buildings is Giugliano in Campania (120,545 inhabitants), the third
municipality in Campania Region for the number of inhabitants; the rapid
increase of population has caused an unplanned development, especially in the
suburbs and along the coast, areas frequently characterized by the scarcity of
infrastructures and public facilities.
The municipality of Casal di Principe (21,500 inhabitants), already object of
analysis [16], is characterized by a strong deficiency of standard areas: the
amount of planned public equipment should be 44.4 hectares, while the amount
of existing public equipment is only 6.1 hectares; most of the 35% of the
urbanized area is illegal, concentrated in the Agricultural Area, as identified in
the Municipal Master Plan.
Analyzing the final budgets in the triennium 2011–2013, with specific
reference to the revenues deriving from the Title 4.05 “building permit and
retrospective building permit (or sanctions)”, only in the municipal budget of
Giugliano specified in the two entities for the year 2013 and 2012, on the basis
of the data in the Tables 4 and 5, it is possible develop some considerations.
Table 4: Revenues from “building permit and sanctions” in Giugliano.
Giugliano 120.545 inhabitatnts

2013 2012 2011
Revenues
in € in € in €
building permit 932.979 1.109.430
retrospective building permit 2.080.479 2.779.490
Total 3.013.458 3.888.920 4.901.757
per capita euro 25 euro 32 euro 41
Table 5: Revenues from “building permit and sanctions” in Casal di Principe.
Casal di Principe 21.500 inhabitatnts

2013 2012 2011
Revenues
in € in € in €
building permit together with
retrospective building permit
Total 156.088 203.142 338.143
per capita euro 7 euro 9 euro 16
In both municipalities, the revenues show a significant decrease: in Giugliano

in two years, the revenues have decreased by about 40% and in Casal di Principe
around 55%. Analysing the revenues per capita, in Giugliano these are three
times more than in Casal di Principe, with this being a useful indicator of a
greater attention from the Local Authority of Giugliano in contrasting the
unauthorized buildings phenomenon. In other words, analysing the entity of the
revenues, this municipality expresses a greater effort in legalising the
phenomenon.
The decrease of revenues aimed to realise public facilities is accompanied by
a reduction of expenditure for investments (capital expenditures); in the last
years, it is possible to verify a contraction in the functions concerning urban
planning and territorial and environmental management. Looking at Table 6, in
Giugliano the expenditures guaranteeing the management of the territory and
environment, in the triennium analysed, is on average 256 euro per capita, with a
reduction in 2012; analysing the voices in detail, it is possible verify that the
capital expenditure for urban planning and territory are relevant only in 2011,
while the current expenditures for the waste management are the most
considerable in all three years, more than 60 % of the total expenditure. This data
is verified in many other municipalities, with that of waste being a serious
problem in Campania Region. With reference to Table 7, in Casal di Principe the
expenditure for the management of the territory and environment are less than in
Giugliano, on average 220 euro per capita, with there also being a reduction in
2012.
Table 6: Giugliano expenditures for the Territory and Environment.

2012 2011 2010
Expenditures
Total per capita capital Total per capita capital Total per capita capital
Territory and Environment 28.604.825 238 588.835 31.757.441 266 1.702.428 31.044.710 264 1.500.000
- Urban planning and Territory 904.796 7 171.351 1.444.328 12 448.287 1.157.781 10 450.108
- Social Housing - - - - - - - -
- Civil protection 29.815 1 - 1.298 0 - 67.535 1 -
- Water service 9.381.300 78 337.339 11.134.729 93 193.538 6.646.140 57 831.231
- Waste 17.473.313 145 - 17.683.987 148 98.445 22.067.060 187 -
- Parks 815.602 7 80.145 1.493.099 13 962.158 1.106.194 9 236.827
Table 7: Casal di Principe expenditure for the Territory and Environment.

2012 2011 2010
Expenditures
Total per capita capital Total per capita capital Total per capita capital
Territory and Environment 3.810.204 178 1.693.077 5.993.054 279 3.844.690 4.534.016 213 1.506.260
- Urban planning and Territory 1.867.993 87 1.693.077 3.404.378 158 3.384.785 1.425.513 68 1.300.000
- Social Housing - - - 11.571 1 11.571 156.311 7 -
- Civil protection 6.183 1 - 49.692 2 - 41.543 2 -
- Water service 86.333 4 - 57.037 3 - 74.988 3 -
- Waste 1.849.695 86 - 2.022.042 94 - 2.798.267 130 12.846
- Parks - - - 448.334 21 448.334 37.394 2 37.103
The most substantial expenditures are for urban planning and territory
(particularly in 2011) and waste management, while there is very little for the
maintenance of green spaces. Comparing the revenues from building permits and
sanctions with the total expenditures (year 2011 and 2012), it emerges how in
Giugliano the ratio is approximately the 15%, while in Casal di Principe, it is
approximately 5%. This means that there, the Local Authority, either releases
few building permits or, more probably (considering the entity of the
phenomenon in this territory) is very weak in contrasting it through sanctions.
4 Concluding remarks
The production of the sustainable city requires resources, interest and actors; in a
situation of economic-financial scarcity, even the revenues with specific
destinations (the constrained funds) as well as those from the retrospective
building permits, assume a growing relevance in the municipal budgets, obliging
local authorities to work in a perspective of greater efficiency and effectiveness
in the management of informal settlements.
The synthetic exploration of the two municipal budgets showed above
represents a further step of a research that, obviously, needs of a wider sample,
extended to many others municipalities, clustered in function of the demographic
dimensions. Considering the severe situation of informal settlements and
unauthorized buildings in the Campania Region, a more systematic investigation
of the voices that constitute the municipal budgets, with specific reference to the
revenues deriving from the retrospective building permits as well as the capital
expenditures, will helps to better understand and evaluate the behaviour of local
authorities, regarding their capability both in the recovery of sanctions and
investment programming. Obviously a greater recovery of resources should
correspond to greater capital expenditure to the advantage of community.
In this perspective, it is useful to conclude recalling the point IV of the
“Vienna Declaration on Informal Settlements in South Eastern Europe”,
endorsed in 2004: “Sustainable urban management requires that informal
settlements be integrated in the social and economic, spatial/physical and legal
framework, particularly at local level; successful regularisation efforts contribute

to long-term economic growth as well as to social equity, cohesion and
stability”.
References
[1] United Nation, World Urbanization Prospect, The 2014 Revision, United
Nations, New York, p. 2, 2014.
[2] European Environment Agency, SOER 2015 – The European environment
state and outlook 2015, www.eea.europa.eu/soer, 2015.
[3] Potsiou C., Informal Urban Development in Europe. Experiences from
Albania and Greece, summary version, UN-HABITAT, 2010.
[4] Allen A., You N., Sustainable Urbanisation: Bridging the Green and
Brown Agendas, UCL Development Planning Unit in collaboration with
DFID and UN-Habitat, London, 2002.
[5] Allen, A., Sustainable cities or sustainable urbanization, UCL’s journal of
sustainable cities, www.ucl.ac.uk/sustainable-cities, 2009.
[6] De Soto, H., The Mystery of Capital: Why Capitalism Triumphs in the
West and Fails Elsewhere, Basic Books, New York, 2000.
[7] Economic Commission for Europe, In Search for Sustainable Solutions for
Informal Settlements in the ECE Region: Challenges and Policy
Responses, unedited draft, Geneva, 2008, p. 14.
[8] ISPRA, Il consumo di suolo in Italia, ISPRA, Italy
www.isprambiente.gov.it, 2014, p. 52.
[9] ISTAT-CNEL, Il benessere equo e sostenibile in Italia, ISTAT, 2014.
[10] Forte C., La stima della sanzione pecuniaria per opere abusivamente
eseguite, in Rivista del Catasto e dei Servizi Tecnici Erariali, anno XXV-
nn.4-5-6, Roma, 1970.
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Informal Settlements in the United Nations, Economic Commission for
Europe Region, New York and Geneva, 2009, p. 15.
[12] Defrancesco E., Gatto P., Rosato P., Bozzolan I., The valuation of
Environmental Damage Compensation: An Integrated Framework, in
Rivista SIEV (Società Italiana di Estimo e Valutazione), n. 9, Dei, Roma,
Italy, 2012.
[13] Forte F., ‘Il finware per l’umanizzazione della città’, in (eds): Fusco
Girard L., Forte B., Cerreta M., De Toro P., Forte F., L’uomo e la città.
Verso uno sviluppo umano e sostenibile, Franco Angeli, Milano, 2003.
[14] UN-HABITAT, Guide to Municipal Finance, Nairobi, 2009.
[15] Forte F., Illegal Buildings and Local Finance in New Metropolitan
Perspectives, in (eds): Bevilacqua, C., Calabrò F., Della Spina L., New
Metropolitan Perspectives. Advanced Engineering Forum, vol. 11,
www.scientific.net, 2014, pp. 600-606.
[16] De Biase C., Forte F., Unauthorised building and financial recovery of
urban areas: evidences from Caserta Area, in 6th EuroMed Conference
book of proceedings, EuroMed Press, Estoril, Portugal, 2013, pp. 816-831.
Low-income sustainable dwelling

C. Cerro
College of Architecture, Art and Design,
American University of Sharjah, UAE
Abstract
Up to 100,000 people move into urban slums every day. According to UN-habitat,
around 33% of the urban population in the developing world in 2012, or about 863
million people, lived in slums. The reasons for the growth of this urban
phenomenon vary; from poor infrastructure, social exclusion and economic
stagnation to colonialism and segregation. But at the core of the problem is a lack
of dignified affordable housing. The low-income sustainable shelter was designed
to address this issue and to start a conversation on dignified sustainable living. The
unit is made out of stackable shipping containers. Each apartment can house a
family of five or eight (depending on the amount of container used) people per
floor, with a stackable capacity of five levels. All the elements are prefabricated
in the slum itself, creating jobs for the community. The first floor is reserved for
commercial use in an attempt to stimulate the economy of the area, the activity
provided by the commercial spaces will also help in terms of security and safety.
The top floor is an urban farm. The idea is to help the dwellers to have a passive
source of energy, food and income. The unit combines both passive and active
technologies to solve both economical and psychological problems that arise from
dwelling in slums with the purpose of bringing back health, security, dignity and
pride to these communities. Once the project is implemented the amount of green
brought into the area will clean the air and will lower the cost of food by
eliminating transportation costs, developing through all these systems, a better
quality of life for the population of the slum.
Keywords: sustainability, green roofs, low-income housing, self-sufficiency, third
nature, standard of living, health, containers, hydroponic farming, passive
income.
doi:10.2495/SC150151
1 Introduction
Slums all over the world are plagued with social, health and education problems
but at the center of all of these issues we find one; low quality of life produced by
substandard housing. In this paper I will present a solution to this problem by
implementing high and low tech systems that when incorporated to the design
environment can generate a ‘third nature’ in which sustainable smart housing
combined with the production of food and energy can be used to redefine a housing
typology for low-income areas. The paper will begin by defining the present issues
to be addressed by the proposed dwelling unit design and will study the reuse of
shipping containers as a feasible construction system for sustainable low-income
housing. Then we will cover how sustainable solutions can be used to address the
idea of a ‘third nature’ in marginal areas. Concluding with an explanation of the
proposed units and how each of its elements will have a positive repercussion in
the community using them.
2 Third nature
If we consider ‘first nature’ to be the natural world (wilderness) and ‘second
nature’ to be the urban growth that has taken over the natural world, then ‘third
nature’ can be defined as the point in which a sustainable man-made nature
interacts with the built environment with a positive result as an outcome. This
positive result comes from the hybridization of sustainable ideas with architecture
to better the life of the user. ‘Third nature’ is then a new take on urbanism that
provides an architecture that uses high tech and low tech systems to produce new
typologies of urban elements that use sustainability as a default aspect of design,
where solar panels are as expected in a building as is a door or a window. The
result as in this project will provide us with an approach to design that is meant to
attach the diversity of problems suffered by slum communities, from different
perspectives and to ultimately better the standard of living of the user and his/her
community.
3 The problem
According to the United Nations Human settlement program, for the first time in
history, more than half the world’s population live in cities: 54% in 2014. In some
cities more than 80% of the population lives in slums. By 2030, about 3 billion
people (40% of the population of the planet), will need shelter and access to water,
energy, food and sanitation (UN-Habitat [1]).
Despite the language of the Universal Declaration of Human Rights (art. 25.1)
and the International Covenant on Economic, Social and Cultural Rights (art.
11.1), we can’t consider the present housing situation in slums as a solution for the
quality of life problem generated by the lack of appropriate shelter [2, 3]. In these
slums, substandard dwellings and overcrowded conditions, lacking water and
sanitation create health issues. And a lack of education and services prevent the
upper mobility of the population. About half of all deaths in children under five
years of age happen because of under nutrition, about three million children a year
(UNICEF [4]). The architecture needed to fulfil our moral responsibility needs to
be much more than just the creation of shelter, it need to increase the quality of
life of the individual and the community.
4 Shipping containers
The project consists of reusing containers after the end of their life span as cargo
units. A shipping container has a functional longevity of around 10 years. After
that they are retired. In a lot of countries, retired containers are turned back into
raw material or just stored. The storing of containers has created a surplus, which
makes of the container, a cheap and in a lot of cases free resource. Each container
is designed with a built in structural system capable of stacking 9 similar units (at
full load) on top of the first one, solving simultaneously the structural and shelter
aspects of the dwelling unit. The containers that will be used in the dwelling unit
are designated by ISO as 1AAA (40 ft/12.1 m) and 1CCC (20 ft/6.058 m). Because
the internal height of each of these containers is 2.7 meters, we are able to produce
a housing unit with a usable height of 2.4 meters, which is an acceptable height in
most construction codes. But let’s be clear about something, no system is fully
ecological nor is it fully sustainable. Even though the reuse of containers is in
essence a good green solution, it does have problems. In Archdaily, Pagnotta
points out that, “reusing containers seems to be a low energy alternative, however,
few people factor in the amount of energy required to make the box habitable. The
entire structure needs to be sandblasted bare, floors need to be replaced, and
openings need to be cut with a torch or fireman’s saw. The average container
eventually produces nearly a thousand pounds of hazardous waste before it can be
used as a structure” [5]. Having acknowledged these points, building with
containers still remains a good sustainable solution for construction since it solves
the essential pre requisites needed for the production of shelter at a minimum cost.
5 The project
Two side-by-side 20’ containers (320 sq ft each) will stand for the base of the
dwelling unit. This will be the commercial level. By bringing in small businesses
to the ground level, we are guaranteeing street life, an economy to sustain the
community and the safety that comes from having people on the street. The second
level will be the first apartment unit. This unit will be composed of two side-by-
side 40’ containers (640 sq ft each) welded together to produce a living unit for a
family of 5. More containers can be added for expansion of the space. Offset from
the center of the living unit there will be a bathroom and kitchen. All grey water
will be taken to tanks for filtering and reusing. The rooms will consist in two pods
with just enough space on them for sleeping in. The rest of the space will have an
open plan. The walls of the unit will be insulated with aerogel (r value=10 per
inch.). The floors will be bamboo or reused lumber. The appliances will be energy
efficient, running from electricity produced by solar panels on the roof. The
dwelling can stack up to 5 units on top of the commercial one. Making the building
height adaptable to the needs of the population. On top of the last residential unit
there will be a shared garden level with hydroponic tubs for food production. The
idea is to produce plants for the consumption of the unit and also to generate
passive income for the dwelling. The vegetation will increase the quality of air in
the community and since the garden is on top of the dwelling, it will serve as a
thermal insulator for the rest of the building. The roof of the garden level will
house solar panels and solar heaters. The different levels of the building will be
connected by a vertical circulation tower that will house a stair. And it will also
serve to house; a grey water tank, a filter and a clean water tank together with
advanced air to water technology (Skywater distillation technology). Each
building will be of the grid by producing its own energy, water and food. Organic
trash will be consumed by worm farms that will then produce compost to help with
the growth of fruits and vegetables at the green roof level. Human faeces will be
composted to for use in non-consumable plans or to be sold to generate passive
income. In this way, the dwelling unit will become a third nature system blending
technologies and nature to create a sustainable, self-sufficient interdependent
living unit, designed to improve the quality of life of those using it.
Figure 1 shows an exploded axonometric using the following key:
1. Oxygen producing plants will help control air quality.
2. The roof garden will have worm composting designed to help with the
maintenance of the garden and to produce passive income to the
building.
3. Reclaimed lumber will be used in all floors and panel systems.
4. Each unit will be energy smart and will use energy saving appliances
and illuminating systems.
5. Solar batteries will be set under the hydroponic farm for energy
storage.
6. Grey water storage and filtration systems will reside at the top of the
circulation tower.
7. Solar water heater will be installed on the roof and connected to the
building through the circulation tower.
8. Aerogel insulation will be used behind all interior walls. Aerogel has
an R-value of 10 per inch.
9. Drinking water filtration systems will also reside in the circulation
tower between the grey water tank and the clean water tank.
10. An atmospheric water generator will be set at the top of the circulation
tower to produce water from the vapor in the air.
11. Each unit will be constructed by reusing shipping containers that have
ended their commercial life.
12. Solar panels will be installed on the roof.
13. Hydroponic vertical farm tubes will be placed on the roof garden to
produce food for the building and to create a passive income.
14. A prefabricated circulation system will be attached to the units to
house water tanks, connect MEP systems and provide vertical
circulation to the units.
Figure 1: Exploded axonometric.
6 Developing economic growth

The dwelling unit has been designed as a prefabricated system. All parts of the
unit will be assembled in the community. By doing this we can provide jobs and
technical education to those working on the project. This knowledge and training
can be exported to other communities. As more people arrive to the community,
more units will be produced and added vertically to the original buildings up to a
maximum of five units (five stories are the maximum allowable height for a
housing unit with no elevator). As the system is put in place, the same assembling
process can be used to build supermarkets, hospitals, schools, etc. all produced
with the same prefabricated components.
Modular projects can be problematic because of their repetitive nature and
monolithic size. To confront this issue, the dwelling units have been designed with
terraces on each level and a green garden on top to give the inhabitants the
possibility of personalizing their space. The dwelling units are also small in nature,
with capacity of expansion vertically and horizontally. And they will be placed
close to each other to keep a scale that helps to preserve community through
proximity.
“Although sustainable housing is often associated with wealth and affluence, it
does not need to be so – genuinely sustainable houses are those that are inclusive
and affordable for all. Addressing the issue of affordability is, therefore, a
necessary condition for transformation towards sustainable housing. And yet
affordability is not enough, because the so-called affordable homes cannot be
considered sustainable if they create negative impacts on the environment or social
life. The marriage of affordability with other sustainability conditions is a must”
[1]. Which in the end is the essence for developing economic growth in these
communities.
The unit will produce two other financial resources; it will have smaller
commercial spaces on the ground level, designed for the developments of small-
businesses. One of the biggest problems in slums is the lack of everyday items
accessible to the population. This move is aimed at solving that problem by
providing a place for the underground economies of the slum to happen and grow.
The second resource is the potential to create passive income by the production of
compost, fruits and vegetables, and energy, which can be sold to other parties or
to the government so as to give the families a second source of income. Once some
of the primary expenses of a family are taken out of the equation thanks to
sustainable living, the family will find itself with extra money to better their
present economic situation. In this manner the building has the potential to
produce direct and indirect benefits to the economic life of the community.
7 Conclusion
In conclusion, this project is redefining our ideas of what we understand as a slum
by transforming them into a landscape of opportunity where low income housing
can be seen as a self-sufficient, sustainable dwelling system that is designed to
help improve the economic, education and health of a community by its mere
existence, producing a totally unique results: not entirely natural, and not entirely
man made. A true third nature project designed to better the standard of living of
its inhabitants. So that, “everyone has the right to a standard of living adequate for
the health and well-being of himself and of his family, including food, clothing,
housing and medical care and necessary social services, and the right to security
in the event of unemployment, sickness, disability, widowhood, old age or other
lack of livelihood in circumstances beyond his control (the Universal Declaration
of Human Rights, art. 25.1 [2]).”
Figure 2: Display board one.
Figure 3: Display board two.
References
[1] UN-Habitat (online). Available at: http://unhabitat.org/urban-themes/housing
-slum-upgrading/. Accessed: May 29th 2015.
[2] UN General Assembly, Universal Declaration of Human Rights, 10
December 1948, 217 A (III), article 25.1.
[3] UN General Assembly, International Covenant on Economic, Social and
Cultural Rights, 3 January 1976, article 11.1.
[4] UNICEF. Available at: http://www.unicef.org/statistics/. Accessed: May 29th
2015.
[5] Pagnotta, Brian (2011), The pros and cons of cargo container Architecture.
http://www.archdaily.com/160892/the-pros-and-cons-of-cargo-container-
architecture/.
Humanitarian development in Africa

L. Mnyandu
Department of African Studies, Howard University, USA
Abstract
A great debate on public history is what does one do with buildings and spaces
inherited from the past? The aim of this paper is to see in what ways the city of
Johannesburg can be developed to create unity and increase economic productivity
in a divided urban South Africa. This paper engages with the theoretical
framework on humanitarian development paradigm, looking at State, Market, and
People, as well as Development From Below.
Keywords: urbanism, nationalism, economy, humanitarian, state power, law,
property rights, regeneration.
1 Introduction
Johannesburg stands in a peculiar and promising position in the global imagining
of sustainable cities. As a major city in the African southern hemisphere,
Johannesburg has major developmental challenges but with great and beneficial
outcomes. Given its founding principles as a European city and with Black South
Africans as its burden bearers, Johannesburg started off on a wrong footing. Its
lust for gold that was previously mined by Black South Africans in Johannesburg
created a rush among the European prospectors and speculators to haphazardly
form a city so as to start trading gold. Before the Anglo-Boer War, Johannesburg
was a town for the Dutch (Afrikaners) and after the ‘war of conquest’;
Johannesburg took a form of a city with English (British) characteristics. Given its
shameful history, Johannesburg stands on the verge of proving itself and to the
world that it is amenable to democratic change, development and progress.
For the sake of national identity and nationalism, Johannesburg needs to revise
and amend its legal and corporate structure(s) in order to include the indigenous
and settler groups harmoniously. In this twenty-first century and going forward,
democratic cities need to be created. Democratic cities must be concerned with
indigenous environment first and then secondly, human development. Western
doi:10.2495/SC150161
models of city building and planning have or are proving to be an unsustainable

development because they lack order, and the human essence that is African.
Nations in the developing countries are looking and exploring new ways and forms
of city planning and building that is in harmony with not only the environment but
also with the essence of being a human.
David in The Humanitarian Development Paradigm: Search for Global Justice
offers a pivotal and critical theoretical framework for any policymaker who is
concerned with developmental paradigm shifts in the adopted European city in
Africa:
The focus is on enhancing human development potentials through a

dialogue that is anchored in core human values, basic human rights,
global justice, and cosmopolitan standards. Such a perspective of
liberation calls for nothing short of a “humanistic renaissance”, or
revisionism based on explicit or overt norms emanating from within
rather than implicit or overt ones imposed from outside or above
(David [1]).
Developing the city from above is counterproductive because it seeks to

maintain status quo that got Johannesburg in this mess from the beginning. I agree
with David that developmental paradigm dialogue needs to be initiated by the
grassroots and from below because the grassroots are the masses, and they are the
class that contribute and keep the city up and running through their “informal”
economic initiatives. For as long as the masses are kept in the margins, the
Johannesburg will never and can never speak any of the South African
language(s).
“The most notable feature of urban apartheid is the ‘apartheid city’. One form
of this is residential segregation, caused by racial zoning and low incomes among
Africans” (Tomlinson [2]). For example, let us look at The Maponya Mall that
was opened in Soweto in 2007. Such initiative appeared to have interests of the
masses in Soweto and other surrounding townships of Johannesburg, to bring
economic benefit directly and indirectly to the people who needed it the most in
the post-apartheid South Africa. On the contrary, one will be hard-pressed to find
that none of the shops in this 65,000 square-metre initiative are owned and
controlled and benefiting the people who patronize them.
With this example in our disposal, we must say then that a “humanistic
renaissance” is needed in order to create and ensure that balance is kept between
those who are in the center and those who are in the periphery. Otherwise, we
would have no choice but to say, again Johannesburg is morphing itself into its
own image of when it was first started – to exclude the periphery and to use the
periphery (African masses) as burden bearers for the European city and its
dwellers. But then again, this discussion is not about shopping malls but about
building cities that are not only democratic but are in harmony with the
environment and its inhabitants. All major and minor stakeholders need to
participate in the dialogue of planning, developing and building cities with
humanistic essence.
2 Political commitment
When local governments and authorities are transformed from being more
administrative appendages of central state power to more autonomous and
effective developmental institutions, they become facilitators of the devolution
process (David [1]). For as long as dormitory locations such as Soweto, Umlazi,
Gugulethu, Alexandria, Kagiso, and more are still in existence- the government
will struggle to initiate and effect serious programs and reforms to benefit the
average South African. We must remember that the locations (so-called
townships) were created to be watersheds and tributaries to supply European cities
and suburbs with cheap labor. Like a forced marriage, these cities are
unsustainable and that is why they are in decay.
Even the laws that were in place (and are still in place through the legacy of
apartheid), ensured that the African either was in the city to render his or her
services for the benefit of the European immigrants, and if not, the Pass Laws,
Burgers’ Law and other mechanisms, rendered him out-of-status and was forced
to go back to the homesteads. This is the same reason why the squatter camps are
encouraged or overlooked because the government and capitalists know they can
extract free labor and offer low wages to those who are desperately seeking
employment. This is the reason why huge numbers of the youth in the inner cities
of South Africa such as Johannesburg are unemployed.
Besides the problem posed by a lack of political commitment and will, the real
trouble with reformist governments often lies in the fact that they are often
undecided about the means by which reforms should be executed (David [1]). The
State needs to be honest with what to do exactly with its National Development
program in order to include the grassroots. It needs to look at drastic and bold
programs of reconstruction, rezoning, and planning for an all-inclusive and all-
benefiting city that will serve as role model for all other cities in the post colonies.
David continues to advance the theoretical framework for any policymaker
worth his or her salt by offering valuable advice:
At the pragmatic level of policymaking and institutional

development, the communal will-to-power reflects the positive
roles played by diverse organizations occupying the space between
the state and private sector. They not only constitute a circle
championing programs of community development, but are also
enablers of a process whereby people in provinces, districts, and
villages have become involved in improving their personal lives by
establishing their own priorities in the context of existing realities
(David [1]).
There are so many grassroots and community initiatives in and around

Johannesburg that are not being given any time of day to thrive simply because
those in the center see them as a threat to their “colonial” ways of profit making,
and might even displace the status quo. But since the State is the mother-body, it
needs to offer alternatives that will ensure that the economy does not only grow or
develop sideways but in both horizontal and vertical- while putting emphasis on
giving seed money to the so-called informal economic initiatives (structures).
Urban development needs to finally speak at least one or two (South) African
language(s).
3 Accessing the city space

The city allows this phenomenon of marginalization, which is created and
sustained by the discriminatory laws set up in the city to exclude and frustrate
Africans in the city, thus maintaining the status quo that loudly says that the city
is for the European and not for a redundant African. In Johannesburg, White
privilege reign supreme today as it did back in the late 1800s. Africans still do not
know whether they are coming or going, and whether the city space will ever
include them or not. Tomlinson offers his two cents on the development paradigm
dialogue in South African cities, especially Johannesburg:
South Africa’s cities are both extraordinarily inefficient and

inequitable. Fortunately, negotiations are presently underway to
address the delimitation of functional urban areas that share tax base
and institutional and technical capacity. Similarly, racial zoning and
restrictions on African enterprise are now a thing of the past. Yet
the consequences of this history will not easily be reversed. South
Africa will long be burdened by the form of its cities, inequalities in
the supply of land, housing and services, and by disadvantages
arising from impediments to economic advancement (Tomlinson
[2]).
In understanding the city and its needs, moving forward, one has to go back and
carefully study its history. History is important to know and understand in order
to forge healthy ways of forward progression. Johannesburg is a case study to
understanding why it seems to be stuck in its old discriminatory ways. South
African government, policy makers and urban planners, need to come up with
ground-breaking initiatives that will not compromise the integrity and humanism
(Ubuntu) of the African people. Yes, Johannesburg is in the continent of Africa
but it is a European concept and creation that is firmly rooted on master-servant
doctrine.
4 Humanitarian development
So therefore, and as David puts it, Johannesburg seriously needs an “authentic or
sustainable human development” that will be a product of “a political process
rather than from mere technical efficiency or technological change” (David [1]).
The government and its private as well as public sector, all need to ultimately
define the environment in which development agendas are set and executed (David
[1]). The government is the one running the State, so they need to show that they
are serious about the plight of the down trodden who are constantly side-lined and
excluded by the city space. If not, we can agree with Beavon that the city of
Johannesburg systematically created a permanent underclass out of Africans as
early as 1890, when he says that the laborers that came to the city they were
required to sign contracts with the mines for periods of between six and twelve
‘shift’ months, the breaking of which would render them criminals (Beavon [3]).
Regeneration of the inner city is a priority for provincial and metropolitan
government (Harrison et al. [4]). Urban planning and architecture of the
Johannesburg is greatly divisive as if to ask the (South) Africans a question they
seem to be not wanting to hear being asked, which is, what does one do with public
spaces and monuments inherited from colonial (and apartheid) era? This is a
question that only a humanitarian development can answer, honestly. The goals of
humanitarian development are unreachable except through an open political
process that guarantees democratic forms of participation in civil society by all
citizens who share a strong commitment to solving common problems (David [1]).
Humanitarian development from below should be concerned with the capacity
to empower people at the middle and bottom rungs of society and not so much the
size of their organizations, but more importantly, the extent to which their survival
skills and mechanisms can be enhanced and protected (David [1]). Lessons could
be drawn from radical initiatives made by the Boers when they came into power
in 1948, where they ensured that the city was speaking their Afrikaans language.
The reform programs they set in place created an environment where their
grassroots people took part in the wealth sharing of the country. Even the British
under the presidency of Paul Kruger, made sure that the city was constantly given
a face-lift to ensure that the Randlords and other capitalists extracted high margin
profits. Through forced removals, rezoning, and other reforms, such initiatives
benefited a healthy economic growth. Therefore, the ruling government needs
radical transformation programs to benefit its citizens from bottom up.
5 Conclusion
Johannesburg has a vibrant and positive future, but the current corporate and legal
structures that systematically exclude Black South Africans, retards the growth of
this city. Dialogues about the humanitarian development and cities that are
democratic need to be centered in the periphery and with voices coming from
below in order to develop a healthy city that is productive. Again, for the sake of
national identity and nationalism, Johannesburg needs to revise and amend its
legal and corporate structure in order to harmoniously include indigenous South
Africans as well as the settler (immigrant) groups. Democratic cities that are
concerned with the environment as well as human essence need to be planned and
built – today. The government needs to be seen taking serious action and initiative
as far as setting the mood for planning, building, and financing of these democratic
cities. If such discrepancies and injustices are not addressed immediately,
Johannesburg will remain a city in which the public and private sectors are
renegotiating their relationship and that seeing a drift towards privatization, not
just of infrastructure and services, but also affecting land development regulations,
building codes and social services (Beall et al. [5]). Cities, just like architecture,
they age too and thus, radical transformation is inevitable to make cities benefit its
citizens and create harmony and not disparities. It is not about profits but about
human, cultural, tradition, and as well spiritual wellbeing of the city dwellers. If
we fail to do these things, we will continue building only to destroy.
References
[1] David, W., The Humanitarian Development Paradigm: Search For Global
Justice. University Press of America. USA: pp. 50-312, 2004.
[2] Tomlinson, R., Urban Development Planning: Lessons for the Economic
Reconstruction of South Africa’s Cities. Witwatersrand University Press,
South Africa: pp. 17-187, 1994.
[3] Beavon, K., Johannesburg: The Making and Shaping of the City. UNISA
Press, South Africa: p. 33, 2004.
[4] Harrison, Huchzermeyer & Mayekiso, Confronting Fragmentation: Housing
and Urban Development in a Democratising Society. University of Cape
Town Press, South Africa: p. 96, 2003.
[5] Beall, Crankshaw & Parnell, Uniting A Divided City: Governance and Social
Exclusion in Johannesburg. Earthscan, USA: p. 8, 2002.
Incorporation of LEED criteria

into architectural design process:
a strategy to increase construction quality
J. F. Fandino1, D. Castro-Lacouture2 & D. Arango1
1
Architectural Degree Program, University of Ibague, Colombia
2
School of Building Construction, Georgia Institute of Technology, USA
Abstract
This paper deals with the incorporation of LEED criteria (Leadership in Energy
and Environmental Design) as didactic strategy in the architectural design process,
in order to improve the construction quality from the stages of conception and
design. Our purpose is to motivate future architects on the use of alternative
energies, interior quality of the buildings, energy efficiency, water consumption,
sustainable development of public spaces and urban landscape, and selection of
construction materials. This course is part of the advanced cycle of the
Architecture degree program at University of Ibague, Colombia, and approaches
the relation between design and sustainable construction inside the environmental
policies of a globalized world (UNESCO). These policies have special
significance in the education of professionals in the 21st century considering
social, economic and environmental aspects. This workshop-based course has
theoretical and practical components, with support from information and
communication technologies.
Keywords: LEED criteria, architectural design process, construction quality.
1 Introduction
The professional practice of architecture is concerned with the qualitative
development of the built environment and its incorporation to its natural
surroundings. The fast transformation of cities, along with the latest economic,
social and environmental crisis in our global society influence the way in which
the built environment is planned, designed, built, used, furnished, landscaped and
doi:10.2495/SC150171
maintained. The universal mission of Schools of Architecture is to improve

theoretical and practical education.
The UNESCO/UIA Charter for Architectural Education has aimed since its
beginning to create a global network within which individual and collective
experiences of interest groups and professionals can be shared by all, and that it
will enhance the understanding of Architectural Education challenges in the
contemporary world. The future vision includes improvement in the quality of life,
application of technology that respects social, cultural and aesthetic needs of
people, sustainable development of natural and constructed environments, and
valuation of architecture as property and responsibility for all of us.
Our interest is on relevant and appropriate knowledge of materials used in
architecture and initial and future costs of maintenance. In order to promote this
approach, we incorporate LEED criteria [1] during the process of architectural
design as strategy for construction quality deployment and for the conception of
an ecologically sustainable project. Initially we define the Architectural Design
Process and LEED Criteria to establish the relation between them.
2 The architectural design process

Generally, the methodology of architectural design has two phases: pre-design and
design. The design phase consists of the stages of schematic design, preliminary
design and design development. The pre-design includes compiling contextual
information, defining the topic, applying analysis and critical judgments and
formulating strategies of action. Successively, the design phase is developed
according to content and complexity of the topic and information gathering that is
represented in graphics, illustrations and sketches and three-dimensional images.
Firstly, schematic design constitutes a spatial proposal that brings together
main project characteristics as design concepts and programmatic areas. The
general locations for functions within the building are considered and graphically
represented in diagram form. Simple plans and elevations are produced to
represent relationships among spaces and the basic envelope shape. Material
options start to become part of the discussion and a target budget is established for
the overall project. The initial proposal is defined based on contents, restrictions
and requirements formulated in the pre-design phase. The architects create a work
plan to outline what will be done and when. An overall design strategy is chosen.
Secondly, the preliminary design includes the specific development of the
emplacement and occupation diagram, locations of functions, morphology and
materiality of the schematic design. At this stage we decide the characteristics of
the functional, formal and structural components, unified in aesthetic languages
that give identity and character to the spatial proposal. At this moment, the
graphical representation is more defined and carries out specific dimensional
information in scales adapted to the level of detail for every urban or architectural
proposition. The spatial proposal contains approaches to set out the project and
general specifications for the building, structural system, envelope shape and roof
forms. An early conceptual plan shows the general layout roughly to scale, while
an aerial perspective sketch locating the project on site showing property lines,
zoning setbacks and contours is used to communicate de proposal. The final

preliminary design floor plans are set out using 3D modelling as an aid.
At last but not least, the design development phase is based on the preliminary
design. It is developed with more specifics in form, materials, products, etc. These
decisions help solidify design issues in preparation for the construction
documents. Drawings are typically larger and more accurately drafted than
preliminary design. Square footage, areas program and cost are revisited. Finished
floor plans are computer drawn and building details from each plan are made.
Finished building elevations and sections with their respective construction details
are presented. Based on these results architects prepare the necessary drawings,
written specifications and technical documents needed by the constructor to price
and build the project. These are also documents required to process the building
permit. A graphic presentation of the finalized design can include conceptual
diagrams, space plans and plans for furnishing, fixtures and equipment, as well as
elevations, sections, ceiling plans, 3D drawing, colours, materials and finished
submittals, scale models and mock-ups. Multimedia presentations can incorporate
all the above elements plus sound and animation. The start of the building
management processes is marked once the project stage is defined and approved,
though the modifications, reforms and adequacies will be subject to the urban and
architectural regulation of every locality.
3 Leadership in energy and environmental

design (LEED) rating systems
LEED is a set of rating systems for the design, construction, operation and
maintenance of green buildings, homes and neighbourhoods. LEED was
developed by the US Green Building Council (USGBC) to help building owners
and operators to be environmentally responsible and use resources efficiently.
LEED [1] promote buildings environmentally friendly, socially equitable and
economically viable. The Council is a non-profit organization that is devoted at its
foundational level to increasing the use of sustainable and green building practices.
LEED has grown up from one standard for new construction to a comprehensive
system of interrelated standards covering all aspects of the development and
construction process.
LEED is basically a third-party certification program. It is an internationally
accepted organization for design, operation and construction of high performance
green buildings. This ensures that buildings are environmentally compatible,
provide a healthy work environment and are profitable. LEED New Construction
buildings are awarded points for sustainability for things like energy-efficient
lighting, low-flow plumbing fixtures and collection of water, to name a few.
Recycled construction materials and energy efficient appliances also impact the
point rating system.
Green buildings [3] create a healthier working environment for staff and
tenants, through better air ventilation and more natural daylight. They also reduce
waste, conserve energy, decrease water consumption, and drive innovation.
Buildings generate up to 35 per cent of all greenhouse gases, 35 per cent of landfill
waste comes from construction and demolition activities, and 70 per cent of
municipal water is consumed in and around buildings [4]. Making buildings
greener can have a significant impact on larger environmental goals. The main
characteristics of green buildings are energy and water efficiency, better indoor
environment health and better living conditions, use of environmentally friendly
or sustainable materials, produce less waste, have lesser transportation
requirement and protect or restore the habitat [5]. These characteristics result in a
reduced environmental impact throughout the lifecycle of the building.
LEED evaluates the environmental performance along the life cycle of a
building. It is based on energy accepted resources and environmental principles
that allow a reasonable balance between effective known practices, conceptual
innovations and new products in the construction industry. It is an autonomous
system designed for residential, commercial, institutional construction and new
and constructed buildings. The system of certification of buildings is based on the
qualification for credits obtained on six chapters that synthesize the concept of
green building, e.g., 1. sustainable sites; 2. water efficiency; 3. energy and
atmosphere; 4. materials and resources; 5. indoor environmental quality; 6.
innovations and process of design. LEED certification is a recognized standard for
measuring building sustainability. LEED standards cover new commercial
construction and major renovation projects, interiors projects and existing building
operations. Standards are under development to cover commercial ‘core and shell’
construction, new home construction and neighbourhood developments.
Certification systems for sustainable construction are a way used by councils
of green construction in different countries around the world to transform the built
environment, offering an opportunity to address climate change, dependence of
fossil fuels and threats to public health. Every Chapter is shaped by prerequisites
and credits. The credits are procedures that must be accomplished and justify for
obtaining points. The points are obtained when there are fulfilled the prerequisites
demanded in every Chapter, additional to achieve any certification is necessary to
achieve all prerequisites. A building can be certified depending on different scales
of performance, as it is shown in Table 1 – LEED certification systems are
voluntary, based in the consensus and directed by the market. The process of
weighting credits is based on 100 basis points, 6 possible points on innovation and
design and 4 points on regional priority.
Table 1: LEED certifications.
Points Certification
26–32 Certified
33–38 Silver
39–51 Gold
52–69+ Platinum
The LEED performance credit system aims to allocate points based on the
potential environmental impacts and human benefits of each credit. The credit
allowance process results in a weighted average for each rating scheme based upon
actual impacts and the relative importance of those impacts to human health and
environmental quality. There are parameters for keeping consistency and
usefulness to all the classification systems. For instance, all LEED credits are
valued with a minimum of 1 point; all the credits are positive and made of entire
numbers; all the credits receive only a static weight in every system of
classification (i.e. there are no individualized points depending on project
location). Each of the performance categories also have mandatory measures for
each category. The weighting process will be evaluated on time to incorporate
changes in the values granted to different impacts and the types of building,
depending on market conditions and scientific knowledge of buildings [6].
4 Course didactic proposal

The course ‘Architecture and Sustainable Construction’ is part of the Urban and
Environmental Component of the Architectural Degree Program at University of
Ibague, Colombia. It delves into the advance cycle of undergraduate education and
aims to provide new ways of accessing sustainable ideas with design references
and building models. The main course goal is to understand the relationship
between people and buildings, and between buildings and their environment, and
the need to relate buildings and the spaces among them to human needs and scale.
Hence, an adequate knowledge to balance physical problems and use of
technologies to improve the function of buildings is needed, in order to provide
them with internal conditions of comfort. Meeting building user requirements
within the constraints imposed by cost factors and building regulations is also a
real challenge.
This course contributes to the flexibility in the curriculum by using a workshop-
based mode of instruction. It can be adapted and updated to the interests of the
University, the Architecture Program, our regional environment and to the groups
of participants. The 64-hour course is in the advanced cycle of the Architectural
Degree Program and has theoretical component and practical components, each of
them with support of information and communication technologies (ICT).
The course ‘Architecture and Sustainable Construction’ approaches aspects
related to construction process development and architectural design from the
environmental policies of a globalized world, which have special significance in
the professional education of architects in the 21st century, especially on raising
awareness of present environmental challenges worldwide. Unsustainable
environmental practices pose increasing threats to the Earth’s climate, water,
forests, biodiversity, food and energy supply, and thus to the foundations of human
existence and well-being. The United Nations has been at the heart of the struggle
over the future of the earth’s environment. Human-made surroundings that provide
the setting for human activity, ranging in scale from buildings and parks or green
space to neighbourhoods and cities that can often include their supporting
infrastructure, such as water supply or energy networks. UN Global Conferences
and intergovernmental policy bodies have been major battlegrounds between
forces for greater environmental protection and those who oppose rules and
regulations in the name of free markets and economic growth [2]. Built
environments are typically used to describe the field that addresses the design,
construction, management, and use of these man-made surroundings as an
interrelated whole as well as their relationship to human activities over time.
Together, sustainable design and construction may draw participants towards a
major comprehension, interaction and projection of a common habitat.
4.1 Course objectives
This course intends to promote the development of knowledge, skills, procedure

and attitudes to assume the sustainable design and construction processes through
the conceptualization, study of methodologies and successful applied cases, by
understanding the components of a LEED rating system and the complexity of
sustainable development. In this regard, we seek to understand the relation
between sustainability and architectural design, to integrate the concept of
sustainable construction to architecture and building engineering, to implement
and assess sustainable construction benefits in the architecture profession field,
and to provide the tools needed to improve the understanding and assessment of
results, which allow for diagnosing the incidence of sustainability criteria in an
architectural project.
4.2 Course contents
The course ‘Architecture and Sustainable Construction’ is a workshop that lasts

15 face-to-face sessions, with both theoretical and practical components. The first
one presents the contents of the LEED system, and in the second, LEED criteria
is applied to an existing architectural project to optimize its sustainable
performance. In the first part, contents are presented using lectures, readings,
research results, and discussions. This allows to approach basic concepts in order
to study design problems and sustainable building construction. In the second part,
students obtain data, variables and information needed to structure a sustainable
building and study design problems on existing buildings, specifically on the basis
of the knowledge of LEED requirements, and particularly upon the characteristics
of each criteria.
Thematic units within theoretical component include: introduction to
sustainable construction, architectural design criteria, project planning and
economic feasibility, alternative energy technologies, stakeholder analysis and
management, introduction to LEAN construction (no waste construction),
alignment with sustainable design and bioclimatic buildings, description of LEED
systems and GREEN ADVANTAGE [6], and building life cycle analysis and
assessment. Mainly, the course practical component consists on selecting the topic
for developing the final project, reviews, recommendations and corrections of
preliminary designs, delivery and presentation of documents, and the final project
report and presentation. In addition, it includes using HEED [7, 8], and a
presentation of the software, BEES [9] and also Autodesk ECOTECT [10].
5 Course results
During the course, we integrate LEED criteria to different stages of the

architectural design process. To accomplish this, we use each LEED credit for
weighting variables and alternative possibilities in the decision-making process,
which seemingly were turning out in order to be more effective for optimizing the
building sustainable performance. The evaluation of an appropriate solution draws
on the information collected and presented during the course. The stages of basic
scheme, preliminary design and project included necessary information for the
assessment of LEED criteria. The project process was evaluated according to the
architectural design records and presentations. Documenting the appropriate
solution includes the development of detailed graphical information that would
allow the construction of the project.
29 students took part in the 2014 summer course. They were distributed in 11
teams, each of which chose a building and produced a report of the project and a
final presentation. Building selection was constrained by factors such as facility
of access, building size or available information. All selected buildings were
dwelling units, single-unit or multi-family residential housing located in urban
consolidated environments. Building areas were ranging between 80 to 120 square
meters. Figure 1 shows two plans of one of the house buildings selected for
analysis.
Figure 1: House building selected Figure 2: Sustainable site analysis.

for analysis.
Later, each team performed an inventory of the building selected that included:
location, surrounding buildings, estimated age of the building, infrastructure,
services and facilities available, construction materials used, number and type of
bathroom devices, number and type of domestic appliances, and assessment of
indoor and outdoor quality of the space. With this general information and the
concepts learned in the theoretical component, the teams simultaneously realized
a conceptual, critical and systemic approximation of the conditions of the selected
building, and initiated the process of design for remodelling based on LEED
criteria. Figure 3 shows the indoor and outdoor quality of space assessment.
Figure 3: Assessment of indoor and outdoor quality of space.
To start the architectural design process, each team selected the LEED criteria
that they had considered to be more appropriate. In all eleven projects, teams
selected the ‘Sustainable Site’ chapter, which has two prerequisites (erosion and
sedimentation control plan) and 14 possible credits. From the results obtained, we
can infer that this criterion is very important to initiate an architectural design
process, and that it should be incorporated to the stage of schematic design in the
process. Figure 2 illustrates the characteristics of density analysis and community
connectivity on the site selected (5 possible points) on a radius of half a mile (800
meters).
Later in the design process, the most frequent LEED chapters were Water
Efficiency (5 possible points), Energy and Atmosphere (17 possible points) and
Materials and Resources (13 possible points). These results allowed us to suppose
that these credits could be a complement for the stage of preliminary design, for
the quantity of specific information that they provide to decision-making process,
specially to construction material selection and sustainability criteria.
The software tools HEED and BEES contributed significantly in the decision-
making process to the analysis of materials and resources. Figure 4 shows some
results obtained for the energy analysis of a selected material, and Figure 5
presents the analysis of atmospheric factors in the housing system selected.
Figure 4: Results of HEED analysis.
Figure 5: Results of BEES analysis.
At the project stage teams had to re-evaluate the selected criteria and
incorporated the Indoor Air Quality (15 possible points). About the credit Design
Process (5 possible points), students concluded that it is important to know the
concept of Green Construction and the LEED system of certification in order to
articulate them to the architectural design process. Table 2 shows the relationship
observed between the stages of architectural design and LEED criteria. From our
perspective, the knowledge, application and diffusion of this didactic strategy may
raise awareness of this issue in architects, thereby motivating them to promote the
sustainable construction quality.
Table 2: Relation between stages of design and LEED criteria.
Architectural design stages LEED chapters incorporated Possible points

Schematic Design Sustainable Site 14
Water Efficiency 5
Preliminary Design Energy and Atmosphere 17
Materials and Resources 13
Indoor Quality of Space 15
Design
Innovations and Design Process 5
6 Application of the didactic strategy to a course

in the architectural design studio
After the application of this didactic strategy to the course of architectural design
studio in the 10th semester, we were able to establish that the relationship between
LEED criteria and architectural design methodology could be articulated to all the
phases of the design process. During the second semester of 2014, eight
participants who took the course ‘Architecture and Sustainable Construction’
presented their final project to obtain their architectural degree, at the University
of Ibague. The tutor of this architectural design studio was Juan Fandino, professor
of the Summer School Course, who proposed to all eight students to continue
applying the strategies used. In this second opportunity, the Design Studio Course
had 16 weeks, with an intensity of 10 hours per week. These conditions allowed
for a more detailed follow-up to the incorporation of LEED criteria in the
architectural design processes. As we can observe in Figure 6, an analysis of the
densities was carried out, as well as of the uses, users, available equipment, public
domiciliary services, transport and mobility, and the natural environment. Figure
7 represents the location and distribution of public, common and private spaces
proposed according to the LEED criteria, standards and parameters of urban
municipal legislation.
Figure 6: Sustainable site analysis of a final project.
Figure 7: Water, energy and atmosphere efficiency of a final project.
Throughout the course “Architecture and Sustainable Construction” we used a

generic distribution of the LEED chapters. In the architectural design studio we
were able to consider the credits and make decisions from them, for the whole
design process. This allowed to not only articulate the design criteria with the
LEED parameters, but also to establish new interrelationship dynamics among
each of the LEED Chapters. As result, the reports and records that include
descriptive, argumentative, proposal and design alternatives for each of the eight
indexed projects, presented a high degree of correlation between the design
intentions and the formal and technical results of the projects. We can state that
these results are in most part a product of the didactic strategy used, while bringing
a divergent thought, present in the creative process, and close to the technical-
pragmatic thought of technological project resolution.
References
[1] LEED Green Building Rating System. http://www.usgbc.org/
programs/leed.htm
[2] Sustainable Development Knowledge Platform, https://sustainable
development.un.org/
[3] Kruger, A. & Seville, C. (2013). Green Building: Principles and Practices
in Residential Construction (Go Green with Renewable Energy Resources).
Delmar, Cengage Learning: New York, 2013.
[4] Canada Green Building Council. http://www.cagbc.org/
[5] Gibson, S. & Johnston, D. (2008). Green from the Ground Up: Sustainable,
Healthy, and Energy-Efficient Home Construction (Builder’s Guide):
Tauton Press: Newtown, CT, 2008.
[6] US Green Building Council. http://www.usgbc.org
[7] Home Energy Efficient Design – HEED. http://www.energy-design-tools.
aud.ucla.edu/heed/
[8] Milne, M. (2007). A Design Tool for Meeting the 2030 Challenge:
Measuring CO2, Passive Performance, and Site Use Intensity. Presented at
the American Solar Energy Association Conference 2007, Cleveland, Ohio:
Rev. 7/13/07.
[9] Building for Environmental and Economic Sustainability – BEES.
http://www.nist.gov/el/economics/BEESSoftware.cfm
[10] ECOTEC. http://usa.autodesk.com/ecotect-analysis/
Section 3
Landscape planning
and design
Design and management of the metropolitan

green belt of Aburrá Valley, Colombia
L. C. A. Patiño1 & J. L. Miralles i Garcia2

1
Urban and Regional Planning School, Faculty of Architecture,
National University of Colombia, Colombia
2
Department of Urban Planning,
Polytechnic University of Valencia, Spain
Abstract
Medellín is the center of a metropolitan area that occupies part of the Aburrá
Valley. Between 2012 and 2013, the National University of Colombia, local office
of Medellín, conducted the study Proposal for the Development of the
Metropolitan Green Belt of Aburrá Valley. The study aims to develop a project of
ecological planning in the metropolitan region around Medellín in Colombia. The
area includes 10 municipalities comprising the metropolitan conurbation of
Medellín. The project designs an intervention strategy to promote meaningful
protection for the provision of ecosystem services urban areas. The project designs
an intervention strategy to promote protection of meaningful areas for the urban
provision of ecosystem services. The set of strategies has been termed
Metropolitan Green Belt of Aburrá Valley. It is defined as three geographical areas
of intervention: The External Belt for water regulation, System of Urban-Rural
Transition for dissipation and containing urban expansion and Ecological
Connection Structure. Each area has been associated with a key concept and a
major ecosystem service. The three areas, spatially integrated, constitute the green
belt. Seven management strategies have also been raised for a planning horizon of
17 years (consistent with the 2030 vision of the metropolitan city). The work
shows the conceptual coherence between ecological conservation goals and
objectives of spatial planning. It also reveals the social and political acceptance
with planning actions that invoke ideas of ecological conservation. This project
was developed between 2012 and 2013 by a team from the National University of
Colombia (School of Urban-Regional Planning) and funded by the Metropolitan
doi:10.2495/SC150181
Area of the Aburrá Valley, a regional government. The authors participated in the
project as technical coordination (L. C. A. Patiño) and international consultant (J.
L. Miralles i Garcia).
Keywords: regional planning, green infrastructure, ecosystem services, peri-
urban areas.
1 Introduction
Medellín is the main town of the metropolitan area of Aburrá Valley in Andean
Mountains. This area includes 7 municipalities: Barbosa, Bello, Copacabana,
Envigado, Girardota, Itagüí, La Estrella, Medellín and Sabaneta. The valley
occupies an area of 1,152 km2 and had a population of about 3.5 million in 2011.
The urban area occupies most of the valley bottom with an average elevation
of 1,500 meters above sea level. The mountains and high plateau around valley
has an average elevation about 2,500 meters. The highest peaks reach more of
28,000 meters.
Most of the valley apt to urbanization is already urbanized. In some areas,
urbanization reaches the limits of the high plateau. The mountains and high plateau
around Aburrá Valley contain valuable ecosystems that supply environmental
services to the population of the metropolitan area. Hence the need to establish
criteria to conserve and maintain these valuable ecosystems.
Today, rural zones of the metropolitan area have functions such as solid waste
landfill, providing food, ecological conservation or recreational amenities. These
functions are in conflict with the metropolitan urban expansion process. Urban
expansion process, or urbanization process, demands rural spaces to transform into
houses, commercial areas, road or highways, facilities, water supply
infrastructures, etc. All of these are urban uses to urban functions.
Today, it exit a large international experience in order to maintain valuable
ecosystems in the metropolitan areas by green zones around urban areas as a Green
Ring of Vitoria Gasteiz [1, 2], Green Belt of Beijing [3, 4], Green Belt of London
[5, 6] or Green Belt of Caracas [7]. This strategy is to generate and preserve areas
without urbanizing in metropolitan surroundings. The objective is to harmonize,
by adequate metropolitan plan, rural uses and urban uses in interphase zones to
maintain their ecosystem functions.
Aburrá Valley has a metropolitan administration named Metropolitan Area of
Aburrá Valley which manages regional planning in this area. The institution has a
budget from an environmental tax (99/1993 Act) and a metropolitan tax (128/1994
Act). These incomes allows the promotion of environmental plans and projects to
metropolitan area [8–13].
This paper presents the project Green Metropolitan Belt of Aburrá Valley
(Cinturón Verde Metropolitano del Valle de Aburrá, CVMVA). It is a case of
ecological and regional plan. The project has been realized by a multidisciplinary
team of National University of Colombia, local office of Medellín (UNAL team).
The team has been directed by Luis Carlos Agudelo and has been formed by
Francisco Vásquez, María Fernanda Cárdenas, Jenny Sepúlveda, Adrián Perpiñán,
Diana Tobón, Emilse Castrillón, Alejandra Ciro, Pilar Palacio, Lucila Andrea
Morales, Elizabeth Duque, Pamela Múnera, Alejandro González, Diana C. Zapata,

Gloria I. Martínez and Lady Acevedo. It also involved a group of international
consultants, which includes José Luis Miralles.
Figure 1: Urban core and urban sprawl to mountainside in metropolitan area of

Aburrá Valley.
2 Previous diagnosis
Previous studies as performed by López and Vélez [14], Montoya et al. [15],
Scheaffer et al. [16], the Govern of Antioquia [17], Estrada Gil [18] and Schnitter
et al. [19] allows a first approach to the topic. The research team identified at first
moment a list of territorial phenomena that justifies a regional planning with

metropolitan scale. Specially, we can talk about six main processes:
- Urban core spaces are running out: the zones apt to build or urbanize in the
central area have been depleted over time. Today it is necessary to identify
new zones where it is good, or not good, to urbanize.
- Endangered Regional Biodiversity: precisely because of urban growth, it exit
endangered zones with high environmental value that must be preserved and
protected.
- The need to protect borders and rural areas: rural areas in metropolitan
borders have crucial roles as providers of natural resources to urban
population; this function must be maintained.
- Occupation of mountainsides with natural risks by marginal urban zones:
usually by informal urbanization that occupy steep slopes or ravines, often in
areas at risk of landslides or floods; in fact, has already produced dramatic
catastrophes in the rainy season.
- Urbanization of locations and landscapes of traditional recreation: population
has historically been used a number of location as recreation area; it is
necessary identify them and design to maintain their functions.
- Inefficiency of legal protection thought as a unique conservation instrument:
only the passive legal protection is clearly insufficient to maintain rural and
natural uses and functions; it is necessary a more complete and complex
vision.
3 Methodology
The Green Metropolitan Belt of Aburrá Valley (CVMVA) has been defined as a
planning strategy to public interest at long term. It is aimed to protecting zones
that provide environmental services and to generate public spaces in metropolitan
area. The final goal is increase quality of life of metropolitan population and help
to consolidate a more balanced and equitable territory.
CVMVA is not a specific project but a planning strategy for at least the next
12 years. That is, probably the actions can be completely consolidate in 2030.
Because of the great diversity of spaces that exist in the metropolitan area, the
strategy outline three planning fields (Figure 2): External Belt, Transition System
Urban-Regional and Structure of Organic Connection.
3.1 External Belt
The External Belt is defined as a structure of ecological protection for natural

water regulation in the Aburrá Valley. It is bounded by catchment areas of Zero
Order. It consists of a set of biotic and abiotic elements that ensure the protection
of headwaters and contribute to the regulation of micro basins. There are the
foundation to a territorial dynamics with balanced environmental. The character
of green belt as a geographical continuous makes it a biological corridor.
The External Belt produces, as the main ecosystem service, hydrological
regulation of waters that flow into the Aburrá Valley. Their proper functioning,
Figure 2: Planning fields in strategy of Green Metropolitan Belt of Aburrá

Valley.
that is, maintain, in the full extent, adequate forest cover to facilitate infiltration of
water also contributes to the conservation of species, because of effect as a
biological corridor, and mitigate the effects of climate change.
Besides the External Belt produces at least two other ecosystem services: water
supply to towns and flood control in usual rainfall events.
The fundamental concept used for this field of planning is Catchment Area of
Zero Order. It is a scientific interpretation of the traditional notion of “headwater”,
widely used by Andean farmers to refer to the most sensitive area of a river basin.
Figure 3 shows the full methodological process to delimit the CHOC.
Figure 3: Methodology to External Belt proposal.
3.2 Urban-Rural Transition System (STUR)
The areas where tension between the urban expansion and undeveloped land is
most clearly manifested, are called Urban-Rural Transition System (STUR). It is
defined as a transition strip with variable amplitude, which includes uses of urban
character and traditional rural uses.
The STUR is located in the urban-rural border. This fact exposes it to rapid
urbanization. Therefore, the objective in this level of intervention is to harmonize
the urban-rural transition. For that:
- Sites that provide ecosystem services are preserved, usually associated with
traditional recreation of the inhabitants of the Aburrá Valley;
- Public spaces are anticipated in areas prone to formal and informal urban
expansion;
- Spaces already urbanized are balanced with public free areas integrated in
metropolitan system. These new metropolitan spaces will be as a minimal
equipment with minimal intervention.
The areas suitable for urban development represent the potential of urban
expansion in the valley. The suitability depends of topography and exposure to
natural hazards.
In this sense, the STUR includes all areas that are occupied by urban or
suburban processes and those that have potential for these processes. Thus, by way
of example, Medellín has already exceeded the natural capacity of the land,
because it has urbanized areas with risks. Meanwhile, a municipality like Barbosa
has large areas with potential for urban development still unoccupied. The STUR
define a taxonomy of urban-rural borders in the valley and program specific
planning responses for each type. One is just the Border Park Urban-Rural. In
Figure 4 you can see the methodological process for define the STUR.
Figure 4: Methodology to Urban-Rural Transition System proposal.
3.3 Structure of Ecologic Connection
The topography of the valley requires physically connection between the two areas
already described (External Belt and Transition System) by biological corridors.
It is therefore necessary to establish what priority we must have for corridors and
on what basis.
Figure 5: Methodology to Ecological Connection Structure proposal.
Ecological Connection Structure is defined as the spatial arrangement in the

regional territory, which strengthens the Green Metropolitan Belt of Aburrá Valley
by territorial interventions that link between them the External Belt and the Urban-
Rural Transition System. Mainly through strips of riparian vegetation, which
contribute to water regulation processes and generate additional environmental
benefits for the metropolitan territory.
4 Results
4.1 External Belt
As a result of analysis of Exterior Belt, were obtained and mapped a set of

properties that makes up the green belt. In total 6,040 plots with a surface of 28,436
ha. Of them, 5,973 ha out of municipalities of metropolitan area. In this zone, it
propose maintain rural and natural uses.
Now, for management this space it is necessary a better understanding of the
situation of each property. For this purpose, we have considered two types of
properties:
- Type 1 (T1): These are properties with declaration of regional or municipal

protection in force. There is a total 22,560 ha, which represent a surface of
19.58% of the metropolitan jurisdiction. This extension affects 962
properties of External Belt with a surface of 10,730 ha.
- Type 2 (T2): Are the lands of External Belt subject to management tools.
There is an area of 10,370 ha (10.18% of the metropolitan jurisdiction) and
includes 5,078 plots. This area will be object of direct management with
owners.
In addition, it has also been analysed the specific use of each plot and uses
distribution according their size.
4.2 Urban-Rural Transition System
According of analysis of Urban-Rural Transition System, the following results

were obtained:
- Delimitation of consolidated urban land: In order to establish the limit of
STUR, the team identified the “real” urban perimeter of Aburrá Valley. The
main criterion for delimitation was the level of consolidation of the existing
urban fabric.
- Identification of suitable land to urbanization: By geomorphological criteria
and according to the slopes, the team identified suitable lands to urbanization
processes.
- Monitoring of territorial configurations in process of rural-urban transition:
The work team identified the areas that present specific territorial forms
because of processes of urban-rural transition.
- Delimitation of Urban-Rural Transition System: the team overlaid the land
suitable to urbanization with already occupied areas showing processes of
urban-rural transition. As a result, it is obtained a delimitation of STUR and
a mapped taxonomy of borders types.
Finally, it is obtained the identification of areas with the role of Border
Metropolitan Parks, totally seventeen parks.
4.3 Structure of Ecologic Connection
The criterion of delimitation of the micro basins that make up this structure are the
following:
- “Ravines that offer environmental services” specifically water supply for
human consumption.
- “Torrential Ravines” where it exit flood risks as a rain flood or flash flood.
- “Connecting Ravines” that connect both External Belt and Urban-Rural
System Transition.
The set of all ravines with these functions make up the Structure of Ecological
Connection.
4.4 Management estrategies
The general conception of the CVMVA project, by the Metropolitan Area of the
Valley of Aburrá entity, involves careful design of instruments of territorial
management. These instruments are based on the general principle of fair
distribution of burdens and benefits, with a focus on transfer of the benefits of
urban development to rural areas with municipal or metropolitan importance.
These have been defined as seven strategies that are outlined below:
1. Regional Planning. Each municipality of Metropolitan Area must include in

its urban plan (POT), classified as a land protection, the areas listed in the
CVMVA at plot level.
2. Consolidation of Territorial Management Instruments. Each municipality of
Metropolitan Area must include in its POT the possibility of transferring
urban obligations (provision of plots for facilities or amenities) from urban
projects to the areas listed in CVMVA. This transfer can partly finance the
management strategies.
3. Consolidation of the System of Metropolitan Border Parks. It is proposed to
implement a set of Metropolitan Border Parks to horizon of 12 years. They
are aimed at strengthen the supply of public space and rescue traditional
recreation places. The design of each park must consider the type of border
or Transition Urban-Rural where it would be located. There are 17 parks and
affecting 56 plots with a total surface of 898 has.
4. Intervention in critical areas. Prioritizes intervention in the areas that must
be ecological protection and currently support uses such as livestock or
agriculture without negative environmental impacts or areas that are
occupied by houses and buildings in ravines that make up the Ecological
System Connection. It is usually plots smaller than 1.7 ha, the smallest in the
study area.
5. Induced Ecological Restoration. It is promoting the gradual abandonment of
areas with livestock or agriculture, for a successful natural regeneration, with
a first intervention aimed at Forest Plantations. It is indicated for plots with
more to 12 ha. This is the minimal surface allows for a family income
equivalent to 3 minimum monthly wage in the forest turn. Until the turn, a
trust would manage the money to secure monthly cash flow.
6. Land Stewardship Contracts. That is to pay an annual fee, especially to
owners of significant areas of natural forests and shrubs, to maintain and
conserve ecological functions. Some of the resources obtained by the
Strategy 2 could eventually be used to acquire these areas.
7. Social appropriation – Collective Agreements by the CVM. Collect a set of
strategies for communication, owner information and increase awareness to
communities and municipal authorities. It relies on videos, brochures, web
sites and pages on social networks.
5 Conclusions
Planning strategies aimed at containing urban expansion processes, invoking the
ideals of nature and conservation of ecosystems, have social and political
acceptance. It is a trend that, in the study area, is consolidated under the name of
Green Metropolitan Belt.
The management of protected areas in metropolitan urban areas requires
incorporating new strategies to involve the metropolitan farmers and protection of
landscapes, ecosystems and places of great social significance.
References
[1] Anillo Verde de Vitoria-Gasteiz; Ayuntamiento de Vitoria-Gasteiz (2012).
http://www.vitoria-gasteiz.org
[2] La Población de Vitoria-Gasteiz al 1/1/2013 y los movimientos
demográficos del último año; Ayuntamiento de Vitoria-Gasteiz (2013).
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es/85/07/48507.pdf
[3] Barrera, M, Gómez, F., Caro, J. & Gentil, M. La Ciudad China
Contemporánea (Chapter 5). Cruce de miradas, relaciones e intercambios,
ed. P. San Ginés Aguilar, Editorial Universidad de Granada: Granada, pp.
81-98, 2010.
[4] Beijing population tops 20.69 million, China Daily; Chinadaily (2013).
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[5] Department for Communities and Local Government; National Planning
Policy Framework, London, 2012. http://www.communities.gov.uk/
documents/planningandbuilding/pdf/2116950.pdf
[6] London Green Belt Council. The History of the London Green Belt.
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HISTORY%20OF%20THE%20LONDON%20GREEN%20BELT.pdf
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Caracas, Venezuela. Provincia, 19, pp. 143-160, 2008.
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Medellín: Dinámica; Área Metropolitana del Valle de Aburrá - AMVA
(2002). http://www.metropol.gov.co/compartidos/docs/Metropoli_2008
.pdf
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de ciudades. Medellín; Área Metropolitana del Valle de Aburrá - AMVA
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Metropolitanas%20de%20Ordenamiento%20Territorial.pdf
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(Consultoría Colombiana S.A. - Arredondo Madrid Ingenieros Civiles

Ltda.); Área Metropolitana del Valle de Aburrá (2007).
http://www.metropol.gov.co/zonasverdes/contenidos.php?seccion=1
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de Aburrá - AMVA, CORNARE, CORANTIOQUIA (2007).
http://www.areadigital.gov.co/observatorio/Expedientes%20Municipales/
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Sociales, 218 (83), 2006.
Green networks: a solution to the

Urban Heat Island effect
C. Johnson
School of the Built Environment, University at Salford, UK
Abstract
According to the United States Environmental Protection Agency, an Urban Heat
Island is created in developed areas where the built surfaces absorb and retain
radiation from the sun. These impervious surfaces prevent the movement of air
and water which are key in the cooling processes of evaporation and
transpiration; and create proverbial ‘urban islands’ of warmer temperatures while
the green vegetation in the surrounding rural areas better regulate surface
temperatures. The impacts of Urban Heat Islands include increased energy
consumption, higher concentration of air pollutants and poorer water quality.
Throughout the Caribbean, increased energy consumption levels exacerbates the
strain on the electric grid, reduces the strength of electrical output and increases
in the frequency of power outages. Heated air also fosters a higher concentration
of air pollutants and promotes the creation of ground level ozone which triggers
a number of health related problems including coughing and throat irritation and
exacerbate the effects of emphysema, asthma and bronchitis. Lastly, heated
urban surfaces encourage higher temperatures in storm water that reduce the
dissolved oxygen in the water of surrounding rivers and oceans. To mitigate this
problem Caribbean countries have developed renewable energy strategies, but
there is another solution to address the impact of higher surface temperatures.
The American Society of Landscape Architects describes green infrastructure as
an integrated network of open spaces that foster the generation of clean air, water
and carbon sinks. An analysis of international case studies will highlight the
ways in which the inclusion of green networks in Caribbean urban areas can help
reduce surface temperatures, manage our energy consumption and improve air
and water quality.
Keywords: Urban Heat Islands, ground level ozone, local climate zone, green
networks, green roofs.
doi:10.2495/SC150191
1 Introduction
Urban Heat Islands (UHI) are created when significantly warmer surface
temperatures exist in urban settings as opposed to their surrounding rural areas.
Based on the impact of anthropogenic activities, the characteristics of warmer
urban climates are not but limited to increase levels of ground level ozone and
higher concentrations of particulate matter in the form of pollution. UHI can be
identified as a direct result of the urban form and function. The magnitude of
UHI during the year is predetermined by the climate of a particular geographical
location. In tropical climates the higher magnitude of UHI is during the dry
seasons as UHI is more likely to occur during temperatures are skies are clear
and not windy [1]. In addition, unregulated development in Latin America and
the Caribbean are significant contributors to the increasing levels of UHI
magnitude.
Through a comprehensive analysis of existing literature this paper underlines
the definition and parameters of urban heat islands by pointing out how ground
level ozone and urban morphology contribute to the UHI magnitude. A review of
a local climate zone methodology to assist in the determination of UHI
magnitude highlights an accessible method of identifying UHI magnitude in the
absence of extensive scientific research. Before determining the ways to address
the magnitude of UHI, understanding the spatial structure of a particular urban
setting is important.
Based on the existing research, the most effective strategy for addressing
urban heat islands is chronicled as the development of green networks. The
inclusion of green networks within an urban setting fosters opportunities for
evapotranspiration processes and increasing the surface albedo [2] to cool the
increase in surface temperatures caused by heated impervious surfaces. Studies
have proven that the principles green networks can reduce the magnitude of UHI
in urban settings as they provide opportunities for the cooling of temperatures
and disbursement of pollution.
The paper seeks to strengthen regional understanding of UHI, provide viable
options for determining UHI magnitude and highlight the framework for
addressing UHI in the region.
2 Urban Heat Islands

The study of Urban Heat Islands (UHI) is based on the premise that significantly
warmer surface temperatures exist in urban settings as opposed to their
surrounding rural areas. Urban settings are a conglomeration of the burning of
fossil fuel for energy and transportation and impervious surfaces in the forms of
roads and buildings. The exponential growth of cities exacerbate these issues as
larger collections of people concentrate in smaller geographic areas. Urban heat
islands are now expanding into urban archipelagos and all that comes along with
the conditions expand the heated areas across larger geographical areas. Based
on the impact of these anthropogenic activities, the characteristics of warmer
urban climates are not but limited to increase levels of ground level ozone and
higher concentrations of particulate matter in the form of pollution.
This increase in surface temperatures is a result of the absorption
characteristics of the urban morphology. Albedo is the ability of a material to
reflect radiation of the sun. Lower albedo suggests that the surface of the
material absorbs the majority of radiation and is typical of dark colored
materials. Higher albedo suggests that the surface reflects the majority of
radiation and is typical of light colored materials [3]. The absorption of radiation
by the surfaces in the urban environment then have an impact on the rate of
radiation released and the surface temperatures.
Short wave radiation is the ultraviolet rays produced by the sun. During the
day, built impervious surfaces absorb a portion of these shortwave radiation and
reflect a portion. The absorbed radiation contributes to warmer conditions of the
urban environment, increase the use of energy to restore thermal comfort and is
commonly what is thought of in the understanding of UHI. At night, however the
built surfaces are cooler and the absorbed radiation is released in longer waves
through infrared rays. The form of radiation is more significant in nocturnal UHI
as the released radiation cannot improve surface temperatures since the longwave
radiation is reabsorbed by the same low albedo surfaces.
The determination of UHI magnitude in an urban setting is categorized into
the urban canopy layer and the urban boundary layer [4]. The urban canopy layer
is the air between the ground and roof of buildings, where the ground level ozone
is prevalent. In this layer the air is dominated by radiation from the buildings and
the direct emissions from transportation. The UHI magnitude within the canopy
layer is typically filled with a dense collection of pollutants and can be
comprised when stronger air allows air from the above infiltrate the canopy [4].
It is not definite line as the typical urban skyline has varying building heights
and an urban canopy layer does not exist in vegetated, open spaces. In the midst
of dense urban environments, the canopy layer sits below the roof level of the
city; in an open space the canopy layer is non-existent. The urban boundary layer
is from the roof or the urban area to the point at which there is an inversion of
temperatures clearly delineating a boundary to the limits of the urban pollution
[4]. The warmer air in these two layers fosters less movement of heavier particles
in the air and encourages the concentration of ground level ozone.
2.1 Ground level ozone
Within the urban canopy layer ozone is a pollutant formed as a result of a photo-
chemical reaction to nitrogen oxide and other volatile organic chemicals creating
O3 [5]. During the dry season in the Caribbean region when the temperatures are
warm for consecutive days and the air remains stagnant the levels of O3 are
increased. Considering the contribution to pollution from industry activity and
transportation emissions, levels of ozone may differ from country to country.
This pollutant is causes irritation to the human respiratory systems, impairing
lung function, fostering chronic lung disease such as emphysema and bronchitis
and asthma and damaging the lining of the lung [6].
UHI are a result of the urban form and function, weather and geography
therefore no two cities have the same UHI characteristics. Tracking metrological
activity and monitoring form and function of urban areas in are the key
determinants in understanding the extent of UHI that exist in a particular area.
2.2 Urban morphology
The spatial structure and function of a city is however at the center of the
occurrence of UHI. The structure of a city is determined by the density in the
arrangement of the structures-; the thermal properties of the construction
material, and number of opportunities for greenspace within the city limits [1].
Density is a result of the number of structures within a prescribed area, the
spaces between buildings as a result of the width of streets, alleyways and site
coverage regulations. Impervious, dark colored building and infrastructure
materials create surfaces that encourage the heating of surface temperatures.
Cities with wide street networks as a function of more accessible transportation
routes can have high magnitudes of UHI than cities that retain their historic,
smaller street networks. The correlation between the city’s function and UHI
magnitude are particularly the contribution of anthropogenic heat [1].
UHI are at the strongest magnitude when the skies are clear and calm but as
the presence of the wind mixes the stagnancy of the air and reduces the
concentrate of pollution as well as the heat island. Increased rain activity
increase assists with the cooling process of warmed surfaces and also provide a
blockage from the sun’s radiation. Therefore the seasons of the geographical
location determine the magnitude of the UHI during the annual cycle. In mid
latitude climates the instances of UHI typically occur in the summer and winter
months versus tropical climates where UHI is more prevalent during the dry
seasons [1].
3 Local/micro climate zone

Although these anthropogenic activities have an impact on urban environments,
not all UHIs are alike. Understanding the spatial structure of a particular urban
setting is important to effectively address the magnitude of UHI. In particular
climates deciduous trees are better suited because the provide shade in the
summer to reduce the impact of the UHI but fallen leaves during the winter
allow for more sunlight to increase the magnitude of UHI to reduce the strain on
the energy use to heat the buildings.
Understanding the Local Climate Zone (LCZ) characteristics of a region can
provide guidance of the development of adaptation tools. Building upon the
work of T.R. Oke’s Urban Climate Zones where attention was placed in
determining the surface roughens – the distribution of buildings heights within
the urban setting and the ratio of impermeable to permeable surfaces [4], LCZ to
create a method classify the UHI magnitude of an urban setting. It highlights the
UHI magnitude based on an examination of the urban setting landscape and
develops classes to emphasize a local scale, the nature of the climate within the
zones. The LCZ system reviews the surface disturbance as a result of the
inclusion of impervious surfaces in the natural, native landscape [7]. Table 1
illustrates the definition of local climate zones – LCZ 1–10 are built types as
they categorize the development landscape in urban areas, LCZ A–G are the land
cover types as a reflection of the native landscape.
Table 1: Local climate zone designations.
The urban zones are sub categorized into six sections. Compact is defined as
the dense arrangement of buildings allowing for minimal flow of air based on
high to low floor to area ratio and the use impervious construction material.
Open highlights the arrangement of the buildings to facilitate the movement of
air based on aforementioned floor to area ratios also utilizing impervious

construction material. Lightweight low rise is distinct in the use of penetrable
construction materials such as wood, thatch and corrugated metal but a dense
arrangement of the buildings. Sparsely built reflects the typical suburban setting
in the sparse distribution of buildings with larger accommodation for pervious
surfaces. Heavy industry accommodates for the industrial uses within the urban
setting where all the land is typically covered by impervious surfaces.
The land cover zones are divided into seven categories largely emphasized in
the functionality of each zone – dense trees – forested areas; scattered trees –
urban parks; bush, scrub – semi-arid scrubland or agricultural land; low plants-
grassland; bare rock or paved – urban transportation; bare soil or sand – deserts
and; water – open bodies of water including reservoirs. The climate classification
determines how the seasons can alter the magnitude of the UHI particularly
surface albedo. Broken into four categories, bare trees refer to the leafless trees
during seasonal changes particularly winter or the dry season; snow cover
reflects the snow greater than 10 cm in depth; dry ground is parched soil and wet
ground is waterlogged soil [8].
One LCZ classification of particular interest in developing regions like Latin
American and the Caribbean is the LCZ 7 – Lightweight Low Rise. Its form is
compactly arranged single storey, attached or detached buildings separated by
narrow roads and alleyways. There is limited infrastructure and the buildings
materials are thin construction materials making the walls and roofs of the
structures unstable. The function of these classification is the informal
settlements apply referred to as shantytowns or slums. According to the
geometric data of the classification these areas are significant contributors to the
UHI magnitude in LAC urban areas. LCZ 7 building surface fraction, which is
the ratio of building plan area to total plan area is the highest among the other
classifications, while its pervious surface fractions, i.e. ratio of permeable surface
to the total plan area could be greater than the rating for compact high-rise.
Obtaining the LCZ is a function of examining the characteristics of the urban
setting and the system prescribes geometric properties that are typically found in
that zone. A comparison of LCZ 1 – Compact Low Rise and LCZ A – dense
trees indicated the ways LCZ can inform the UHI impact in a particular area.
These two categorizes have the same rating in terms of terrain roughness as the
height variations of structures and trees are irregular creating large disparities
overall height of the zone. However they differ greatly in pervious surface
fraction LCZ 1 rating is less than 10 while LCZ A rating can exceed 90 exceeds
and in anthropogenic output determined by fuel use from human activity and
measured in W m-2 for LCZ 1 ranges from 50–300 while LCZ A rating is zero.
Figure 1 [8] illustrates the combination of the LCZ subclasses as step towards
determining the characteristics of urban setting.
The classification system is not meant to replace the collection of data, but
serves as a guide to examine the UHI magnitudes based on local conditions. It is
meant to provide an examination of the landscapes influence on the surface
temperature of urban settings. Determining the conditions of an urban area will
provide insight into the necessary solutions to address the impacts of UHI. In the
.
Figure 1: Local climate zone classes.
classification system the areas that received the highest rating for permeability
and lowest anthropogenic heat output were the land cover categories with trees,
bare soil and water. These types of land cover are very capable of reducing the
impacts of UHI and therefore warrants further examination.
4 Green networks
The American Society of Landscape Architects describes green infrastructure as
an integrated network of open spaces that foster the generation of clean air, water
and carbon sinks [9]. The concentration of the pollutants within the urban canopy
layer can be reduced by the inclusion of trees as they provide spaces within the
urban form to facilitate the passage of air and disbursement of pollution. The
inclusion of green spaces within an urban setting can place an integral role in
reducing the impact of UHI by increasing opportunities for evapotranspiration
processes and increasing the surface albedo [2].
4.1 Street trees
The rate at which heat penetrates a building determines the heat exchange behind
the building and surroundings [10]. Due to the process of evapotranspiration, the
presence of shade trees encourage the “oasis effect”, cooling the surface
temperatures significantly. The buildings surrounding these trees consume less
energy to cool the interior rooms and increase the comfort for the surrounding
environment. The best arrangement of the shade trees in an urban environment is
an urban park. The arrangement of trees in the one areas allows for a greater
impact to reduce the effects of UHI and lower the surface temperatures [11].
Parks are able to have this type of impact as there are a greater density of trees
with zero anthropogenic heat outputs [8]. With an increase in parks in an urban
setting the UHI magnitude can be mitigated through and increase in instances of
evaporation.
Determining the best trees for the city is depending on the climate of the
location. In the mid latitudes, deciduous trees are beneficial as they shade during
the summer and in the winter the bare trees allow for an UHI magnitude to make
the city warmer and increase the thermal comfort for its residents. In tropical
climates trees that are able to withstand the harsh conditions of the dry season
are a more prominent consideration. In tropical climates shading is best on the
roofs and along the north and western walls of buildings [12].
Shading is not the only area of consideration when dealing with urban trees as
plants also have the capacity for sequestering carbon and filtering particles from
the air particularly vehicle emissions. In a study to examine the proximity of a
tree to the roadside and the amount of dust particles found on the tree it was
noted that trees nearer to the road side were found with greater amounts of dust
particles which highlights the abilities of trees to reduce the airborne particles in
the urban canopy layer [13, 14].
4.2 Green roofs
It is plausible for roofs to represent a maximum of 32% of the built areas in

urban settings and they are important source of radiation absorption into a
particular building. They are also a key element of the impacts of UHI in the
urban boundary layer. Green roofs can lower the heat transferred to the building
by increasing the surface albedo of the surface and evaporation of the radiation
for the sun before it can penetrate the building.
4.2.1 Extensive vs. intensive

There are two different categories of green roofs that can aid in the reduction of
the effects of UHI. Extensive green roofs are more effective as there are shallow
and low growing requiring minimal maintenance. There are mainly functional
and provide greater surface areas in thermal protection from the sun’s radiation.
Due to their configuration, they are more lightweight and require less irrigation.
Intensive green roofs are the more traditional form of roof top gardens and
provide more of an aesthetical benefit to the roof top [15]. They contain more
shade trees requiring deeper substrates to accommodate for roots. As more soils
is needed, the weight of intensive roofs has to take into account the load on the
building. They also require more maintenance and irrigation.
In urban settings the use of green roofs have indicated as much as a 2 degree
reduction in temperature when used on at least 50% of the buildings. Green roofs
have also encourage the emergence of insects and the ability to attract avrian
species as they use the roofs to nest [16] improving the natural ecosystem in
urban settings.
A green network is created in an urban setting when the inclusion of street
trees, parks and green roofs exist in a contiguous pattern throughout the urban
fabric. Balance in the urban setting and reduction in the magnitude of UHI can
be achieved with green network projects to provide coverage for all areas
impacted by anthropogenic activity.
5 Conclusion
The inclusion of green spaces within an urban setting can place an integral role
in reducing the impact of UHI. In obtaining ways for alleviating the impacts of
UHI without extensive resources to run scientific examinations the following
process can be utilized:
1. Understand the impacts of UHI – how geography, energy use and
transportation habits can impact the UHI magnitude with the urban canopy
layer of the urban areas
2. Establish a metric – determine the characteristics of LCZ to guide an
estimation of the UHI magnitude
3. Develop a strategy to reduce the UHI magnitude– inclusion of trees within
the urban canopy layer and the urban boundary layer can make integral
improvements in quality of air
As cities experience exponential growth, the negative impacts on the natural
environment are becoming an increasing challenge. These impacts also affect the
health and well-being of the residents within the urban setting. Steps towards
restoring the native fauna can provide health and well-being benefits by reducing
the impact of UHI.
References
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Biological Sciences, 2004.
[2] Benedict, M. A., & McMahon, E. T. Green infrastructure. Island,
Washington, DC, 2006.
[3] Taha, H. Urban climates and heat islands: albedo, evapotranspiration, and
anthropogenic heat. Energy and buildings, 25(2), 99-103, 1997.
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islands. Atmosphere, 14(4), 268-277, 1976.
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regional climate change effects on ground-level ozone and childhood
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environmental decision-making tool for evaluating ground-level ozone-
related health effects. Journal of the Air & Waste Management
Association, 53(12), 1448-1459, 2003.
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climate zone’ scheme using temperature observations and model
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10.1002/joc.3746, 2014.
[8] Oke, T. R., & Stewart, I. D. Local Climate Zones for Urban Temperature
Studies. Bulletin of the American Meteorological Society, 93(12), 1879-
1900. doi: 10.1175/BAMS-D-11-00019.1, 2012.
[9] Green Infrastructure Overview. American Society of Landscape
Architects. Retrieved from http://www.asla.org/ContentDetail.aspx
?id=43532, 2015.
[10] Akbari, H. Shade trees reduce building energy use and CO emissions from
power plants. Environmental pollution, 116, S119-S126, 2002.
[11] Yu, C., & Hien, W. N. Thermal benefits of city parks. Energy and
Buildings, 38(2), 105-120, 2006.
[12] Environmental Protection Agency. (2015, March 27). Cool Paves
Compendium. Retrieved from Environmental Protection Agency – Heat
Island Resources: http://www.epa.gov/heatisland/resources/pdf/CoolPaves
Compendium.pdf
[13] Matzka, J., & Maher, B. A. Magnetic biomonitoring of roadside tree
leaves: identification of spatial and temporal variations in vehicle-derived
particulates. Atmospheric Environment, 33(28), 4565-4569, 1999.
[14] Smardon, R. C. Perception and aesthetics of the urban environment:
Review of the role of vegetation. Landscape and Urban Planning, 15(1),
85-106, 1988.
[15] Oberndorfer, E., Lundholm, J., Bass, B., Coffman, R. R., Doshi, H.,
Dunnett, N., Rowe, B. Green roofs as urban ecosystems: ecological
structures, functions, and services. BioScience, 57(10), 823-833, 2007.
[16] Macivor, J., & Lundholm, J. Insect species composition and diversity on
intensive green roofs and adjacent level-ground habitats. Urban
Ecosystems, 14(2), 225-241. doi: 10.1007/s11252-010-0149-0, 2011.
Section 4
Environmental management
Life cycle assessment of residential

buildings: a review of methodologies
D. M. Petroche1, A. D. Ramírez2, C. R. Rodríguez1,
D. A. Salas2, A. J. Boero2 & J. Duque-Rivera2
1
Facultad de Ingeniería en Ciencias de la Tierra,
Escuela Superior Politécnica del Litoral, ESPOL, Ecuador
2
Facultad de Ingeniería en Mecánica y Ciencias de la Producción,
Escuela Superior Politécnica del Litoral, ESPOL, Ecuador
Abstract
Global warming is the greatest environmental challenge that humanity is phasing.
Water availability and biodiversity are also important issues of concern. Efforts
towards achieving a sustainable path are required in all major sectors. The
construction and infrastructure sector is an important contributor to global
resource depletion and environmental impact.
Life cycle assessment (LCA) is a frequently used tool to assess the potential
environmental impact of a product or service throughout its life cycle. The life
cycle of a product involves the extraction of raw materials, processing, production,
use, and end-of-life. The environmental performance is quantified according to
several impact categories such as: global warming, abiotic depletion, acidification,
eutrophication, ozone layer depletion, photochemical oxidation, among others.
LCA has been applied with success in the construction and infrastructure
sector, in particular for buildings of all types. Literature in LCA of buildings use
a variety of methodological approaches. The objective of this literature review is
to identify and compare the different methodological approaches used in LCA of
residential buildings, with a particular focus on functional unit, system boundaries,
environmental impact categories, and data quality. The review indicates that there
are different approaches used depending on the objective of each particular study.
Keywords: LCA, sustainability, sustainable infrastructure, sustainable
engineering, built environment.
doi:10.2495/SC150201
1 Introduction
The construction industry in the developing world is an important driver of socio-
economic development and in turn a major consumer of energy and natural
resources. In a global economy, the construction industry consumes 40% of raw
materials and generates 40% to 50% of greenhouse gases and acid rain agents (Asif
et al. [1]). The built environment plays an important role in global energy
consumption; homes use energy throughout its life cycle from construction,
occupancy, until the end of its useful life (Cabeza et al. [2]).
Concerns about the status of the local and global natural environment are
increasing in the world. Global warming, ozone layer depletion, the loss of natural
habitats and biodiversity are the reasons why countries have increased efforts to
mitigate its effects. Particularly, Global warming, and their varied potential effects
on the planet, is a result of long-term accumulation of greenhouse gases (CO2,
CH4, N2O, etc.) in the upper layer of the atmosphere. In recent years, an increased
awareness, resulting from evidence of environmental impacts of human activity,
has resulted in a broader role of sustainable development into the construction
industry.
There are a variety of tools that can be used to assess environmental
performance. Life Cycle Assessment (LCA) provides a comprehensive
methodology to assess the environmental burden of a product or service
throughout its life cycle. LCA methodological framework is standardized by ISO.
The LCA methodologies have been used for the environmental assessment of
products for a long time, but applications to the construction industry appeared
recently at the beginning of the 21st century (Singh et al. [3]). It has been
successfully used to assess the environmental impact and energy performance of
buildings and building materials. In addition, investigations of LCA applied to the
performance evaluation of structures have grown to the point of being able to find
case studies along diverse countries.
The objective of this review is to identify similarities and understand the
guidelines made by different researchers, taking into account the specific
characteristics of each study, categorized as: type of case study, geographic
location (country), functional unit selected, area of occupancy, lifespan, system
boundaries, impact assessment method, and impact categories.
These similarities and differences between the studies will allow the selection
and standardization of parameters to conduct a LCA study; will help defining a
functional unit, system boundaries, and impact categories, which may vary
according to geographical, environmental and technological conditions of each
region.
2 Methods
2.1 Life Cycle Assessment, infrastructure, and residential buildings
LCA was originally developed for industrial production and processes, general
considerations of life cycle application to infrastructure systems where provided
in the early 1990s by Novick [4]. The first formal environmental management
system was provided by the British Standards Institution (BSI) in 1992, which
served as template for the development of the ISO 14000 series pertaining
environmental management, in 1996. Specifically, ISO 14040 [5] series concern
Life Cycle Assessment which became the standard for performing environmental
impact assessment using life cycle methodology.

1
4
Goal and Scope
Interpretation
Definition
2 3
Inventory Life Cycle Impact
Analysis Assessment
Figure 1: LCA framework based on ISO 14040.
Environmental assessment studies intended to compare different materials used

for infrastructure construction date from the late 1990s. One of the first studies on
its kind was made by Horvath and Hendrickson [6] conducting a life cycle
inventory analysis to assist in bridge material selection comparing steel versus
steel-reinforced concrete bridges. Later examples of life cycle analysis application
relate to potable water pipe material selection (Dennison et al. [7]), environmental
impacts of highways (Park et al. [8]) and residential buildings energy and cost
improvements (Keoleian et al. [9]).
2.2 Residential buildings LCA
A number of relevant publications on LCA on residential buildings have been

reported since 2000 (Table 1), these studies come from diverse geographic
locations, with 8 case studies from Europe, 1 from Asia, 2 from North America,
and 1 from Australia. Key study parameters of these publications can be identified;
these parameters define the overall characteristics of the matter in study on each
research as follows:
 Type of analysis
 Functional unit
 System boundaries
 Impact assessment methodology
 Impact categories
Following a detailed explanation of the differences found on these key
parameters is provided.
Table 1: Twelve articles reviewed in which key analysis parameters are identified.
Lifespan
Author(s) Year Type of analysis Location Functional unit Area System boundaries
(years)
Materials comparison (5) for a Typical semi-detached
Asif et al. [1] 2007 Scotland 132m2 NA Construction
house. three bedroom
Belgium,
Overall energy comparison of three
Rossi et al. [10] 2012 Portugal, m2 yr 192m2 NA Construction use
distant house units.
Sweden
Cuéllar-Franca Overall comparison of three most Construction use–
2012 UK m2 yr 130m2, 90m2, 60m2 50
& Azapagic [17] common building types. End-of-life
Monteiro & Material comparison between three
2012 Portugal m2 yr 132m2 50 Construction use
Freire [16] types of exterior walls.
Frijia et al. [11] 2012 Energy use of a typical residence. EU m2 yr 140m2–325m2 50 Construction use
Lewandowska Energy use comparison between 4 2 Construction use–
2013 Poland m yr 98.04m2 100
et al. [12] houses. End-of-life
2,
Asdrubali et al. Overall comparative analysis 443m 1827m2, Construction use–
2013 Italy m2 yr 50
[19] between three typical house types. 3353m2 End-of-life
Overall analysis of one two-story Construction use–
Zhang et al. [18] 2013 Canada m2 236.15m2 NA
residential building. End-of-life
Bastos et al. Energy and GHG analysis of three 367m2, 472m2, Construction use–
2014 Portugal m2 yr 75
[13] typical building types. 1041m2 End-of-life
Energy comparison between urban Construction use–
Chang et al. [14] 2013 China Residential building NA 50
and rural residential buildings. End-of-life
Keoleian et al. Overall analysis of one standard US Construction use–
2000 US Single family house 228m2 50
[9] home. End-of-life
Energy analysis in the post- Construction use–
Crawford [15] 2014 Australia m2 yr 291.3m2 50
occupancy life of a house. End-of-life
3 Results
3.1 Type of analysis
Type of analysis can be defined from the main objective of each study; it is a
description from the approach of the study selected by the authors. It is also
directly related to a research hypothesis, a local concern, or a specific problem that
need to be resolved. Types of analysis can be narrowed from the literature
reviewed to three general categories: energy use comparisons, material
comparative analysis, and overall analysis.
The most common type of analysis was related to energy use. Rossi et al. [10]
developed and tested a tool for LCA of residential buildings in Europe located in
Brussels (Belgium), Coimbra (Portugal) and Lulea (Sweden). The objective of
their research focused on energy analysis evaluated as raw energy consumption,
embodied energy and embodied carbon. Frijia et al. [11] explored issues related
to technological changes in the operational phase and parametric models though
an analyses of one-story and two-story detached homes located in Phoenix
Arizona. In a similar fashion Lewandowska et al. [12] reported a LCA study
performed to four detached single-family dwellings compared traditional and
passive buildings each using wood or masonry materials, and was focused on the
operation phase only. Furthermore, Bastos et al. [13] presented an energy and
GHF analysis of three representative residential buildings within a residential area
in Lisbon, Portugal. This study considered a construction phase, use phase, and
retrofit phase. Chang et al. [14] reported a LCA analysis of buildings in China,
considering urban/rural differences, quantifying energy use for both locations
during each life cycle phase. Finally, Crawford [15] efforts aim the post-
occupancy phase of a residential building in Australia, using a single detached
unit. This study is the only one available for housing units considering system
boundaries beyond use or operation.
Material comparison analysis was found on two reports, Monteiro and Freire
[16] implemented a LCA model to evaluate environmental performance of six
types of exterior walls using different life-cycle impact assessment methods as
well, Asif et al. [1] research provided a LCA of a 3 bedroom semi-detached house
in Scotland focused on material evaluation of wood, aluminium, glass, concrete
and ceramic tiles.
Overall analysis category, as identified in the present study, refers to broader
study where a full LCA is undertaken, typically all the relevant impact categories
are included and a lifespan that includes all the life-cycle phases considered.
Cuéllar-Franca and Azapagic [17] analysed the environmental impacts for three of
the most common types of house in the UK. Under the same analysis category
Zhang et al. [18] reported a life cycle assessment of single-family residential
buildings in Canada. This particular study considered also improvement measures.
Accordingly, Keoleian et al. [9] published a full LCA for a single-family house,
considering pre-use, use, and demolition phases. Also a comprehensive inventory
of construction materials and appliances, together with a life cycle cost analysis
was made.
3.2 Functional unit
Many studies define their functional unit based on area occupied during a lifespan,
[10, 12, 15, 16]. For example Cuéllar-Franca and Azapagic [17], in their case study
located in the UK, defined their functional unit as “construction and occupation of
a house in his lifespan”. Further considering that the study includes three types of
buildings with 50-year lifespan and different occupation areas defined as:
 detached house 130m2;
 semi-detached house 90m2; and
 terraced house 60m2.
Asdrubali et al. [19] in Italy, defined its functional unit in one square meter of
usable / living floor area, over one year (m2/year), defining 3 types of buildings on
a lifespan of 50 years:
 a detached house 443m2;
 a multi-dwelling building (block of flats) 1,827m2; and
 an office building 13,602m2.
On the other hand, Bastos et al. [13] in Portugal, defined the functional unit as
“per square meter per year and per person per year” based that the use of area-
based functional unit in larger households have lower energy needs, consequently
lower emissions for the same occupation of people, but this does not necessarily
result in improved environmental performance.
In contrast, use of occupancy-based functional unit, which is usually used in
studies at the urban scale, can ignore the performance of the building, high
occupancy could compensate for poor environmental performance, so it is highly
recommended to use a functional unit depending on the objectives and scope of
the study.
3.3 System boundaries
The system boundaries define which processes will be included in the study. Much
of previous studies are oriented to life cycle energy assessment, where the use
stage of the building predominates, so it is important to define their lifespan. While
other studies using LCA methodology seek to analyse the environmental
performance and not just their energy consumption, will focus on obtaining data
on production of raw materials, and cover all phases from construction, use and
retrofit or demolition.
Time limits are provided by the lifespan, as in the methodology of LCA and
LCEA, the use stage is directly linked to lifespan, many studies have taken as
reference between 50–100 years, with 50 years period most widely used [9–11,
13, 15].
Asif et al. [1] defined as the timeframe of their study only the construction
phase, since their objective was to analyse the environmental performance of
materials, with the result that concrete is the material with higher energy
consumption and increased emissions.
emission emission
Construction phase
intermediates
Building
Enf-of-life
resources exploitation Construction production Use phase emission
phase
phase
energy energy energy
Figure 2: System boundary for residential buildings.
The processes included in LCA studies of buildings are:

Pre-construction phase: Materials production phase: Includes processes of raw
material extraction, transportation to the factory, manufacturing process, recovery
of recycled material.
Building construction phase: Transportation of materials from the factory to
the construction site, mounting structure and possible replacement during the life
of the building, the power consumption associated with equipment used in
construction, the transformation from rural to urban areas, earthworks, isolated or
highly dense constructions.
Use phase: These are all activities related to the use of the building, including
all operating energy for heating, cooling and hot water generation, cooking,
lighting and other electronic devices comprising the house.
End-of-life phase: Dismantling of the structure, demolition, transportation to
the landfill or the recycling of materials.
3.4 Impact assessment methods
The impact assessment methods used in the studies reviewed have very different
approaches. CED is a method that only focuses on representing primary energy
needs. The other two environmental LCA methods can be differentiated as CML
2001 is problem oriented and EI’99 is damage oriented methodology. In general,
results obtained from the three methods indicate that the most important lifecycle
stage depends on the assumed method.
In CML methodology impacts these are higher for the use phase, while those
of EI’99 are higher for the material production. The comparison of CML and EI’99
shows that the most important category for EI’99 are fossil fuels, while for CML
is the toxicity according to Cuéllar-Franca and Azapagic [17].
4 Conclusions
Material evaluation on residential units showed that concrete, timber and ceramic
tiles constitute major energy consumers among materials involved in residential
building construction. Being concrete alone responsible for 65% of total embodied
energy, surpassing by far the environmental impacts of other materials. On the

other hand it has been found that, for total energy use in material manufacturing
and construction processes, the scale effect is inverse proportional, as the area of
occupancy increases, energy use decreases.
Energy evaluation on residential units evidenced that HVAC systems
contribute significant CO2 emissions. Most studies coincide on their results that
confirm that most of the primary energy requirements occur during the use or
operation phase of buildings ranging from 70% to 91% of total life-cycle energy
consumption. Also the mix of energy generation technologies affect largely the
primary energy requirement.
Full LCA studies confirmed that for all the impact categories (except Ozone
layer depletion) the use phase of buildings carries the greatest burden. Ozone layer
depletion is a considerable load only during the construction phase.
Finally the results evidence that location is a parameter that affects the outcome
of any type of carried study. The same building, measured in its use phase, in
different countries or even in different regions of the same country may have
different environmental consequences. Inconsistency on the results was found
when using different life-cycle impact assessment methodologies; no correlation
between results could be identified.
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Urban imaginaries and the sustainable city

S. Mejía-Dugand, O. Hjelm & L. W. Baas
Environmental Technology and Management,
Linköping University, Sweden
Abstract
This paper discusses the case of Medellín, a city that has received international
attention in recent years due to its improvements in social and environmental
aspects. The process of selection and implementation of foreign technologies for
the achievement of collective goals such as sustainability in the city and how it is
affected by the interaction between local and foreign urban imaginaries is
discussed. The case of a waste management systems provider operating in an
urban renewal project taking place in the city is presented. The importance of solid
proof-of-concept projects that facilitate the understanding of the contribution of
certain technologies to local goals and the transmission of crucial information is
analyzed. It is found that besides cultural and political links, Medellín has found
similarities regarding urban planning directives in Spanish cities where the system
is implemented, and technical and emotional support to undergo its infrastructure
transitions.
Keywords: environmental technologies, proof-of-concept, urban sustainability,
local stakeholders, foreign technologies.
1 Introduction
Cities are expected to be places for the practice of democracy and for the
construction of social equality and inclusion (Peñalosa [1]). This is also true for
sustainability (Bulkeley and Betsill [2], Vojnovic [3]). Participation in the
formulation of collective goals such as urban sustainability is thus central, because
of the shared nature of the urban environment (Hillman et al. [4]). By itself, the
term “urban sustainability” is bound to a geographically defined area, i.e. the city
and, although not always the case, its surroundings. This fact makes the definition
of the practical contribution of cities to global sustainability a difficult enterprise.
In addition, there is no transnational urban sustainability language, as this is
doi:10.2495/SC150211
dependent on temporal and spatial perspectives (Hult [5]). Separate entities (in this
case cities) working on their own have fewer opportunities to achieve goals that
require coordination, since unilateral efforts have a small chance of success
(Hansson [6]).
Although achieving sustainability to a large extent requires change in the
lifestyles of citizens (e.g. consumption patterns, waste generation, fossil-fuel use,
etc.; see e.g. Shove and Walker [7]), technology and science are trusted by many
to support this pursuit, and neutralize the effect of human activities by offering
non-declining per capita consumption (see e.g. Ayres et al. [8], Cabeza-Gautés
[9], Huesemann and Huesemann [10]). Considering the central role that
technology plays in everyday urban life and the scale of coordination needed in
modern cities, it is important to keep in mind the need to mix both approaches, and
recognize the important foundations that technology has laid for the achievement
of sustainability goals. Discussions of sustainability transitions that do not
envision the links between existing and imagined societies fail to reinforce the
required change (Boonstra and Joosse [11]).
In this paper, we explore how urban sustainability imaginaries (i.e. collective
visions or understandings of what a sustainable city is) are constructed, influenced
by technology and science. In this line, we discuss how the search for urban
sustainability has created a highly competitive international market, which we will
call the “sustainable city market.” We refer to cities that are facing a sustainability
problem and are looking for a technological solution in this market, or to those
that are seen by foreign suppliers as potential adopters of their technologies, as
“cities-customers.” With this in mind, we aim to answer the following questions:
How does the process of selection and implementation of foreign technologies
happen in cities-customers? How is this process affected by the interaction
between local and foreign urban imaginaries?
We discuss the case of Medellín, Colombia. The city has relatively recently
received international attention due to its improvements in social and
environmental aspects. Many of these improvements have relied on a stable source
of revenue: the city’s utility company, which has enabled the city to increase its
spending on social and environmental projects impressively during the last two
decades. The paper is structured as follows. Section 2 discusses how societies
shape an understanding of collective problems and agree on mechanisms to face
them, while Section 3 describes the methodology. Section 4 describes and
discusses the case of Medellín and its utility company, and Section 5 describes an
urban renewal plan in the city. Section 6 presents the case of a foreign waste
management systems provider involved in this plan and its reliance on adequate
showcase cities to aid the alignment of its technology to local conditions. Section
7 discusses the importance of showcase cities for the diffusion of environmental
technology, and Section 8 presents the conclusions.
2 Collective goals and actions

Each society forms an image or understanding of how the problems it faces affect
it and how they can be solved. In particular, participation is important when such
an image affects collective goals such as sustainability (Geels [12]). For this,
Hillman et al. [4] suggest, societies can make use of cognitive (values and
perceptions that define a problem and the required structures to deal with it) and
normative (how a common goal, understanding, and agreement on the desired
outcome are formed) governance mechanisms.
A strong technocentric view on how cities-customers’ environmental problems
can be solved often dictates foreign strategies to diffuse their technological
solutions to other cities (Mejía-Dugand [13]). This view has the risk of reducing
the discussion of how cities contribute to global sustainability to administrative
terms, e.g. architectural design, traffic management, and the use of renewables
(Bulkeley and Betsill [2], Hodson and Marvin [14]). In fact, the sustainable city
market inundates cities-customers with images, concepts, facts, policies,
behaviors, and especially technologies that, although developed under foreign
socio-political and techno-scientific conditions, promise to alleviate their
problems without major contextual considerations (Hult [5], Wangel [15]). This is
a double-sided promise: suppliers also expect to benefit from receiving a share of
the growing global market in environmental technologies (Hult [5], Kanda et al.
[16], Van der Slot and van den Berg [17]). However, when people, space and time
are left out of the analysis of cities and their interaction with technology, results
tend to be fruitless (Mejía-Dugand [13], Rutherford [18]).
Such external influences are evident in the modern city, which, according to
Rutherford [18] is “an assembled space of parts of other places.” This view
suggests either the exertion of power (e.g. through colonialism or
authoritarianism) or the exercise of learning and adaptation (see e.g. Mejía-
Dugand et al. [19]). The former does not necessarily clash with the achievement
of goals such as urban sustainability, since change is exerted through governance
(van der Heijden [20]), and governance and democracy are not necessarily
supportive: an authoritarian regime could govern effectively, just as a democracy
could be maladministered (Fukuyama [21]). The latter, however, interests us more
since under this view urban sustainability is seen as a collective goal, one in which
all stakeholders have a say (see e.g. Peñalosa [1]). In particular, learning and
adaptation processes are important when analyzing the role that technology plays
in the pursuit of urban sustainability. Modern cities inevitably see technology as a
foundation for the improvement of their reputation and their citizens’ living
conditions (Bulu [22], Hodson and Marvin [14]), and as a way to publicize
themselves in national and international markets, where they compete fiercely for
resources (DiGaetano and Strom [23], Timms [24]). In this sense, societies must
develop new governance tools to respond to external pressures from these markets
(Hodson and Marvin [14]): cities normally compete for resources under free-
market conditions, and these pressures often leave little room for long-term
environmental goals (Polk [25]).
Which governance mechanisms can support the learning and adaptation
process needed to face urban sustainability challenges? Society has to agree on
what the problem is and on the networks needed to build the required knowledge
to solve it (Hillman et al. [4]). The definition of the problem is highly dependent
on local conditions and values (Smith and Stirling [26]). Although cities can and
do learn from other cities’ good and bad experiences (Mejía-Dugand et al. [19],
World Business Council for Sustainable Development [27]), they also need to
perform their own experiments, monitor and evaluate these experiments, and
adjust the strategy based on the results (Loorbach [28]). When innovations are
compatible with existing values and systems, and are easy to understand, they are
more easily implemented (Rogers [29]). This is supported by the work of
Oettingen and Mayer [30] and Kappes and Oettingen [31], who found that thinking
about idealized futures is an energy-demanding process, and that when these
imaginaries are disconnected from past experience and existing systems, the result
is less effortful action, poorer performance, and reduced well-being, since the risk
of missing out on important obstacles and hindrances is higher.
When a certain society agrees on collective goals, such as sustainability, it also
has to decide if these goals are to be achieved through means found in
paradigmatic ideas of sustainable cities, or through vehicles that first assure
compatibility with local conditions and stakeholders (Mejía-Dugand et al. [19]).
As discussed above, suppliers driven by technocentric motivations might offer
solutions in isolation from contextual requirements, very much like car producers
that offer endless comfort without considering that external factors such as traffic
and overcrowding might play an even more important role. In addition, when a
certain system fails, not only technically, but in connection with coexisting and
often interconnected systems, cities will be left with a technological dependence
that most stakeholders will not appreciate (Mejía-Dugand et al. [19]). It might thus
be easier for cities to engage in socio-technological change when they can find
experiential, technical and moral support to undertake technological
implementations, especially when they are transversal to different areas and
groups in the city (Mejía-Dugand et al. [19]). This support is most efficient when
found in societies that are more culturally compatible, since interaction and the
strengthening of the networks through which essential knowledge spreads are
facilitated, and less energy is needed for sharing information (Rogers et al. [32]).
3 Methodology
Between 2013 and 2014, we made field trips to the city of Medellín in order to
visit various infrastructure projects and conduct a set of interviews with different
stakeholders within city and county government and the municipal utility
company. In particular, we were interested in an urban renewal project taking
place in a central area of the city. This area is called Naranjal, and is considered a
strategic location due to its high value and close connection to city services. The
area consisted mainly of heavy and lightweight vehicle repair workshops and a
network of small businesses revolving around informal waste picking and
recycling activities. There were also residential buildings.
The city is undertaking a project to revitalize the area by building new
residential and commercial buildings with the intention, among other things, to
densify the city center, and connect it to a plan to recover the river that dissects
the city and runs south to north of the valley where it is located. We therefore
interviewed the subdirector of the Housing Unit at Empresa de Desarrollo Urbano
(EDU), the governmental agency in charge of the execution and development

plans approved by the city’s government, such as the plan in Naranjal. Our interest
in this area is justified by the presence of Envac, a Swedish technology supplier of
underground waste management systems involved in this project. In addition, we
interviewed the former CEO and the head of the Waste Management Unit at the
local utility company, as well as the subdirector of the Planning Department and
the director of the Strategic Planning Unit at the county administration. We also
conducted additional interviews with Envac’s CEO and some representatives of
the company in Spain, who are in charge of administering the relations with
Medellín. In April 2015, we visited different projects in Madrid and Barcelona,
where Envac’s system has been implemented, and interviewed actors from the
city’s administration that were involved when the system was first implemented
there.
Finally, we performed archival work on the city of Medellín, its utilities
infrastructure development, and the history of its utility company, in order to better
understand the emergence of this central actor and the power relations in the city.
Local libraries were used to perform the archival work, and a local university
provided additional recorded interviews in which former employees of the utility
company and other academics discussed the history and evolution of the company.
The information collected from the interviews was transcribed and analyzed
together with information found in historical records and recorded interviews. In
this way it was possible to better understand the important role that the municipal
utility company has in the city, and how the city generates resources to undertake
major infrastructure projects. Interviews with Envac provided a different
perspective and allowed us to understand the hindrances that foreign urban
imaginaries and the technologies that are often connected to them face.
4 The city’s utility company as an important

factor in the city
The city of Medellín is a special case when it comes to its utilities (Furlong [33]).
Empresas Públicas de Medellín (henceforth referred to as EPM), the city’s multi-
utility company, was founded in 1955 with the intention to unify and administer
the public services of electricity, telephone service, drinking water and sewage.
The company had to be of an “apolitical nature, ruled by a rigorous administrative
efficacy criterion, for which the adequate technical systems for corporate
organization must be used” (The Colombian Government [34]). The company was
also authorized to provide its services to municipalities outside the city’s
administrative boundaries, only “if by doing so, the fulfilment of the needs of the
City of Medellín and its citizens or companies are not jeopardized; these have to
be prioritized” (The Administrative Council of the City of Medellín [35]).
The liberalization of the utilities market in Colombia in 1994 opened the door
to privatization. Although some Colombian cities decided to list their companies
on the stock exchange, Medellín opted to convert the company into a State
Industrial and Commercial Company, a legal concept promoted by politicians
from the region where the city is located. Such a concept allowed the municipality
to retain full ownership of the company, but govern it under private rather than
public law. The company has benefitted from the mountainous geography of the
region where it operates, since hydroelectric power from water dams is one of its
main sources of revenue (Furlong [33], Varela Barrios [36]). Following its
expansion goals and because of local market saturation, the company has
expanded its operations to national and international markets (Furlong [33]). The
company operates now in six Latin American countries, USA and Spain, and has
the ambitious goal of having 40% of its commercial activities abroad by 2015.
While the company transferred roughly USD 21 million to the city of Medellín in
1997, that figure grew to USD 446 million in 2010, resources that represent around
one-third of the city’s budget today (Vélez Álvarez [37]). By law, the company
cannot transfer more than 30% of its profits to its owner. However, the city
formally authorized in 2007 extraordinary transfers, designated solely for specific
social programs, and after the proper analysis of the company’s financial viability.
Since then, the city’s spending on social projects has increased by 129% (Furlong
[33]).
EPM, protected by national laws, had the monopoly for the provision of public
services in the city until the market liberalization law in 1994. However, EPM took
advantage of natural monopoly conditions and is today the largest actor in the
sector. In addition, its ability to generate revenue, operational efficiency, technical
expertise and the strong sense of belonging it has managed to create in citizens
(see e.g. Furlong [33]), have made it an unavoidable force to reckon with when
planning for infrastructure interventions. In fact, one of the interviewees from the
county administration said when discussing underground systems: “EPM thinks
they own the underground (because most of the infrastructure laid there is theirs),
but in reality the underground belongs to the state.” EPM, as expressed by one
interviewee, is more concerned about what will happen to the laid infrastructure
that is still operational and could suffer from any intervention, and distrusts works
that do not involve their supervision. This, as will be discussed later, has been an
important obstacle for the implementation of Envac’s system.
5 Naranjal’s renewal project

Starting in 2004, the city of Medellín began to reinvent itself, especially through
strategic interventions in the peripheral areas, considered to be the most unsafe
(Pizano Castillo [38]). Naranjal, which evolved to its present configuration by
displacing residential buildings in favor of auto repair workshops and recyclable
material storage, is one of the eight areas where urban renewal projects would take
place in the city. These projects are called Partial Urban Renewal Plans. Naranjal
is a strategically located area, although under-used from an environmental, social
and economic perspective (Pizano Castillo [38]). Its renewal plan covers an area
of twelve hectares, and borders the Medellín River on the east (Figure 1). This
connection is crucial for the city, due to its ambitious plan to recover the river,
which has been polluted and neglected since the beginning of the city’s industrial
development. Besides providing financial resources to the municipality for the
development of these plans, EPM administers a wastewater treatment plant that
collects and treats roughly 25% of the city’s residential and industrial wastewater,
and is building a larger plant to take care of the rest in the near future.
Figure 1: Location of Naranjal’s renewal plan (based on the 2006 Master Plan).
6 Envac’s system in Naranjal

Envac is a Swedish company that offers underground waste collection systems. In
these systems, waste is collected through inlets embedded on the wall or
cylindrical inlets installed in the street. A valve allows the waste to enter a
pressurized system that sucks the bags into a central station, where they will be
stored for further treatment or final disposal. Cities can benefit from an
underground collection system by eliminating the need of collection trucks in
dense areas or where streets are narrow, reducing emissions, and improving
aesthetics and problems related to bad smells or disease vectors. Envac’s system
is implemented in various cities in Sweden, including an environmentally profiled
neighborhood in Stockholm, called Hammarby Sjöstad. This neighborhood is a
common showcase for environmental technologies in Sweden, and is a central
component of this country’s marketing tool to promote their urban environmental
technologies, called SymbioCity (see Hult [5], Pandis Iveroth et al. [39]). Other
cities in Europe have also implemented this system, including Madrid and
Barcelona in Spain.
The Honorary Consul of Sweden in Colombia, who lived in Hammarby
Sjöstad, was central to bringing the company to Medellín. Although this
neighborhood in Stockholm was an inspiration, it is the office in Madrid which is
in charge of this project. Colombia (and Latin America in general) has cultural and
political links with Spain. However, we have found that Barcelona and Madrid
have an additional feature that make them better showcases than, for instance,
Stockholm: urban planning and design regulations in Colombia are closely related
to those in Spain, and in fact, renewal projects like the one in Naranjal are very
similar to those of the Olympic Village (Envac’s first implementation in Barcelona

in the 1990s) and El Raval (where Envac’s system has been in operation since
2007). Although the local media mentions that it is a Swedish system, they
normally discuss implementations in Spain (see e.g. Ospina Zapata [40],
Twenergy [41]). Involved actors have emphasized that although it is a foreign
system, its implementation plan was conceived and designed by locals (Gómez J.
[42]). Gómez J. [42] mentioned that the Swedish Ambassador to Colombia
highlighted that this is one important component of Sweden’s relations with the
city and of the Swedish government promotion of urban sustainability concepts.
Envac’s system has faced an important challenge in Naranjal. Naranjal is an
old neighborhood, and a large part of its underground systems (e.g. cables and
pipes), although still operational, are not mapped as well as other, more modern
infrastructure in other parts of the city. This fact worries EPM, as one interviewee
mentioned, because it could have negative impacts on the provision of their
services, when their infrastructure suffers from installation works and operation.
In addition, EPM is also in charge of the collection of the city’s waste, and this
would be the first area where collection would happen differently. The new
systems must then be able to align to the system prevailing in most of the city (i.e.
above-ground collection), and consider the important place that EPM occupies in
the city’s socio-technical regimes and in the heart of its citizens.
7 The importance of the showcase city for environmental

technology diffusion
Few cities venture to undertake infrastructure plans with the use of technologies
that have not been proven elsewhere. Proof-of-concept projects provide
confidence and accumulated knowledge that can facilitate the connection of the
new systems to existing ones (Mejía-Dugand et al. [19]). In addition, cities
implementing the system in the past usually contribute incremental improvements
that lubricate the implementation process, by identifying obstacles and the need to
adapt certain technical or legal aspects to ensure better functioning of the system,
and in many cases reducing the disturbance that building and using the new system
will cause to those socio-technical systems already in place.
In this line, cities-customers find it easier to understand the functioning of the
system when they can see it operating under similar conditions. Foreign
imaginaries often clash with local realities, as one assistant to a forum where
Sweden explained its urban projects noted: “So you are talking then about a city
of 300,000 (i.e. Malmö). Bello alone (i.e. a municipality bordering Medellín in the
north), has 600,000”. Other participants asked, when looking at pictures from
these projects: “Where are the cars and the people?” This is why, as we claimed
above, inhabitants of Medellín find better cases in Barcelona and Madrid for their
understanding of how the system could help them solve their waste problems, and
how many changes would be required in existing infrastructure and local
regulations in order to implement it successfully.
8 Conclusions
As discussed, cities are competing in national and international markets for
resources. Also, upgrading via technology is seen as fundamental in the modern
world order (Bulu [22]). When technology implementation is planned with the
involvement of locals and adapted to local conditions by considering connection
and coordination with existing systems, cities can find an additional benefit. Cities
appreciate the opportunity to innovate locally, and doing so with urban
technologies is an undeniable opportunity to attract international attention and
improve its reputation (Mejía-Dugand et al. [19]), as other innovations in the city
of Medellín have proved. The “Metrocable” (i.e. a gondola lift implemented in the
northern neighborhoods), and the electric escalators implemented in the west are
good examples of innovative use of existing, well-proven technologies that have
resulted in improvements at the local level, and in increased international attention
(and with it, access to resources from international markets).
We wanted to answer two questions in this paper. First, we wanted to
understand how the process of selection and implementation of foreign
technologies happens in cities-customers. We found that in the case of Medellín,
inspiration from projects implemented in Sweden played an important role.
However, it was also seen that the city found it easier to identify the requirements
for a successful implementation in cities that more closely reflect its own
conditions. Barcelona and Madrid provided such an opportunity, since, besides
cultural and political links between Colombia and Spain, the Colombian design
and planning regulations are strongly influenced by the Spanish ones. Second, we
asked how technology implementation is affected by the interaction between local
and foreign urban imaginaries. We found that when technologies are exported,
they carry with them requirements of a cultural, infrastructural and political nature.
These traits might make the implementation process difficult, as purely
technocentric approaches to technology implementation face the risk of missing
out on important contextual considerations. The timely involvement of central
local actors allows for the identification of obstacles and hindrances, and facilitates
the alignment of foreign imaginaries with local ones. Once again, strategic proof-
of-concept projects play a crucial role in lubricating this process.
Acknowledgements
The authors want to thank the Swedish Governmental Agency for Innovation
Systems (VINNOVA) for their financial support. The information and contacts
provided by all interviewees were of great help and are greatly appreciated.
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anjal-HEEC_238395, 2013.
Application of hydrogels on highly

polluted affluents: the leachate
R. Cioffi, C. Ferone, G. Perillo & F. Sorrentino
Department of Technology, University of Naples Parthenope, Italy
Abstract
Hydrogels are a class of compounds formed of colloidal polymer chains of
molecules dispersed in water, which have a high absorbent capacity and can be
classified as biodegradable and biocompatible. The absorbent capacity of
hydrogels is such that they can engage a quantity of liquid equal to
approximately one thousand times their own weight. It is estimated, therefore,
that one kilogram of this material can absorb up to one ton of water. In addition,
hydrogels are able to change the physical appearance of the absorbed liquid by
including its volatile components in their starting matrix so that the latter are
immobilized and not dispersed into the atmosphere, which offers considerable
advantages from the environmental point of view.
In a previous paper, applicative potentialities have been evaluated. In the
present paper, not only molecular structure of the polymer and its reactivity with
water have been investigated, but also its use in the environmental field. In fact,
thanks to available data carried out during the previous study, laboratory tests
have been developed in order to define the specific retention capacity exert
against aqueous solutions containing contaminating substances, as leachate.
Keywords: hydrogels, liquid contaminants, leachate.
1 Introduction
The characteristics of hydrogels make them suitable for application in a number
of different fields, such as waste treatment, the remediation of contaminated sites
in order to minimise the flow and the underground migration of liquid
contaminants, and interventions for the purification of contaminated waters [1].
The objective of this paper is to evaluate the potential applications of some
polymer blends, known as hydrogels, which are capable of absorbing large
doi:10.2495/SC150221
quantities of liquids within their matrix, changing their physical appearance and
transforming them into gel. They also absorb highly volatile substances,
immobilizing them and preventing their release into the atmosphere.
The field of application considered is waste treatment, starting from the
remediation of contaminated sites and including the requalification of landfills in
order to stem the flow and underground migration of liquid contaminants, such
as leachate, the management of refuse-derived fuel bales, and ensuring the safety
of leachate collection sites, waste collection vehicles and public dumpsters. An
important feature of these polymers lies in their ability to absorb liquids within a
saturated porous medium, which makes them suitable for use underground [2].
During the active life of a landfill, and to a lesser degree after its closure,
water falling on the site passes through the waste giving rise to leachate. The
quantity of leachate formed is dependent on the landfill’s location while its
quality is determined by the type of waste. In order to prevent the accumulation
of leachate in the bottom of the landfill, it is channelled, collected and removed
for subsequent purification treatments. A leachate collection and drainage system
in a properly managed landfill can be made from natural materials (sand and
gravel) or synthetic materials, but such systems are often subject to leaks caused
by unnoticed breaks in the impermeable lining or defective welds in the
geomembrane, making them inefficient.
Finally, super-absorbent polymers have been considered to realise “pad”,
containing within the superabsorbent polymer mixtures, in order to reset the
percolation coming from the MSW masses.
2 Materials and methods

2.1 Materials
The gels considered are almost always obtained from suitably reticulated
mixtures of sodium carboxylmethyl cellulose (CMCNa) and hydroxyethyl
cellulose (HEC) [3]. The structure of the repetitive units of CMCNa and HEC is
reported in Figure 1.
Figure 1: Chemical structure of the cellulose-based macromolecule.
Our sample, composed of CMCNa and HEC, was checked using FT-IR
analysis (Figure 2).
Figure 2: IR graph of the sample.
The fundamental characteristics that a super-absorbent polymer must possess

are a high affinity for water, an ionic polymer macromolecule and
biodegradability. The latter characteristic is an indispensable requirement for
some applications.
Once reticulated, the carboxylmethyl cellulose polymer possesses all the
characteristics needed for use as a super-absorbent material. It is derived from
cellulose, it is biodegradable and, thanks to the presence of the ionic
carboxylmethyic group through an ether bonding with the cellulose structure, it
possesses the polyelectrolytic characteristics needed to develop a Donnan
equilibrium with the external solution with which it comes into contact.
Furthermore, CMC is soluble in water and therefore has a high affinity for it [4,
5].
Hydroxyethyl cellulose is also derived from cellulose and has a high affinity
for water but, unlike CMC, it does not possess charge groups anchored to the
polymer network and, therefore, does not make any contribution to the Donnan
effect which, as mentioned above, favours absorption.
2.2 Synthesis procedures

The hydrogel is prepared in aqueous solution as it is the contact between the pure
solid substance and distilled water that transforms it into a gel and this is the
environment in which gelification takes place. In this phase, therefore, the gel is
in a swollen state, even though it has not yet reached a swelling value that
represents a state of equilibrium. The gel thus obtained is then purified to
eliminate any residual impurities [6].
Purification is achieved by placing the gel in distilled water, which is
frequently changed until the gel reaches its maximum degree of swelling (the
material hardens and assumes the shape of the container is which it was placed).
The volume of water required for the washes is not less than ten-fifteen times the
volume of the gel to be purified after synthesis [7].
In order to assess the material’s efficacy in terms of absorbency, it is then
necessary to dry the completed and purified gel. Drying can be carried out in
three ways:
a) at atmospheric pressure: this simply entails leaving the sample in the air at a
temperature of approximately 20°C until it dries completely. The time
required for this depends on the sample size; this can reasonably be
estimated at not less than five days. The sample has a rubbery consistency
when swollen, while in the dry state it has a glassy or crystalline
consistency. After 5 days the samples show no variation in weight but a non-
significant variation in volume.
b) in a vacuum: the sample is placed in a vacuum until it has dried and assumes
a structure similar to cellulose fluff. The time needed for drying is
approximately 5 days, after which time the sample displays a significant
reduction in volume (approximately 30%) and in weight (approximately
5%).
c) by extraction with acetone: the sample is placed in a beaker with a 20%
addition of acetone and is subjected to magnetic stirring; the sample is seen
to gradually decrease in volume until it reaches an acetone-water
concentration achieved following the release of water by the contracting
sample.
The gel and acetone-water mixture is then filtered using medium porosity
filter paper and the filtered sample is then placed back in the beaker with new
pure acetone and is subjected again to magnetic stirring. The procedure is
repeated until the sample has eliminated most of the water it contains,
significantly and visibly reducing in volume, after which the gel is placed in a
50°C oven to eliminate the residual water still trapped in the gel.
As will be seen below, the drying procedure exerts a considerable influence
on the material’s structure and absorbency.
2.3 Absorption properties

The study of the absorption capacity of hydrogels synthesised from
polysaccharide polymers focuses on the effect of variations both in the
characteristics of the solution with which the gel is brought into contact and in
the network’s structural parameters [8].
Particular attention is dedicated to the influence of external mechanical
stresses on the material’s ability to absorb and retain water and aqueous
solutions.
The absorption analyses were set up in order to assess the influence of the
external solution in contact with the gel on its swelling capacity. This analysis
was performed while also varying the material’s physico-chemical parameters
and comparing the results obtained for the various types of gel.
In order to evaluate the absorption capacity of the various samples, the

swelling ratio parameter (S.R. = swollen sample weight/dry sample weight) was
used.
2.3.1 Absorption properties with water

Analysis of the absorption capacity in distilled water was repeated and the results
were studied for reference purposes. This analysis was conducted in different
water vapour activities and for different types of material, making it possible to
determine the gel’s Flory-Huggins interaction parameter (χ).
The absorption tests in distilled water and aqueous solutions were carried out
in accordance with the following procedure: the gel sample, previously weighed
and dried in acetone, is immersed in the solution in which the absorption
capacity is to be analysed. The gel is then left to swell until it reaches
equilibrium (≈ 24 hours).
Once swollen, the gel is removed from the solution and left to drain so as to
eliminate excess, unabsorbed water on its surface. The sample is then reweighed.
The differential water absorption experiments in the activity range 0–0.95 for
the unreticulated polymer dried at atmospheric pressure and for the reticulated
polymer dried in acetone were carried out with the aim of characterising the
absorption kinetics as a function of external activity [9].
The absorption tests enable an experimental determination of the absorption
isotherm, which in turn makes it possible to obtain information on the
interactions between the water and the polymer’s hydrophilous groups and, in
particular, to determine the Flory-Huggins interaction parameter.
The drying procedure has a major influence on the material’s absorption
capacity: the highest swelling ratio was observed for gels dried in acetone and
the lowest for those dried in the atmosphere.
Differences in morphology can be clearly seen: the sample dried in the
atmosphere is dense and compact, the one dried in acetone appears characterised
by a more compacted or microporous structure, while the gel dried in vacuum
conditions displays an intermediate structure.
The differences in absorption capacity can therefore be attributed to the
different morphology of the material: the structures characterised by larger
micropores show a higher absorption capacity due to the fact that some of the
water condenses in the micropores, which further increase in size as the gel
swells.
The drying procedure affects the gel’s physical structure and the samples
dried with acetone show a higher porosity than those dried in vacuum or
atmospheric conditions. Consequently, the effects of capillarity in the swelling
mechanism make an essential contribution to absorption and the greater the
sample’s porosity, the higher its swelling capacity.
2.3.2 Absorption properties with leachate

In order to assess the polymers’ applicability in environmental remediation,
absorption tests were carried out with landfill leachate – a liquid that is created
primarily by the infiltration of water into masses of municipal solid waste and by
the latter’s decomposition processes. The tests were conducted on leachate from
the municipal solid waste landfill in Terzigno (Naples), a site which is no longer
in use.
Analysis of the leachate shows it to be a brown liquid with a typically
unpleasant smell that may even be nauseating and extremely difficult to bear,
and with a pH of 9; this indicates that the leachate is in an ageing phase and
therefore with a low concentration of metals, as high pH values do not favour
their solubilisation. As already mentioned, these tests were conducted in order to
determine the polymers’ specific absorption capacity for landfill leachate.
The tests aimed only to determine the polymers’ nominal absorption capacity
in a free state, i.e. left free to swell and expand without any limitation.
The equipment used in the tests consists of a graduated 100 ml beaker and
two-significant-figures precision scales. The tests entailed placing a given
quantity of leachate in the beaker, starting from 10 ml, and adding 1 g of
hydrogel until the absorbent material reaches its maximum retention capacity.
The subsequent tests then aimed to determine the maximum quantity of leachate
that can be absorbed in free-state conditions by using 1 g of polymers with the
gradual addition of leachate until it reaches full saturation.
The experimental tests showed that the polymers ensure a more than
satisfactory absorption capacity and also produce a significant reduction of the
unpleasant and malodorous smell released by the leachate [7–9].
The acetone drying test was then performed to determine product reversibility
and the possibility for its subsequent reuse as a superabsorbent material. This test
was carried out on three samples (1:10, 1:20 and 1:30) which, after developing
the entire equilibrium reaction, were inserted in a beaker with a quantity of
acetone and subjected to magnetic stirring. Finally, the acetone-leachate solution
was filtered and the sample placed in a 50°C oven for approximately 12 hours.
The samples were then seen to return to a semi-pure or glassy state and a second
absorption test was carried out with new quantities of leachate.
Moreover, the hydrogel can be used numerous times as a superabsorbent
material since its absorption capacity is not extinguished; this constitutes an
important solution to the problem of its disposal [10].
The results of the absorption tests indicate that, up to a ratio of 1:30, the
polymers are able to fully absorb the leachate without leaving any liquid residue.
Whereas, with a ratio of 1:40 part of the leachate remains in a liquid state even
after long periods of contact with the hydrogel [11].
The absorption capacity of superabsorbent polymers can be expressed as a
function of the degree of swelling and summarised in the following graphs (the
results are reported in Figure 3 and Figure 4 below).
Overall, the polymers’ specific absorption capacity for leachate
(approximately 1:30) is significantly lower than that recorded using
demineralised water (approximately 1:100).
This reduction in absorption capacity is most probably determined by
chemical interactions between the polymers and the numerous substances present
in the leachate.
Absorption
Capacity of
Swelling Leachate
Ratio
Figure 3: Absorption capacity as a function of degree of swelling.
Swelling comparison
Distilled water swelling

Swelling
Leachate swelling
Samples
Figure 4: Comparison of the absorption capacity in terms of swelling between

leachate and distilled water.
On the other hand, the isotropic compression tests made it possible to

determine the quantity of liquid released by this type of polymers when under
stress. The results are reported in Figure 5 and Figure 6 below.
Figure 5: Result of the isotropic compression test, expressed as a function of

water released, for the samples 1:50, 1:80 and 1:100 of hydrogel and
distilled water.
Figure 6: Result of the isotropic compression test, expressed as a function of

leachate released, for the samples 1:20 and 1:30 of hydrogel and
leachate.
These graphs show that, as the pressure of isotropic compression increases,

the sample is no longer able to release liquid because the water or leachate
remain trapped in the reticular structure of the superabsorbent polymer.
The isotropic compression test on the sample 1:20 (hydrogel and leachate)
points out that it releases no leachate under pressure; and the isotropic
compression test on the sample 1:50 (hydrogel and distilled water) points out that
it releases no liquid under pressure.
In conclusion, it is possible to estimate that the best concentration ratio
between hydrogel and contaminated effluent is 1:20.
3 Conclusions
Objective of this research was the creation of a “pad” containing within the
superabsorbent polymer blends, with a core made from a double layer of fluff
pulp of cellulose, in order to increase the absorbency (Figure 7).
Figure 7: Superabsorbent “pad” model.
The cotton layers, in fact, make the swelling pad be contained in certain
limits, in order to avoid problems of leakage of liquid absorbed by the hydrogels.
The fluff, made from wood and generated by cellulose fibers, is treated with
optical brighteners in order to obtain the maximum degree of absorbency.
Indeed, the cotton and/or cellulose can absorb water up to twenty-seven times
Hydrogels (white microgranules with polymer base) are positioned in the basal
zone of the cellulose fluff, where maximum amount of liquid is collected.
The ratio of the above mentioned materials is 1 gram of hydrogel every 6
grams of cellulose fluff.
A non-woven tissue (NWT), Spunbond type, was used as the upper diffusion
layer. The Spunbond is made from 100% polypropylene filaments, randomly
arranged and thermally welded. Finally, the external coating was made from a
polyethylene film, which acts as a containment barrier for the fluid, combined
with a layer of NWT.
Then, a test of adsorption has been made, by means of spilling a known
quantity of leachate over our pad.
From the above mentioned test, the maximum absorption value has been
determined for a pad of size 30x11, containing 3 grams of hydrogel and 18 of
cellulose fluff (respecting the ratio 1:6): 400 ml of leachate.
It means that 90 ml are absorbed by 3 g of the polymer (hydrogel optimal
swelling degree for leachate is 1:30), while 310 ml by 18 grams of fluff pulp
(absorption rate of the fluff against leachate is 1:20).
The calculation of the total absorption capacity of the pad was made by
applying the following formula:
At = (Pp – Pi) x As (1)
where:
- At is the total absorption capacity;
- Pp is the average weight of the individual absorbent pad;
- Pi is the average weight of non-absorbent materials;
- As is the specific capacity of absorption of the absorbent material.
The test has given good results, demonstrating applicability of superabsorbent
polymers positioned within a pad. Innovation consists in transforming physical
state of the waste itself, from a liquid status to a solid/stabilized one, without
changing the chemical properties.
References
[1] Perillo G. & Sorrentino F., Application of hydrogels in highly polluted
affluents. WIT Conference IX Sustainable City, Siena (Italy), 2014.
[2] Canziani R. & Cossu R., Modelli idrologici per la valutazione delle
quantita di percolato e suo controllo. Atti del 30 Corso di aggiornamento
in Ingegneria Sanitaria, 1985.
[3] Harsh D. C. & Gehrke S. H., Characterization of ionic water absorbent
polymers:determination of ionic content and effective crosslink density. In
Absorbent Polymer Technology, L. Brannon-Peppas & R.S. Harland Eds.,
Elsevier, Amsterdam, 1990.
[4] Aloys Huttermann, Lawrence J. B. Orikiriza & Hillary Agaba, Application
of Superadsorbent Polymers for improving the ecological chemistry of
degraded or polluted lands. Clean Journal, Weinheim, 2009.
[5] M. J. Zohuriaan-Mehr, Superadsorbent Polymer Materials. Iranian

Polymer Journal, Iran, 2009.
[6] Gervasoni Sonia, Discariche controllate: significato e utilizzo delle
discariche dopo l’uscita del decreto Ronchi (D.LGS. 22/97) e della nuova
direttiva comunitaria (1999/31/CE). Hoepli, 2000.
[7] Sirini P., Ingegneria sanitaria-ambientale. Principi, teorie e metodi di
rappresentazione, Mc-Graw Hill, 2002.
[8] M. Consiglio, V. Frenna & S. Orecchio, Il laboratorio di chimica. Edises,
2001.
[9] Gregorio Crini, Recent developments in polysaccharide-based materials
used ad adsorbents in wastewater treatment. Elsevier, France 2004.
[10] Yian Zheng, Yuntao Xie & Aiqin Wang, Rapid and wide pH-independent
ammonium-nitrogen removal using a composite hydrogel with three-
dimensional networks. Elsevier, China 2011.
[11] Jane Aiken & Loo-Teck Ng, Calcium delivery using UV polymerized
HEMA:NVP hydrogel in soil. 19th World Congress of Soil Science,
Australia 2010.
Section 5
Planning for risk
and natural hazards
An assessment of measures for the

prevention of the origin and consequences
of a selected group of exceptional events
in a territorial unit
J. Betáková1, R. Zeman1, T. Pavlenko2 & J. Dvorský2
1
Institute of Technology and Business in České Budějovice,
Czech Republic
2
Faculty of Security Engineering, University of Žilina, Slovak Republic
Abstract
Under the influence of society-wide developments there is an immediate need for
an imperative solution to the question of broad based integrated planning of
territorial development with a synergistic effect. Spatial management creates the
foundations for the harmonization and functional use of a territory. Its
development is negatively influenced by exceptional events originating on the
given territory. The incorporation of preventive measures into strategic documents
of spatial management provides an increase in security for the territorial unit. This
paper focuses on the assessment of specific preventive measures for the origin and
minimization of the consequences of exceptional events. Particular attention is
paid to a selected group of exceptional events, namely natural disasters. The aim
of the paper is, on the basis of suitably set criteria, to designate measures through
the method of multi-criteria decision-making. The purpose of selecting the most
suitable measures with the use of the multi-criteria decision-making method is to
see them put them into practice and directly incorporated into strategic territorial
planning documents.
Keywords: territorial plan, multi-criteria decision-making, exceptional event,
natural disaster.
doi:10.2495/SC150231
1 Introduction
Under the influence of overall social developments, it is clear that there is an
immediate need for urgent solutions to the current issues of broad based integrated
spatial development planning with a synergistic effect. Spatial management
creates conditions for the harmonization of land use. The development of an area
is negatively affected by crisis phenomena which occur in a particular territory.
The security of a territorial unit increases when preventive measures are
incorporated into zoning plans. In this paper attention is drawn to the current
situation with regards to territorial planning documents and points to the lack of
security which impacts on the sustainable development of cities and towns.
Sustainable development is closely dependent on the interconnection between a
municipality/city and its environment and the subsequent development of
perceptions in relation to the problems and challenges of humanity. The security
of the selected area is threatened by various crisis phenomena that occur in the
territory. By determining and selecting specific crisis phenomena which can
threaten the selected area, it is possible to propose preventive measures which will
increase the level of security for the given territory.
2 Current situation with regards to territorial

planning documents
In the Slovak Republic land planning deals with all aspects of our environment.
This includes the building of residences, infrastructure, and environmental
elements. The basic instrument of urban planning is a territorial plan which is
formed at different levels – regional territorial plan, land use plan of the
municipality and zoning plan. At present, these plans must adhere to clear rules
and provide order in the area. They focus on fair and balanced development. They
do not provide an exact template for how residential buildings or groups of
buildings are placed within the design. Rather, they provide a framework for
developments, both wanted and unwanted, based on the principles and limits set.
A concrete master plan addresses the spatial arrangement and functional use of
land. As part of the harmonization of these activities, the emphasis is placed on
caring for the environment, achieving ecological balance and ensuring sustainable
development. Attention is also paid to the careful use of natural resources and the
preservation of civilization and cultural values. The main task of a master plan is
to determine the limits of land use, focusing on the functional and spatial
arrangement of reconstruction and cultural interventions. The plan must include
the designation of protected territory, the premises for this, and the changes
required with regards to spatial and technical implications. The roles in developing
land-use plans, land-use planning documents and land planning documentation are
defined in Act No. 50/1976 Coll. of the Federal Assembly of the Czechoslovak
Socialist Republic on Land-use Planning and Building Order (Building Act).
Land-use planning documents are documents discussed and ordered under the
Building Act. It is a set of data for the purpose of land use planning which
incorporate methods of spatial planning. The documentation is processed in order
to verify which problems need to be solved in the area, to obtain information about
the area and to enhance solutions to the individual components of settlement [1].
Such planning documents and land planning documentation usually have one
major shortcoming – they insufficiently incorporate preventive measures against
emergency events. These preventive measures are not required under the Building
Act. As a result, the issue of safety in the processing of land documentation
remains in the background. This is unfortunate because there is a lack of emphasis
on risk management which is part of prevention and an essential element of crisis
management. The safety and protection of the population is only marginally
addressed in Act No. 42/1994 Coll. on the Civil Protection of the Population. In
Section 4, paragraph 3 it states: “When processing the master plan, the authorities
in cooperation with local offices must determine the scope of compulsory
constructions for civil protection”. According to Act No. 42/1994 Coll. on Civil
Protection, a territory must protect against emergencies of different characters. In
Section 3, paragraph 2 of Act No. 42/1994 Coll. on the Civil Protection of the
Population, the term emergency means natural disasters, accidents, second degree
public health emergencies or terrorist attack [2]. The need to incorporate
preventive measures into land-use planning documentation in the Slovak Republic
was incorporated in amendments to the Building Act. The amendments set forth
the future obligation of villages, towns and cities to develop master plans. These
obligations were set according to population size:
a) over 1,000 inhabitants by the end of 2020;
b) from 500 to 1000 inhabitants by the end of 2027;
c) up to 500 inhabitants by the end of 2034 [1].
3 Survey methodology and analysis of safety enhancing

preventive measures
In the present study, the focus is on preventive measures that can be incorporated
into spatial planning documentation. The research sample included 120
respondents. The respondents were those people responsible for spatial planning
in the municipalities in the Trencin region. The research was conducted between
March and June, 2015. The individual local authority representatives for urban
planning evaluated selected natural disasters on a scale of 1 to 10. The value 1
represented the smallest threat to a community, and the value 10 the greatest threat
to a community. The survey was conducted by means of a questionnaire which
was sent electronically. Based on the processed questionnaire, natural disasters
were chosen which specifically threaten the safety of the majority of the selected
areas. The aim of this study was to choose the most appropriate preventive
measures that increase the safety of the area and reduce the negative consequences
of natural disasters. The basic framework for examining this issue forms a bond
between the demands on territorial planning documentation to improve safety and
the use of possible preventive measures in the selected areas. Part of the objective
of the survey was to determine the necessary criteria under which the selection of
preventive measures should be carried out [3].
Logical methods of research, the multi-criteria decision-making method, and

the mathematical and statistical “analysis of variance” were applied in the article.
The processing of the “analysis of variance” is numerically intensive and was
therefore implemented with the support of the statistical software
STATGRAPHICS CENTURION XVII. The analytic-synthetic method was used
to examine various preventive measures and land planning documentation. The
actual processing was divided into the following stages:
 analysis of planning documentation and practical experience compatible
with the implementation of selected tools of spatial management and
spatial impact on the development of settlement structures;
 calculation of selection characteristics (mean, variance) for the identified
natural disasters on the basis of the assessments of mayors from
settlements in the Slovak Republic as part of this case study;
 determination of the suitability of use of the parametric or non-parametric
test of the mathematical method “analysis of variance” for the assessment
of natural disasters given the conditions imposed on their
implementation;
 testing of the mean values of the identified natural disasters in selected
groups using the parametric F-test and non-parametric Kruskall-Wallis
test;
 determination of whether the mean values of the mayors’ assessments of
the identified natural disasters in groups according to the population
criteria, are homogenous or comparable;
 evaluation of preventive measures within the context of sustainable
development through the use of a modified decision matrix method
(Forced Decision Matrix Method – FDMM);
 summarization of conclusions for the practical application of a
progressive approach to the assessment of the development potential of
settlement formations [4].
The comprehensive research on incorporating preventive measures into urban
planning documentation was conducted within the framework of project KEGA
No. 005 DTI-4-2014 Sectorial integration of spatial impacts of the safety
management of environmental risks. In this study, the focus is on natural disasters
in which there is an undesirable release of accumulated energy or materials as a
result of adverse forces of nature. This includes hazardous substances or
destructive factors that can have a negative impact on life, health or property. An
area affected by the effects of a natural disaster is characterized by the
displacement of a large number of people, destruction of and damage to buildings,
industrial facilities, bridges, disruption of transport, destruction of cultural
monuments and protected natural formations. After the effects of a natural disaster
the affected territory may also be flooded, thereby affecting a large number of
animals and resulting in deteriorating health conditions. These negative effects
help us to categorize natural disasters as follows:
1. floods;
2. hail storms;
3. very strong winds;
4. landslides;
5. heavy snow and avalanches;
6. extensive icing;
7. earthquakes [5].
The goal of applying the statistical method of “variance analysis” was to find
out whether the assessment of the threat an identified disaster poses, as determined
by the competent people for planning within a municipality planning in relation to
population size, is comparable or it has statistically significant differences. The
competent people in the area of spatial planning were divided into three groups.
The first group consisted of municipalities with populations of less than one
thousand inhabitants. The second group consisted of municipalities with a
population of 1001–2000 inhabitants. The last group covered municipalities with
a population greater than 2000 inhabitants. According to the criterion of
population, it was determined that a statistically credible sample would be 40
people from each group. Firstly, the basic statistical characteristics of the
evaluation of natural disasters were calculated. In all three groups floods and
flooding were considered to pose the greatest threats. Landslides and hail storms
also received a high average assessment. To carry out a parametric or non-
parametric “analysis of variance” test requires the condition of homoscedasticity
to be met i.e. the identity of variances of natural disasters in each group and the
probabilistic model of the usual assessment distribution in each group.
Homoscedasticity was verified by using the Bartlett’s test. For all the selected
groups the resulting p-value was higher than the pre-set significance level of 0.05
for all natural disasters. The condition of homoscedasticity was therefore met. The
condition of the normal distribution of values was done by the Pearson x2 test.
From the results of the Pearson x2 test, at a significance level of 0.05, it can be
concluded from the resulting p-values of assessment of natural disasters that hail
storms (2), very strong winds (3) and earthquakes (7) did not meet the probability
model of normal distribution. For these natural disasters the non-parametric
Kruskall-Wallison test was used. For the other natural disasters – floods (1),
landslides (4), heavy snow and avalanches (5) and extensive icing (6) – the
parametric F-test was used. The results are given in Tables 1 and 2 [6].
Table 1: Parametric F-test of selected natural disasters.
Selected natural F-test

disasters (p-value)
2. 0.019
3. 0.000
7. 0.001
Table 2: Non-parametric Kruskall-Wallis test of selected natural disasters.
Selected natural Kruskall-Wallisov

disasters test (p-value)
1. 0.401
4. 0.307
5. 0.014
6. 0.038
The results of the analysis of variance for the assessment of selected natural
disasters identified by the competent authorities for the area of spatial planning in
the Slovak Republic from Table 1 and Table 2 show that:
 with 95% reliability, the statistical assumptions about the homogeneous
or comparable evaluation by the people responsible for spatial planning,
according to the selected population criteria, is accepted with regards to
floods and landslides.
 with 95% reliability, the homogeneous statistical assumptions or
comparable evaluation by the people responsible for spatial planning,
according to the selected population criteria, cannot be accepted for other
natural disasters.
The survey results indicate that there are differences in the assessment by the
people responsible for spatial planning in communities for landslides and floods.
For negative effects of all these natural disasters it is possible to propose
preventive measures. This paper focuses on the survey results, on the measures
that can and should be taken against floods and landslides. These natural disasters
are based on statistical processing per the most commonly occurring natural
phenomena.
Floods are a natural phenomenon which is almost impossible to prevent. With
technical and organizational measures it is possible in some cases to prevent or
substantially reduce the damage. The method implemented for the protection of a
selected area depends on what causes the floods, the economic importance of the
area and the size of the area to be protected. Figure 1 shows which flood protection
measures can be taken [5].
Agricultural and forestry measures – the primary function of these measures is
to increase the retention of moisture in the basin and to reduce runoff. In severe
cases additional flood protection is provided by technical measures. By adjusting
flows, the flow route is regulated. In order to do so a suitable longitudinal profile
and sufficient flow profile within the channel need to be created. The main aim of
flow adjustment is to protect the habitat, communications, agricultural areas and
to stabilize the riverbed. There are a multitude of ways how to adjust flows e.g.
hardening the bottom of a riverbed, (non-)vegetative compaction of river banks,
or combinations thereof. There are two forms of protective channel which can be
used as a preventive measure, namely retaining channels or relieving ones.
Retaining channels are designed to collect torrential rainwater which flows from

Figure 1: Preventive protection measures against floods.
surrounding ridges and hills. Relieving channels are used to discharge that part of
torrential rainwater which could potentially overflow into a protected area.
Protective reservoirs have proved to be an effective preventive measure when
mapping out the complex tasks associated with flood management [5].
Landslides are another very significant natural disaster threatening the security
of territorial units. A landslide is a mass movement of soil due to gravitational
effects on mountains and slopes. Landslides occur for a variety of reasons. They
destroy the human environment, destabilize linear buildings, damage roads,
highways, railways, pipelines, power lines and forests. Drainage of a potential
landslide or existing landslide area is an effective preventive measure. On the basis
of the comprehensive examination of the survey it is suggested that the following
precautions are undertaken (see Figure 2) [5].
Figure 2: Preventive measures.
The adjustment of a slope must be carried out simultaneously with subsurface

slope drainage. By doing so, the volume of earthworks is reduced. The slope
adjustment can involve moderating a slope, loading embankments and/or slope
easing. The planting of forest vegetation fulfils two objectives with regards to
slope stabilization. It dries out the surface layer and mechanically fixes the
landslide with an array of deep roots. Frames, retaining walls, pile walls, anchoring
and stabilizing ribs are the main forms of technical stabilization. Additional rock
reinforcement has the ability to increase shear strength and therefore contribute to
the stability of the slope [5].
By selecting the appropriate preventive measures as presented in this paper, it
is possible to increase the safety of a territorial unit. In order to determine which
measures are the most appropriate measures a modified method of the decision
matrix will be used (FDMM – Forced Decision Matrix Method).
4 Identifying the most appropriate measures by a modified

method of the decision matrix
Measures that can best be implemented in the territorial units of the Slovak
Republic will be selected according to established criteria. The established criteria
are based on the main objective of improving the safety of the territorial units.
Increased levels of safety for the territorial units can be achieved through the
incorporation of preventive measures into the strategic land use planning
documents. In doing so, it is necessary to take into account the efficiency of a
measure which is to be applied and the cost of the investment in it. A very
important role in this issue is the time it takes between building or put into place a
selected measure and the actual launch or coming into effective of the measure.
On the basis of the objective above, criteria were established in consultation with
urban planning authorities:
 C1 – the ability to integrate in spatial planning documentation;
 C2 – measure efficiency;
 C3 – financial requirements;
 C4– the time involved in building and bringing into operation of a
selected measure [7].
Through a modified method of the decision matrix (FDMM – Forced Decision
Matrix Method) it is necessary to determine the weights of the individual criteria
by paired comparison. For the two criteria in the paired comparison, the criterion
marked “1” is more important for the decision, whereas the criterion marked “0”
is less important. Table 3 lists the compared criteria and gives the determined
weights for each criterion accordingly [8].
Table 3: Paired comparison of criteria.
Criteria C1 C2 C3 C4 Sum Weight

C1 - 0.0 0.0 0.0 0.0 0.000
C2 1.0 - 1.0 1.0 3.0 0.500
C3 1.0 0.0 - 0.0 1.0 0.167
C4 1.0 0.0 1.0 - 2.0 0.333
The second step in the processing method of multi-criteria decision making is

based on paired comparisons of each criterion for the individual preventive
measures. The results of the pairwise comparison of the preventive measures are
summarized in Tables 4 and 5. Table 4 presents the rated preventive measures that
can be incorporated in the case of flooding.
Table 4: Results of the comparison of preventive measures against floods by

FDMM.
Assessment of preventive measures

Criteria Weight
1 2.1 2.2 2.3
C1 0.000 0.000 0.333 0.500 0.167
C2 0.500 0.000 0.167 0.333 0.500
C3 0.167 0.500 0.333 0.167 0.000
C4 0.333 0.000 0.500 0.333 0.167
Weighted sum 0.084 0.306 0.305 0.306
Percentage of (%) 8.4 30.6 30.5 30.6
Order 3. 1. 2. 1.
On the basis of the modified method of the decision-making matrix, the most
appropriate preventive measures in the event of floods is criterion 2.1 – flow
adjustments, and criterion 2.3 – protective reservoirs. Table 5 presents the rated
preventive measures that can be incorporated in the event of landslides.
Table 5: Results of the comparison of preventive measures against landslides by

FDMM.
Assessment of preventive measures

Criteria Weight
1. 2. 3. 4. 5.
C1 0.000 0.200 0.100 0.000 0.400 0.300
C2 0.500 0.200 0.100 0.000 0.400 0.300
C3 0.167 0.400 0.200 0.300 0.000 0.100
C4 0.333 0.400 0.100 0.000 0.300 0.200
Weighted sum 0.300 0.117 0.050 0.300 0.233
Percentage of (%) 30.0 11.7 5.0 30.0 23.3
Order 1. 3. 4. 1. 2.
On the basis of the modified method of the decision-making matrix, the most
appropriate preventive measures for landslides are criterion 1 – slope adjustment,
and criterion 4 – technical stabilization measures.
5 Conclusion
In this paper – based on a survey of those people responsible for spatial planning
in municipalities – we identified specific natural disasters which can seriously
endanger the safety of a selected area. Using the mathematical method of analysis
of variance, we came to the conclusion that in all the groups of municipalities,
according to the population criteria, the most significant natural disasters were
considered to be flooding and landslides. In addition to identifying the most
significant natural disasters, preventive measures were proposed. Through a
modified method of the decision making matrix (FDMM – Forced Decision
Matrix Method), one of the multi-criteria methods indicated the most satisfactory
measures which met the established criteria. For floods, flow adjustments and
protective reservoirs were the preferred preventive measures. For landslides the
preferred preventive measures were slope adjustment and technical stabilization
measures. By applying these preventive measures into urban plans for improving
the safety of a selected area, the likelihood of a crisis phenomenon and its negative
effects will be reduced.
Acknowledgements
This work was carried out under the grant project – KEGA Project 005 DTI-
4/2014. The authors would like to thank the Ministry of Education of the Slovak
Republic and the Faculty of Security Engineering, University of Zilina for their
support.
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Linkages among the challenges in

mainstreaming climate change adaptation
into local land use planning
S. C. Cuevas
University of Queensland, Australia
Abstract
Adaptation is a central issue in climate change research and crucial questions on
the subject include the challenges that affect its operationalization at the local
scale. However, information on how to examine these challenges and determine
their characteristics is limited. Using a modified version of Ostrom’s Institutional
Analysis and Development framework, this paper addresses this gap through a
case study in Albay, Philippines, with special interest on the challenges in
mainstreaming climate change adaptation (CCA) into local land use plans. The
paper developed 20 quantitative indicators to examine the nature of and linkages
among these challenges. The mainstreaming indicators were computed using data
gathered from a survey that incorporated a scorecard to quantify the respondents’
answers; the survey was conducted among the key players in local land use
planning in Albay. Correlation analysis showed that there are strong linkages
between the challenges associated with local leadership, local government
prioritization, and local government’s commitment to CCA. Analysis of the
mainstreaming indicator scores suggests that the challenges can obstruct
mainstreaming of CCA at varying degrees of severity; when overcome, they
become significant opportunities for the effective operationalization of the
approach. The paper offers analytical tools that have the potential to help planners
make informed decisions concerning the challenges in mainstreaming CCA, and
formulate practical strategies for its implementation.
Keywords: modified IAD framework, mainstreaming indicators, mainstreaming
challenges, local government prioritization, local leadership, commitment to
climate change adaptation.
doi:10.2495/SC150241
1 Introduction
Understanding the barriers to climate change adaptation (CCA) has never been
more important than the present, when adaptation focus is shifting from
determining whether there is a need to adapt, to how to adapt [1, 2]. Thus, scholars
have been expanding the knowledge base on the subject to fully comprehend the
adaptation process [3]. Consequently, the topic on the barriers to adaptation has
created its own niche in adaptation research [1, 4–6].
This paper contributes to CCA research by advancing the discussion on the
linkages and interdependencies among the barriers to adaptation, through a case
study on mainstreaming CCA into the local land use planning in Albay,
Philippines. Mainstreaming is an adaptation approach that integrates climate
change concerns into development planning, policy and decision-making
processes and procedures [7, 8]. It synergizes CCA and development goals and
agenda, thus, is gaining popularity especially in developing countries [9].
Consequently, understanding the nature of the barriers to mainstreaming CCA
would be a substantial undertaking to ensure effective operationalization of the
approach.
The paper continues with a brief discussion of the interconnections among
barriers to adaptation. Afterwards, a background on the climate change concerns
in the Philippines is presented. Next, the four-stage mixed methodology the
research devised to examine the case study is discussed. This includes: (1) how
the Institutional Analysis and Development (IAD) framework was modified to suit
the analytical needs of this CCA research (IAD-CCA); and (2) how the
mainstreaming indicators were developed. The results of the correlation analysis
and the computed values of the mainstreaming indicators are then examined, along
with some qualitative analysis on the data. This paper concludes that: (1)
mainstreaming challenges are liked to each other; (2) at the city/municipal level,
there are strong linkages among local leadership, local government prioritization
and the local government’s commitment to CCA in relation to mainstreaming
CCA; and (3) a challenge can be a significant barrier or opportunity to another
challenge.
2 Barriers to adaptation
Among the critical questions in adaptation research pertain to the barriers
obstructing, delaying, diverting or blocking the adaptation process [1]. A number
of studies: (1) identified these barriers; (2) determined their nature and origin; and
(3) investigated the conditions encompassing the barriers, among others [5, 6, 10,
11]. Still, more information is needed to fully understand the complexities in
overcoming these barriers and effectively operationalizing an adaptation measure;
such information includes how these barriers are interconnected [6, 12].
Literature suggests that the barriers are linked to each other. For example, the
lack of awareness and knowledge of climate change issues is a significant barrier
to adaptation [13]. With no understanding of the climate risks, local leaders tend
to prioritize climate change the least [14]. Accordingly, the lack of local leadership
that supports CCA can significantly impede implementation of CCA measures [3,
10]. Without this leadership, it is likely that financial, as well as community,
support for adaptation activities will be also scarce [5, 6, 12]. The lack of funds,
in turn, can limit the human resources that focus on adaptation initiatives [13].
Meanwhile, the absence of community support indicates people’s lack of
willingness to accept and abide by the rules and regulations related to CCA [5,
10].
Thus, some barriers to adaptation are interdependent; though their
interdependencies differ in degrees and intensities [6]. Essentially, it is not
sufficient to just identify the barriers to adaptation; it is equally important to
understand their linkages to one another [11]. Knowledge on how the barriers are
interconnected can aid in designing strategies on how to overcome these barriers.
Such is the aim of the case study conducted in the province of Albay, Philippines.
3 Climate change impacts in the Philippines

The Philippines is a developing country in Southeast Asia with 92.3 million people
as of census 2010 [15]. It is visited by an average of 20 typhoons a year and is
considered as the world’s third most vulnerable country to extreme weather events
(i.e. typhoons) [16, 17]. Of late, the country has been experiencing intensified
typhoons due to climate change [18]. Consequently, the Philippines is particularly
vulnerable to present and future climate risks [16]. This notion was proven when
typhoon Yolanda (international name: Haiyan) – the most powerful typhoon in
recent history – struck the Philippines in November 2013 [19]. Impacts of
Typhoon Yolanda included: 6,300 people dead; 28,689, injured; and 1,061 people
missing. It distressed around 16 million people; damages were assessed at PHP
89.6 billion (USD 2.1 billion) [20].
Early on, the Philippines has recognized the need to adapt to climate change.
Thus, in 2009, it enacted the Climate Change Act (Republic Act (RA) 9729), a law
that institutionalized mainstreaming of climate change into the government policy-
making, planning, and decision-making processes. A year later, it passed the
Disaster Risk Reduction and Management Act (RA 10121), a legislation that
mandated for mainstreaming of CCA and disaster risk reduction (DRR) (i.e. CCA-
DRR) into the development decision-making and planning processes of both the
national and local governments units’ (LGUs). In 2011, the People’s Survival
Fund (RA 10174) was institutionalized to provide a long-term financial stream for
CCA.
The local government units (LGUs) in the Philippines are composed of
provinces, cities, and municipalities (towns). A province is the main local political
unit comprising of municipalities and cities [21]. Among the LGUs in the
Philippines, Albay province is among the most active in advancing local CCA-
DRR initiatives because of its high vulnerability to climate-related disasters [16,
22]. To adapt and build communities resilient to climate change, the Provincial
Government of Albay has implemented some of the best CCA-DRR practices (i.e.
local CCA-DRR policies, projects, and programs) in the country [22]. In fact, the
“Albay Declaration on Climate Change Adaptation” initiative in 2007 was key to
the enactment of the Climate Change Act [23]. Accordingly, the Albay experience
is expected to bring robust information relating to local mainstreaming efforts.
4 Methodology
This section presents the four-stage mixed methodology devised to investigate the
challenges in mainstreaming CCA into Albay’s local land use planning process
(Figure 1). This study’s fundamental analytical tool was Ostrom’s [24]
Institutional Analysis and Development (IAD) framework. Mainstreaming CCA
is essentially an institutional concern, thus, should be analyzed under the
institutional lens [9, 25]. Still, the IAD needed to be modified to accommodate
some specific
needs of the research. Changes were applied in Stage 1.

Figure 1: Four-stage mixed methodology flow chart [26].
The IAD has five fundamental elements, namely: (1) the action arena, the
central variable where institutional settings are analyzed; (2) the exogenous
variables (i.e. biophysical conditions, community attributes, and rules-in-use) that
affect the action arena; (3) the patterns of interaction generated by the actors and
institutional arrangements in the action arena; (4) the outcomes resulting from
these patterns of interaction; and (5) the evaluation criteria that guide how the
patterns of interactions and outcomes are examined [24, 27].
In this study, the institutional arrangements in the land use planning system and
the actors who follow these arrangements were analysed in the action arena.
Critical to this analysis were the evaluation criteria of the IAD, as they determined
how the patterns of interaction and their outcomes were examined. Hence,
following the examples of Rudd [28], Ratner et al. [29] and Jones et al. [30], the
study modified the evaluation criteria to make them more effective in the analysis.
Specifically, the evaluation criteria were substituted with factors that affect the
effective on-the-ground application of the mainstreaming endeavour (i.e. 20
mainstreaming challenges). The mainstreaming challenges were identified
through an extensive range of adaptation literature on: (1) the barriers, constraints,
and obstacles to CCA and mainstreaming CCA; and (2) the drivers or enablers of
adaptation [4, 6, 10, 13, 14, 31, 32]. Consultations with key informants confirmed
the relevance of these challenges. The challenges were spread across three main
classifications, namely information, institutional, and resource capacity groups.
Consequently, the IAD was transformed into the IAD framework as applied to
mainstreaming CCA research (IAD-CCA) (Figure 2).
Figure 2: Institutional Analysis and Development framework for

mainstreaming climate change adaptation (IAD-CCA) [26].
The IAD-CCA framework guided the designs of the succeeding stages in the
methodology. In particular, the queries in the survey, conducted in Stage 2, were
patterned from the 20 mainstreaming challenges of the IAD-CCA evaluation
criteria. Using a purposive sampling technique, the survey was conducted among
the key members of the local land use planning system in Albay. Particularly, the
respondents were representatives of institutions involved in the actual preparation,
review and approval of the local land use plans in Albay and its two LGUs (i.e.
Legazpi city and Camalig municipality). Snowball sampling was applied for
additional survey respondents (Table 1).
Table 1: List of survey/interview respondents.
Scale Representative/Institution
City Development Council (City Mayor’s Office)
Legazpi City Planning Development Office
Legazpi City (4)
Legazpi City Disaster Risk Reduction Management
Council
Camalig Planning Development Office
Camalig Municipality (3)
Camalig Disaster Risk Reduction and Management Officer
Provincial Planning and Development Office
Housing and Land Use Regulatory Board
Provincial Agriculturist
Provincial Land Use Department of Interior and Local Government
Committee Members (11) Department of Environment and Natural Resources
Albay Public Safety and Emergency Management Office
Environment and Management Bureau
Mines and Geosciences Bureau
Note: Numbers in the “Scale” column represent the number of respondents.
Scorecards were incorporated in the survey queries to quantify the answers of

the respondents. Specifically, each question had 3 answer choices that described
the conditions surrounding the mainstreaming challenges; a respondent gave either
1 (worst condition), 2 (moderate condition), or 3 (best condition) score on a query.
As a result, quantitative indicators (i.e. mainstreaming indicators) that had values
between 1 ≤ n ≤ 3 were developed. The answers of all the respondents were given
equal weights. Meanwhile, Cronbach’s alpha statistics were computed to test for
the reliability of the indicator estimates.
The mainstreaming indicator scores then directed the flow of discussion during
semi-structured in-depth interviews in Stage 3; line of questions focused on the
indicators with scores closest to either 1 or 3. Interviews were conducted among
the same set of survey respondents. In effect, results from the interviews confirmed
and supported the mainstreaming indicator scores. However, the interviews also
raised additional issues and concerns regarding the mainstreaming process. These
(issues and concerns) were clarified in Stage 4 through document reviews and
consultations with key informants. Afterwards, all the information gathered were
analyzed based on the IAD-CCA framework structure (i.e. patterns of interaction
and outcomes examined through the evaluation criteria). Fundamentally, the
complete methodology allowed for both quantitative and qualitative assessments
on the case study.
5 Mainstreaming challenges: linkages and state-of-play

This section presents the results of the pair-wise correlation analysis on the survey
data, by provincial and city/municipal levels, as well as the interpretations of the
computed mainstreaming indicator scores.
5.1 Correlation among the mainstreaming challenges
Correlation coefficients describe the degree of relationships between two

variables. A coefficient equal to 1 (-1) signifies a perfect direct (inverse)
relationship, while a coefficient equal to zero implies no relationship (Moutinho
[34]). In this section, analysis was limited to the mainstreaming challenges with
correlations ≥ 0.7 (i.e. high correlations or strong association).
Relatively high frequencies of strong linkages between resource capacity
challenges and the other challenges were observed. To illustrate, at the provincial
scale, stability of funds and access to funds each had strong relationships with
seven other challenges; availability of experts with four; and availability of
resources and availability of funds were each strongly linked to two other
challenges. On the other hand, local government prioritization and institutional
incentives were each strongly connected to three other challenges; while the
translation of information, credibility and reliability of information, and
knowledge and awareness challenges were each strongly associated to two others.
Community support was only strongly linked to local government prioritization.
This trend was observed also at the city/municipal scale, though it was less
pronounced (Tables 2 and 3).
This set of information can be used in designing schemes for mainstreaming
CCA. For example, to affect an extensive list of challenges, strategies focused on
improving access to resources can be devised. A similar effect may also be
possible by raising the availability of experts. However, using correlation results
in making decisions should be done with caution and be supported by other sets
of data and evidence. This is because although correlation suggests association
between variables, it does not explain causation [34].
Another noteworthy observation was the tripartite linkages among local
leadership, commitment to CCA and local government prioritization challenges at
the city/municipal scale (Table 3). Local leadership pertains to the existence of a
climate change champion in the locality, while local government prioritization
denotes the extent by which the CCA is prioritized by the local government.
Lastly, commitment to CCA relates to the (non)existence of a legislative
framework for local adaptation. This tripartite relationship suggests that
addressing one challenge will affect the other two, and vice-versa. Also, the action
to overcome one (challenge) can be magnified by the possible ripple effects of the
other two (challenges) on the rest of the mainstreaming challenges. This notion is
confirmed and further explored in the next section.
5.2 How do the challenges affect mainstreaming of climate change

adaptation?
Computing for the Cronbach’s alpha statistics is a common method of measuring

the reliability of estimates for indices; the accepted values of alpha vary between
0.70 to 0.95 [35]. Cronbach’s alpha statistics for the provincial and city/municipal
datasets registered at 0.9487 and 0.9001, respectively, suggesting reliable
estimates for the mainstreaming indicator scores.
Table 2: Mainstreaming indicators with correlation > 0.70, provincial level.
Mainstreaming indicator Score Mainstreaming indicator

Translation of information 0.753* Credibility and reliability of information
Local government prioritization 0.725* Community support
Institutional incentive 0.776* Translation of information
0.709* Knowledge and awareness
0.745* Local government prioritization
Access to funds
0.815* Institutional incentive
0.899* Availability of funds
0.740* Credibility and reliability of information
0.745* Knowledge and awareness
Stability of funds 0.847* Institutional incentive
0.899* Access to funds
0.745* Local government prioritization
0.765* Institutional incentive
Availability of experts
0.706* Stability of funds
Availability of human resources
0.713* Stability of funds
*Specifies the significance level of correlation coefficients at the 5% level or better (i.e. 95%
confidence level).
Table 3: Mainstreaming indicators with correlation > 0.70, city/municipal level.
Mainstreaming indicator Score Mainstreaming indicator

Translation of information 0.750 Communication of information
Organizational cohesion 1.000* Access to information
Organizational cooperation arrangements 1.000* Availability of information
Commitment to CCA 0.750 Leadership
1.000* Leadership
Local government prioritization
0.750 Commitment to CCA
Institutional incentive 0.917* Knowledge and awareness
Availability of funds -0.750 Translation of information
-0.750 Translation of information
Access to funds
0.730 Communication of information
0.710 Knowledge and awareness
Availability of experts
0.730 Leadership component
0.730 Local government prioritization
0.750 Availability of funds
Availability of human resources 0.750 Access to funds
0.730 Stability of funds
*Specifies the significance level of correlation coefficients at the 5% level or better (i.e., 95%
confidence level).
Note: CCA – climate change adaptation.
The indicator scores reflected the conditions encompassing the mainstreaming

challenges at the provincial and city/municipal scales. The interviews justified the
scores and revealed an interesting characteristic of the mainstreaming challenges.
That is, the challenges exist in varying levels that depict the degrees of their
impacts on the mainstreaming process. To illustrate, indicators with scores of 1.0
≤ n < 2.0 comprise the first level or the primary barriers; 2.0 ≤ n < 2.25, second
level barriers; 2.25 ≤ n < 2.5 third level barriers; and scores of ≥ 2.5 composed the
fourth-level or those challenges that have been overcome and have become
opportunities for mainstreaming.
Continuing with the discussion from the last section, the leadership indicator
was considered as an opportunity in Albay because of the existence of a climate
change champion (i.e. Provincial Governor Jose Salceda, the chief executive
officer of Albay) (Table 4). The actions and initiatives of Governor Salceda on
CCA matters were recognized not only within the Philippines, but in the
international community as well. Thus, he was acknowledged by the United
Nations International Strategy for Disaster Reduction as a “Senior Champion” of
CCA and DRR in 2010 and one of the “Champion for Making Cities Resilient”
[36, 37].
Table 4: List of selected opportunities for mainstreaming in Albay.
Mainstreaming indicator Provincial City/Municipal

Knowledge and awareness 2.70 2.69
Leadership 2.67 2.57
Commitment to climate change adaptation 2.71 2.43
Community support 2.58 2.70
Local government prioritization 2.77 2.57
Institutional incentive 2.81 2.86
Under the leadership of Governor Salceda, the Provincial Government of Albay

enacted local legislations that institutionalized CCA as a local government priority
[16, 38]. Such legislative framework for CCA in Albay established a local
government committed to CCA. Accordingly, the local government prioritization
and commitment to CCA indicators were assessed as opportunities in the province
(Table 4). In addition, all the respondents assessed the planners and decision-
makers in Albay to have knowledge and awareness on climate change issues; they
attributed this to the influence of the climate change champion. The increased
understanding of the climate risks and the benefits from CCA, in turn, incentivized
the planners and decision-makers to apply the mainstreaming approach [39].
Meanwhile, the combination of all the CCA efforts gained the support of the
community, as reflected in the participation of the community members on the
CCA-related activities, programs, and projects [23]. Thus, as the correlation
analysis suggested, local leadership did have a strong linkage with the other
mainstreaming challenges. As an opportunity, local leadership was key in
overcoming the other challenges in local mainstreaming of CCA.
6 Conclusion
In this paper, mainstreaming challenges are the factors that affect or influence the
effective operationalization of the mainstreaming measure. They can either be
barriers, when they impede the effectively operationalization of mainstreaming, or
opportunities, when they have been overcome and have positive effects on the
other challenges. The study devised a four-stage mixed methodology that
classified these mainstreaming challenges into three capacity groupings –
institutional, information, and resource. Through this methodology, quantitative
data were collected, allowing correlation analysis to be conducted. Furthermore,
quantitative mainstreaming indicators that can assess a challenge’s degree of
impact on the mainstreaming process were also developed. Thus, the paper offers
analytical tools that have the potential to help planners make informed decisions
concerning the challenges in mainstreaming CCA.
More importantly, the paper provided empirical evidence on the direct linkages
among the mainstreaming challenges. It showed that these linkages can exist at
varying degrees (i.e. strong) and different forms (i.e. tripartite relationships).
These sets of information can help planners and decision-makers formulate
practical strategies for operationalizing CCA mainstreaming and other adaptation
measures and approaches.
Acknowledgement
The author is grateful for the support of the CSIRO-UQ INRM PhD Scholarship.
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Assessment of selected risks in the process

of the creation and preparation of a
municipal territorial plan
J. Betáková1, R. Zeman1, J. Dvorský2 & T. Pavlenko2
1
The Institute of Technology and Business in České Budejovice,
Czech Republic
2
Faculty of Security Engineering, The University of Žilina, Slovakia
Abstract
A territorial plan not only resolves the complex spatial arrangement and
functional use of a territory but also creates the prerequisites for the permanently
sustainable development of a municipality. Activities involved in territorial
planning such as preparation, processing, discussion and approval of the
territorial plan, have associated risks which can significantly impact on the
quality of life of residents. A process of risk assessment and the subsequent
incorporation thereof into strategic documents on territorial management can
provide increased security for the territorial unit. On the basis of a survey
possible risks are identified and assessed using a method of mathematical
statistics known as “analysis of variance” (ANOVA). The risks are identified by
determining the margins of acceptability using the “scoring method” in
combination with a risk map. On the basis of the analysis the resulting risks are
divided into acceptable and unacceptable risks. For unacceptable risks it is
necessary to approve and incorporate preventive measures directly into the
municipality’s territorial planning documentation.
Keywords: assessment, risk, risk management, testing, territorial plan.
1 Spatial planning documentation as a tool for sustainable

community development
Sustainable development means a targeted, long-term and complex process
which affects all aspects of life (cultural, social, economic and environmental), at
doi:10.2495/SC150251
all levels (local, regional, global), within a community (city, region, country,
international community) that meets the material, social needs and interests of its
people. At the same time, it eliminates or significantly reduces interventions,
threats, damage or destruction to those aspects of life or life itself by seeking to
increase the safety of citizens, through the reasonable use of its resources and the
protection of cultural and natural heritage [1].
In 2000, the National Council of the Slovak Republic for the first time
enacted a definition of territorial development. It defined it as being development
that sustainably satisfies the basic needs of the people of the country. Under
conditions of declining biodiversity it must also guarantee optimal spatial
arrangements and functional land use while maintaining environmental safety.
This includes the durability of buildings and equipment, the creation and
preservation of territorial systems for ecological stability, the economical use of
natural resources and the protection of the nation´s natural and cultural heritage
[2].
Land use planning is an essential tool of State environmental policy. As a tool
it systematically and comprehensively addresses spatial arrangements and
functional land use. It also determines the principles by which this is done and
coordinates the proposal of substantive and temporal activities which affect the
environment, ecological stability and cultural values of the area, including
territorial development and the landscape [3].
Table 1: Hierarchy of official bodies responsible for spatial planning in the

Slovak Republic.
Administrative structures and processes Planning tool

Planning
Approval Assessment level
Procurer
authority body
Government Urban development
MTCRD* State
of SR concept of SR
Autonomous Autonomous Regional spatial
MTCRD* Region
region region plan
Cadastral Municipal spatial
Municipal District area plan
Municipality
council authority
Zone Zone spatial plan
*
MTCRD – Ministry of transport, construction and regional development
Spatial planning is based on the integration of knowledge of several

disciplines (philosophy, sociology, history, archaeology, ethnography,
architectural and local planning, ecology and other natural sciences). Where
relevant, both civic organizations and NGOs alike should be involved in the
spatial planning process [4]. Under the prevailing conditions, the task is to ensure
the optimal use of land, sound financing, processing and the application of
spatial planning documentation which reflects the demands of all stakeholders

(architects, economists, sociologists, environmentalists, investors, and especially
citizens). This often includes the resolution of long-term unresolved land
ownership issues [5].
In order to comprehensively address the spatial arrangements and functional
use of land, spatial planning documentation must reconcile the interests and
activities which affect land development, the environment and ecological
stability. In the Slovak Republic responsibility for this lies at different levels – at
State, regional and municipal level and their official administrative bodies [6].
The process of preparing a spatial plan (SPN) or land planning documentation
(LPD) consists of following steps:
 proposal put forward for  concept;

community SPN;
 opinion of the contracting
 selection of qualified persons authority;
for preparation of LPD;
 proposal for community SPN
 preparatory work; put forward;
 selection of a person in charge  public hearing on SPN proposal;
of processing PD;
 further consideration of SPN
 surveys and analyses; proposal;
 discussions;  approval of municipal SPN.
2 Survey methodology and the application of “analysis

of variance” to assess risks in the process of municipal
zoning plans
This study focuses on the risks that may arise in the process of preparing and
implementing spatial planning documentation for a community. The identified
risks in the Slovak Republic were assessed by competent representatives in local
planning authorities or communities. The aim of this research is to analyse
selected risks associated with the development of zoning plans in municipalities
of the Slovak Republic according to population size – small communities with
up to 1000 inhabitants; medium-sized communities with 1000–2000 inhabitants;
and larger communities with over 2000 inhabitants. Each group had a
representative number of respondents (40) from persons responsible for spatial
planning.
The basic framework for examining the issue forms a bond between the
continuity of land development and actual potential use of land in a territorial
area. Part of the objective of the survey was to identify unacceptable risks and
their potential adverse effects on the quality of life and value systems of
individual citizens.
For the analysis logical research and comparative methods are applied. The
analytic-synthetic method was used for examining the various instruments of
spatial management. The methods of induction and deduction were applied for
the formulation of the conclusions. The basis of the research methodology
assumes the principle of multi-level comprehensive analysis of selected activities
and factors influencing the development of settlement structures. The actual
processing is divided into three developmental stages:
 analysis of theoretical knowledge and practical experience compatible
with the implementation of selected spatial management tools and their
impact on the spatial development of settlement structures;
 analysis, quantification and the use of qualitative methods in the
evaluation of selected risks in the process of acquiring land planning
documentation in the context of sustainable development and planning
mechanisms;
 summarizing conclusions for the practical application of the progressive
approach to the assessment of settlement development potential.
A comprehensive survey was conducted within the framework of the project
KEGA No. 005 DTI-4-2014 Sectorial integration of spatial impacts of the safety
management of environmental risks. The research sample included 120
respondents. The respondents were those people responsible for local planning in
the municipalities of the Trencin region in the Slovak Republic. The research
was conducted between March and June 2015. Data collection was conducted
through an electronic on-line survey and a standardized written questionnaire.
The use of a questionnaire is an exploratory method of primary data collection.
The procedure for the online survey was as follows:
 questionnaire in its final form was programmed into web format and
placed on the internet and social networks for testing;
 after successful testing respondents were sent an email with a link to the
survey and credentials;
 once the sample size and quotas had been met data collection was
concluded (the advantage of online surveys is that it is possible to
generate information at any time on the state of the research, repletion of
quotas or statistics);
 collected data were checked for consistency, reliability and logical
continuity of answers. Wrong answers (interviews) were excluded. The
opinion of the respondents to the statistical characteristics was later
added to the data and subsequently processed in a statistical program.
It is possible to determine the level of risk for those selected risks perceived
by those responsible for spatial planning in municipalities, compared by
population size, using an analysis of variance. Those responsible for spatial
planning assessed the selected risks on the basis of the likelihood of them
happening on a scale of 1–10. The lowest risk and the smallest overall damage
was expressed by the number 1. The largest risk and damage was expressed by
the number 10. The term damage is understood to mean the sum of the direct
damages (the duration of use of the land according to the land-use plan) and
indirect damages (e.g. depopulation in larger municipalities). The processing of
the mathematical method of “analysis of variance” is numerically intensive and

was therefore carried out with the support of the statistical software Statgraphics
Centurion XVII [7].
The most frequently identified risks associated with the process of preparing
and implementing land-use planning documentation for municipalities, as
indicated by the respondents from land-use planning authorities in the Slovak
Republic, are:
1. financial risk – lack of financial resources;
2. procurement risk – difficulty in selecting a competent person for the
preparation of land planning documentation for municipalities;
3. professional risk – inadequate skills of professionals in preparing
land-use planning documentation;
4. time risk – in terms of how long it takes to generate land-use
planning, planning and other relevant documents;
5. interest risk – interconnection between political and interest groups
and their interests in the functional use of the territory of
municipalities;
6. administrative risks – procedural, project and administrative errors
during the process of preparing territorial planning documents;
7. personnel risk – staffing issues and unqualified persons responsible
for land-use planning departments.
The application of the mathematical and statistical method of “analysis of
variance” [8] consists of the following stages:
 calculation of selected risk characteristics (mean, variance) on the basis
of the primary data collected through the survey of municipalities
within SR;
 determination of suitability of the identified risks for parametric or non-
parametric testing of the analysis of variance, given the conditions
imposed on their implementation;
 testing of the variance rate for the risks identified according to the
criteria of population size, using the parametric F-test and the non-
parametric Kruskall-Wallis test;
 determination of whether the mean rate of the identified risks in the
process of spatial planning are comparable according to the selected
criteria.
3 Analysis of variance for selected risks identified by

spatial planning authorities
Šimák states that the mathematical expression of risk is carried out through the
measurement of risk, which is the product of the likelihood and possible range of
the consequences [9, 10]. The basic selective characteristics that are necessary
for carrying out the mathematical method of “analysis of variance” [11] were
calculated on the basis of the results from the assessment of those responsible for
spatial planning. The results are given in Table 2, whereby:
μ mean value of the selected risk as assessed by the competent persons
for municipal land-use planning;
σ2 variance of the selected risk as assessed by the competent persons for
municipal land-use planning.
Table 2: Basic selective characteristics for the selected risks.
Municipalities with
Municipalities with Municipalities with
Selected 1001–2000
≥ 2001 inhabitants ≤ 1000 inhabitants
risk inhabitants
μ σ2 μ σ2 μ σ2
1. 87.84 14.15 86.19 11.17 91.66 16.02
2. 44.42 9.02 39.71 7.08 37.41 14.97
3. 76.64 8.79 71.97 6.54 79.81 16.94
4. 81.91 7.84 80.89 9.17 85.17 10.45
5. 28.74 4.46 30.77 7.88 31.51 6.79
6. 42.71 7.81 29.81 6.72 40.28 8.14
7. 25.74 5.45 21.20 10.81 23.98 11.92
From the above it can be seen that the risk associated with insufficient funds
is the most significant problem the people in charge of spatial planning face
across all three groups. The main arguments are low budgets or no funds at all.
For this risk we assume that the extent of the risk is therefore homogeneous. This
homogenity is based on the risk levels associated with: the insufficient capability
of those involved in the preparation of land-use planning documentation;
procedural, project and administrative errors in the preparation process of land-
use planning documentation; unqualified staff responsible for spatial planning.
The statistical hypotheses will be verified using statistical tests. For the purposes
of testing the mean values of a risk in the subject groups, in accordance with the
criterion population size, we applied the parametric F-test or the non-parametric
Kruskall-Wallis test. The appropriateness of applying the parametric test depends
on two basic conditions being met:
 homoscedasticity – identification of variance of the identified risks (see
Table 3);
 normal distribution – extent of the consequences of an identified risk
(see Table 4).
The non-parametric Kruskall-Wallis test was applied when homoscedasticity
variance was present, and where the extent of the consequences of the risk, when
presented in a probabilistic model, did not have a normal distribution.
Table 3: Bartlett’s test to verify homoscedasticity rate of the identified risks.
Bartlett test
Selected risk
(p-value)
1. 0.257
2. 0.146
3. 0.309
4. 0.094
5. 0.161
6. 0.639
7. 0.801
Table 4: Pearson x2 test to verify normal distribution of the identified risks.
Pearsonov x2–test
Selected risks
(p-value)
1. 0.401
2. 0.007
3. 0.089
4. 0.048
5. 0.016
6. 0.382
7. 0.213
The results of Bartlett's test indicate that with 0.95 probability the
presumption of identical rate variances for the selected risks, as identified by
those responsible for spatial planning in municipalities across the Slovak
Republic, was accurate. The results of Pearson x2 test shows that at a significance
level of 0.05 some of the risks met all preconditions for performing a parametric
F-test e.g. financial (1), professional (3), administrative (6) and personnel (7). In
contrast, the p-value of the remaining identified risks fell below the significance
level of 0.05 i.e. procurement (2), time (4), interest (5). The assumption that the
identical variance rates for the identified risks was therefore inaccurate. The
latter risks therefore fulfilled the preconditions for performing the non-
parametric Kruskall-Wallis test. The results of the subsequent parametric and
non-parametric tests are given in Tables 5 and 6.
From the results of analysis of variance of the risks identified in the
preparation process we can state that homogeneity has been proven with 95%
reliability for the financial, professional and time risks i.e. the evaluation of the
risks by those responsible for land-use planning in municipalities in all three
groups was comparable.
Table 5: Parametric F-test for identified risks in the preparation process of

land-use documentation.
F-test
Selected risk
(p-value)
1. 0.117
3. 0.339
6. 0.027
7. 0.015
Table 6: Non-parametric Kruskall-Wallis test in the preparation process of

land-use documentation.
Kruskall-Wallis test
Selected risk
(p-value)
2. 0.026
4. 0.306
5. 0.004
In the statistically representative sample there are no statistically significant

differences between the assessments of the risks identified in the survey
questionnaire. For other identified risks, at a significance level of 0.05, there are
no statistically significant differences in their evaluation. The perception of these
risks is different and depends on the size of the municipality.
4 Expert risk assessment by “scoring method with

a risk map”
The identified risks that may arise and influence the preparation process of
spatial planning documentation were evaluated by the municipalities and the
competent representatives through the conducted survey. The representatives
directly affect the given issue in particular communities. The risks were then
rated by the “scoring method with a risk map”. A scoreboard of the identified
risks was created consisting of the probability and the consequences of the risks.
The values are the result of the averages of all the ratings given by the competent
people. The results are given in Table 7.
On the basis of the data in Table 7 a map of risks can be generated (see Figure
1) which shows the coordinates of risk subject to the value of their probability
and consequence.
Table 7: The average value of the identified risks based on the evaluation of the
competent spatial planning authorities.
Probability origin Risk consequence

Identified risk
(1–10) (1–10)
1. 8.5 9.08
2. 4.5 5.1
3. 6.9 7.4
4. 8.6 8.2
5. 3.6 4.8
6. 5.3 4.2
7. 4.4 3.4
Figure 1: Risk map.
The risk map is divided into four equal quadrants. The risks contained in the
first quadrant are of no significance and require no further action. However, the
risks in the third and fourth quadrants are considered to be significant and critical
respectively. These risks are unacceptable and therefore require serious attention.
As is indicated in the figure, beyond finance the major risks relate to adequate
skills and time. These risks require the development of specific preventive
measures and proposals to eliminate them. By putting forward and implementing
effective measures, the likelihood that the identified risk occurs will be reduced
and the consequences thereof will be eliminated. This will ultimately lead to an
increase in the quality of life of residents in the selected municipality.
5 Conclusion
The process of creating a zoning plan is a significant document. It not only
provides guidance on the current and future use of municipal space, but it also
creates the conditions for the continuous improvement in the quality of life of it
is residents. Quality of life in this context is understood to be broad and
interdisciplinary in nature, whereby it includes critical elements of infrastructure,
the demographics of the population and the civil and material safety of citizens.
This paper, on the basis of a survey of persons responsible for spatial planning in
municipalities, has sought to identify risks to the creation and preparation
process. The consequences of those risks, which may have a negative impact on
the processes, were also identified. By using the mathematical method of the
analysis of variance, we came to the conclusion that the greatest threats in all the
groups of municipalities, based on population size, were finances, time and
skills. These results were later confirmed by the scoring method with a risk map.
The risk map identified precisely these three risks as unacceptable. To effectively
deal with these risks it is necessary to take preventive measures. A systematic
and logical method therefore needs to be implemented whilst creating spatial
plans for the identification of risks, risk analysis, risk management and the
suggestion of measures for their elimination.
Acknowledgements
This work was carried out under the grant project – KEGA Project 005 DTI-
4/2014. The authors would like to thank the Ministry of Education of the Slovak
Republic and the Faculty of Security Engineering, University of Zilina for their
support.
References
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Ministers, Leipzig.
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perception as aspect of improving regional competitiveness of territory.
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[4] Farazmand, A. Crisis and Emergency management. In CRC Press, Taylor
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nebezpečného odpadu v Slovenskej republike. Ochrana obyvateľstva –
Nebezpečné látky, Ostrava, ISBN 978-80-7385-158-3, pp. 3-6, 2015.
[6] Larsson, G. Spatial Planning Systems in Western Europe. In IOS Press,
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10 May 2015). Available: http://info.statgraphics.com/statgraphics-home.
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the implementation of instruments for environmental area management on
the development of urban settlements, Environmental impact II, Ancona,
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in the conditions of economic crisis, 2014. In: Problems of social and
economic development of business: Collection of scientific articles.
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5. pp. 179-183, 2014.
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impacts of environmental risks. 6th International Conference on Safety and
Security Engineering, Opatija, Croatia, ISBN 978-1-84564-928-9, pp. 15-
26, 2015.
Section 6
Sustainable energy
and the city
Transition to sustainable city:

an integrated design approach for
transformative districts – a proposal
for replicability
A. Boeri, V. Gianfrate, D. Longo & E. Palumbo
Department of Architecture, University of Bologna, Italy
Abstract
Effective strategies for renovation of the existing building stock are essential to
meet climate change challenges, improve energy security and alleviate fuel
poverty. More than 80% of existing dwellings will still be in use in 2050 and in
need of retrofitting actions. Residential building renovation is one of the objectives
of the EU 2050 Roadmap and replicable solutions are needed to meet the EU’s
ambitious target. The Research Unit of the Department of Architecture of Bologna
has developed a feasibility study for renovation of social housing in Bologna,
focusing on Bolognina neighbourhood, a 1920s/1960s district with high
replication potential. This building stock requires a comprehensive renovation
strategy capable of increasing energy performance, improving the quality of living
and integrating the district and its community into a more sustainable city vision.
The aim is to speed up innovative actions to energy renovation in order to boost
transition towards more resilient and efficient environment. An integrated design
approach is adopted to develop flexible and non-disrupting solutions, define key-
design parameters and their interrelation at district scale, implementing innovative
energy and environmental assessment methodologies. This paper explores the
importance of ‘replication’ in a complex built environment, developing effective
strategies at district scale and identifying further researches branches for future
transitions to 2050.
Keywords: fuel poverty, social housing, refurbishment, LCA, replication.
doi:10.2495/SC150261
1 Introduction: specific context and background framework

The built environment is responsible for more than half of the energy consumption
worldwide, significantly contributing – with the CO2 emissions – to the very
causes of climate changes. Future projections on global urban population estimate
a further growth with 70% living in cites by 2050 and 80% living in European
cities already by 2020 [1].
The knowledge and technological gap that exists with respect to how emissions
from built environment can be mitigated and, simultaneously, how buildings and
their occupants can adapt global and local climate must be filled, involving
integration of tested knowledge, advanced design strategies, application of
innovative technologies and multidisciplinary research.
The refurbishment of EU building stock needs a 2050 horizon to plan the
transition towards a low-carbon society as well as to create the necessary
attractiveness to enable people to recognize and accept the significant deriving
benefits (80% reduction for heating and cooling energy consumption) [2].
The building sector is closely related to three main challenges of EU 2050
Roadmap:
1. creating a mitigation strategy for climate change;
2. fostering energy efficiency and security;
3. fighting against fuel poverty.
The total CO2 emissions of all buildings in the EU countries are greater than
those of the building stock in the United States or China, largely as a result of three
factors: the age of the existing buildings, the cold climate and the use of gas for
heating [3]. The tight interdependency between the mitigative urban environment,
its energy reduction potential and the role of human behaviour needs to be
explored in the context of the sustainable development of cities and their
prosperity. Strategic urban design, master-planning and the management of
buildings, spaces and places must be essential parts of any sustainable
development and climate change strategy.
In the last few decades European cities (especially those of the middle and
northern Countries) have developed robust and effective governance and planning
systems to set up pathways to achieve sustainable development and in July 2009,
the leaders of the European Union and the G8 announced an objective to reduce
greenhouse gas emissions by at least 80% below 1990 levels by 2050 (Residential
sector: 2030 HG reduction challenge: -37% to 53%; 2050 HG reduction challenge:
-88 to-91%) (OECD, 2009).
Given the extent of energy consumed by buildings, improving the energy
performance of this sector is crucial to ensure long-term global energy security
and reduce energy expenditures.
The EU has taken a prominent role in promoting energy security, climate
change mitigation and sustainable development, with a range of policy measures;
however, policy specifically addressed to reduce the fuel poverty has been limited,
despite its clear relationship with climate change. With increasing energy prices
(as a result of a number of factors including increasing in wholesale energy costs
and environmental levies), economic hardship at the household, and reduced
national welfare budgets, the trends are likely to worsen rather than improve (see
Figure 1) [4]. The main driver of fuel poverty is a “complex interaction between
low income and domestic energy efficiency” [5].
Figure 1: Households (%) unable to pay to keep their home adequately warm.
Experience shows that improving a building’s resistance to the outside

elements (e.g. weather proofing) and other energy efficiency improvements (e.g.
water heater and piping insulation; replacing old and inefficient appliances,
lighting and equipment) are effective in reducing fuel poverty. Many IEA
(International Energy Agency) member Countries have recognized the economic
development and poverty reduction benefits of low income energy efficiency
policy and have implemented weather proofing assistance programmes [6].
1.1 Residential building stock: low income housing
The residential building stock is a sector where the penetration of sustainable

renovation is slow in spite of the fact that a lot of renovation and modernization
activities are undertaken. Barriers to sustainable renovation in the owner occupied
market are low-investment capacity and the lack of knowledge about technical
solutions. In owner occupied multi-family dwellings an additional barrier is the
complex decision making process related to co-ownership of the common building
parts (roof, facades, etc.) [7].
Strengthening energy efficiency requirements for existing buildings is more
complex to implement. The energy performance of a building envelope, or the
components and equipment therein, is only likely to be improved at normal
renewal or planned maintenance intervals, often only after the building has been
occupied for several decades. The lock-in effect risk is high in the case of existing
buildings, especially if investments are made on a component-by-component basis,
rather than considering the building as a whole [8].
Several programs in the last decades are addressed to the renovation of the
existing building stock, through regulations requiring minimum standards or
incentives to encourage energy efficient affordable housing (i.e. Green Deal UK,
European responsible Housing Initiative, ELENA funding scheme, Funding

programmes of KfW and BAFA in Germany, Grid Alternatives, California, etc.).
In the last years the City of Bologna has promoted a renovation program of its
building stock. The actions are mostly be addressed to involve social housing areas
distributed in different districts of the city, providing 11,889 low-income
dwellings. Built during the post IIWW expansion, this building stock requires a
comprehensive renovation strategy capable of increasing energy performance,
improving quality of living and comfort conditions, and – above all – integrating
the district and its community into a smart city vision.
2 Integrated design approach

The Research Unit of the Department of Architecture, University of Bologna
(UNIBO-RU) is currently involved in the definition of a coherent, articulated and
replicable strategy for Bologna social housing stock, to support the Municipality
in the achievement of integrated technical solutions to act renovation measures in
a reasonable timeframe with a limited disruption for the end-users.
The RU has developed an Integrated Design Approach to identify resilient
scenario for renovating existing buildings and districts, as well as to frame
effective refurbishment design criteria at district scale.
This integrated design approach combines the excellence in energy efficiency
and sustainable projects and technologies with customer oriented strategies in
order to ensure the gain creators completely fit with the customers’ expectations
and requirements.
The aim of the integrated design process (Figure 2) is:
- to establish performance targets for a broad range of parameters;
- to develop preliminary strategies to achieve these targets;
- to iterate the process to produce at least two, and preferably three, concept
design alternatives, using energy simulations as a test of progress, and then
select the most promising of these for further development.
Figure 2: Integrated design process.
The adoption of this process has allowed to obtain qualitative and quantitative
results that characterize the nature of the relationship between the demonstration
sites and energy issues, and to create an integrated design framework for decision
support in energy efficiency demonstration project.
2.1 The case study: Bolognina social housing
Bolognina neighbourhood is interested since the last two decades by deep

transformations. The closure of the big factories during the 1990s has
progressively determined a profound social change: the weakening of a
connotative identity, the loss of a strategic address and the arrival of new
inhabitants has affected the area in a negative manner, attracting inside physical
degradation of derelict social decay characterized by the phenomena of petty crime.
The Municipality of Bologna, since the problems emerged, has tried to
recognize the origins and define the characters with the aim to overcome them,
starting from the recognized potential of the area. The proximity of the history
centre and of the station, just as they had led to the genesis, have been able to
determine its revitalization. The new population, young and intercultural, creates
a dynamism that can become an attraction for many. The administration, since the
beginning of the year 2000, has identified the sum of these elements as a potential
load to invest significant resources addressed to transform Bolognina in a new
polarity (Figure 3 – map of Bolognina; Figure 4 – demonstration area).
The recent Bologna Strategic Metropolitan Plan aims to provide optimal
technical and financial measures for the block houses that will help the renovation
of the buildings, thus reducing environmental impact (GHG emissions), increasing
the value of apartments, generating income (through lower energy bills),
alleviating poverty and creating job positions.
Many factors influence cost-effectiveness of investments in boosting the
energy efficiency at buildings and district scale: refurbishment costs, future energy
prices, attainable rents, borrowing rates, condition and age of the building as well
as a number of other factors.
The RU feasibility study for Bolognina district involves three “trial buildings”,
selected according to a number of criteria considering their relevance, the building
typology involved, the connection to grids or RES at district level, the availability
of funds from other parts to support the overall refurbishment action and last, but
not least, that they are part of an ambitious vision at a city level.
The buildings are representative of the most widespread typologies in the
district, and also in Bologna urban context, to foster the replication of the solutions
and to identify a flexible strategy applicable in a large area.
2.2 The work-plan
The retrofitting of large areas of a sustainable city needs the set-up of a

methodology which – from the concept phase to construction process, from
management to maintenance, during all the stages of interventions, from design
phase to the end of life at district scale – calls for the cooperation of key
stakeholders.
The Bolognina deep retrofit feasibility study includes the following activities:
Figure 3: Map of the demonstration area.
Figure 4: Demonstration area.
1. identification of the key design parameters and the interrelation between them
at district scale, accordingly to clear and measurable factors (taking into
account the specific climate conditions), to develop strategies and mitigation
actions to improve comfort conditions;
2. definition and adoption of design and management protocols to be applied in
the operational environment: design strategies (at building and district scale),
technological solutions (heating/cooling, ventilation, domestic hot water
production – including renewable energy sources (RES) – thermal storage,
electrical energy production and distribution, devices for customer awareness
about electric consumption, building envelope systems, building
components), construction processes, and building management
system/district management systems (EMS/BMS/DMS);
3. combination of energy efficiency measures with cost-effective standards at
district level, with the aim to achieve an improvement of the energy regulatory
standards for refurbishment;
4. identification of barriers to the district concept application and proposals of
regulation amendments where needed to policy makers;
5. integration between hardware strategies for refurbishment and ICT devices,
sensors and dashboards, to accomplish the achievement of a smart
management of the building stock, at district and urban scale.
The smart deep retrofit strategy applied to the case studies has envisaged:
• to establish performance targets for each demo-building, based on several
indicators, and develop preliminary strategies to achieve these targets to a
sub-optimal design solution tailored for the specific demonstrators;
• to define cost-effective retrofitting strategies (comparing retrofitting costs and
energy lifetime ones and finding the optimum) through efficient building
envelope, application of technologies for refurbishment, and careful
consideration of materials in a LCA vision;
• to analyse how to meet heating and cooling loads through the maximum use
of renewable technologies, available waste heat sources and the use of
efficient HVAC systems (including already existing systems), while
maintaining performance targets for indoor air quality, thermal comfort, etc.
The feasibility study, based on the integrated design approach, includes the
following tasks:
• identification of constraints (e.g. legal, non-technical ones) that hampers
widening the system boundaries (Table 1);
• identification of human behaviour constraints or propensity to improve
retrofit technical solution;
• assessment of the impact of the whole neighbourhood (buildings, grid, etc.)
on the single building as basis for modelling;
• outlining effective design strategies for improving buildings energy
performance;
• defining the key-parameters to achieve energy requirements and high quality
standards, introducing key-indicators of quality, energy savings,
sustainability, impacts as output of the interoperable platform;
• defining a multi-scale and multi-criteria matrix of parameters to model the
effects of each renovation option at building scale on the overall scenario at
district scale;
• comparing different scenario with relation to energy balance. In particular:
o energy assessment of possible configurations of district adjacent systems,
analysing the system behavior and performance;
o life cycle assessment.
The project, aiming at integrating energy efficiency measures in renovation
actions of existing buildings and neighbourhoods, will impact on the comfort and
functional conditions of affordable units for low-income classes (social housing
typology). The design strategy to be adopted is developed according to the
following indicators:
• low cost/cost-effective solutions, both during construction and management
phase;
Table 1: Strategies and barriers to overcome – Bolognina district.
Strategies Technical barriers Non-technical barriers
Fragmented property
Geometrical constraints
Building envelope Timing of intervention
Lack of regulations
Occupied units
Complex design
Cultural delay in construction
Suitability with existing
System integration sector
structures
Supplier companies lobby
Innovation in the sector
Regulations
Cost effectiveness
RES supply Local availability of
Institutional, political and barriers
resources
Physical characteristics and Inhabitants behaviour

Home automation/ compatibility with Social, political, and personal
responsive building equipment context
Resource management Starting extra-costs
• fast work-on-site, reducing the construction time and costs;

• limited disruption for the end-users;
• improvement of the building performance (energy performance during the
summer, indoor comfort, thermal bridge reduction and air tightness,
integration of equipment control/monitoring system, home automation
system integration);
• fuel poverty reduction;
• environmental performance according to LCA (Life Cycle Assessment).
2.3 Strategies to improve the envelope in Mediterranean climate
The optimization of the thermal features of the building envelope plays a key-role
in achieving high performance, both in winter and in summer conditions. In winter
time high level of performances is achieved by adopting different insulation layers
according to the orientation of the building envelope. Remarkable results are
achieved applying wood windows frame with integration of aerogel panels that
allows to reduce the frame section (saving material and resources) while
maximizing cost-effectiveness.
Overheating during Mediterranean summer time is reduced adopting a
ventilated cladding to be installed over the existing envelope, in particular on the
south and west facades.
The ventilation cavity provides a venture effect to extract warm air from the
façade while the mass of the wall ensures an adequate thermal lag and temperature
dumping. High performance glazed elements avoid dispersion. The RU have
developed advanced methodologies for integration and controlled junction
systems between windows and wall to ensure adequate air tightness.
2.4 The effects of material choice on the life cycle energy assessment
In order to reduce the life cycle energy consumption and environmental impacts
of buildings, most attention has therefore been paid to the operation phase. During
their life cycle, the energy required for the buildings is not only related to heating
and cooling, lighting and operating appliances, but also the one used to create the
building elements (bricks, steel, glazing, etc.) and to use them in construction.
Buildings and related products are realized with a variety of materials and each
material consumes energy during different stages: manufacture, use and
deconstruction/demolition phases [9–10].
This implies that global efforts to reduce emissions in buildings cannot be
totally achieved by ignoring the embodied energy.
Scientific community have conducted statistical studies in this field to review
the relationship between operational and embodied impacts [11–16]. These studies
commonly concluded that the operation stage still accounts for the major part of
the life cycle energy use and environmental impact of buildings, but the proportion
of the embodied energy and impact is increasing especially in case of low-energy
buildings. It was reported that the share of embodied energy in the life cycle
energy use (50 years service life) accounts for up to 46% for low-energy building
and up to 38% for conventional buildings [15]. Furthermore, it has been shown
that embodied carbon emission could account for up to 68% of 60 years life cycle
emissions [12].
In this feasibility study the influence of building material choice on the
embodied environmental impacts is taken into consideration, together with
environmental benefits and material costs for social housing refurbishment in
Bologna. The aim is to calibrate the performance of buildings in terms of both
embodied and operational emissions in order to reduce total life cycle emissions.
The effects of the choice were studied for the three building component
categories: envelope frame, transparent components, and multi-layers components
(i.e. insulation) in a comparative way, based on the analysis of the reduction of
CO2 emissions; recycling potential; and reduction of emissions embodied in the
materials used in the retrofitting and maintenance.
3 The replication potential

The study of the UNIBO-RU aims to demonstrate the feasibility of nearly-zero
energy building (NZEB) renovation models at district level, in view of triggering
large-scale replication of sustainable renovation models across the Emilia
Romagna region.
In order to ensure the wide-scale replication and the scalability of interventions,
the adopted solutions are thought to maximize the cost-effectiveness and reduce
the construction timeframe, reducing the payback period.
The development of the replication and methodology models are pillars of the
feasibility study and the initial work was shared with important stakeholders, such
as ACER, the Regional Agency which manages the public residential building
stock; the Municipality of Bologna, owner of the buildings and Urban Center,
which is engaged in social initiatives in the neighbourhood to actively involve the

citizen in the renovation process; suppliers, to understand the potentiality of
application of this approach.
The adopted methodology is addressed to define scaling-up and replication
rules which allows to address different district sizes, climatic zones and different
energy regulatory regimes, and it is articulated in:
- the definition of retrofitting strategies for different residential building
typology (isolated, multi-storey, courtyards buildings, etc.);
- the definition of innovative strategies replicable and scalable in similar urban
context, in the city and in the region;
- the development and testing of energy “interface” between buildings and
urban fabric, to foster optimal energy efficiency in a larger perspective;
- the combination of ELCA (Energy Life Cycle Assessment) with high
efficiency standards, to reach balanced solutions in terms of energy use (both
during operating and construction process).
The integrated design approach fosters three scenarios (Figure 5):
- a short-term scenario with the integrated refurbishment of Bolognina social
housing blocks;
- a medium-term scenario with the application of the refurbishment
methodology to the whole social housing building stock of Bologna;
- a long-term scenario with the involvement of the regional stock of social
housing with similar features.
Figure 5: Replication scenarios.
4 Lessons learned and future research branches

The UNIBO-RU feasibility study has developed and demonstrated an open and
easily replicable strategy for designing, constructing, and managing urban
renovation projects to achieve sustainable cities, based on the following pillars:
- studies of cost-effective solutions for the holistic improvement of the energy
performance of buildings at district level (definition of standard indicators
and new diagnosis approach, analysis of existing energy technologies in a
systemic approach);
- deployment of a rigorous measurement and verification of energy
performance and savings plan for each demonstrator, taking into account
standard protocols, energy regulations, LCA approach.
The UNIBO-RU has defined a quick and effective detection of the propensity
of “individual elements composing the district” (from buildings to grids) to be
improved, and it allows to schedule the envisaged actions being aware of the
potential deriving impacts in terms of energy efficiency, costs and achievable
comfort level. The three buildings, objects of experimentation, have achieved an
energy consumption reduction close from 60% to 80%, with cost-effective and
fast-track solutions.
This result could have a huge potential impact for different target groups, such
as:
• PAs, to boost the renovation rate of their stock (according to EU Directive
2012/27);
• real estates, to assess the effectiveness of their action plan in terms of payback
on large scale projects;
• energy supplier and ESCO, to promote integrated measures including
building envelope implementation and RES with customized energy
contracts;
• district and citizen communities, to facilitate the creation and adoption on
voluntary basis of groups of purchase for energy supply, retrofitting actions,
etc.
The next steps for future research branches will be addressed to study effective
solutions that allow buildings located in a district to interact with each other and
with their immediate urban infrastructures. The combination of future-oriented
energy concepts with feasible technical and architectural solutions could answer
to the new quality requirements for sustainable districts and cities.
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[14] Ramesh T, Prakash R, Shukla KK. Life cycle energy analysis of buildings:
an overview. Energy & Building, 42, Elsevier, pp. 1592-1600, 2010.
[15] Sartori I, Hestnes AG. Energy use in the life cycle of conventional and low-
energy buildings: a review article. Energy & Building 39, Elsevier, pp. 249-
257, 2007.
[16] Thormark C. A low energy building in a life cycle e its embodied energy,
energy need for operation and recycling potential. Building and
Environment Journal 37, Elsevier, pp. 429-435, 2002.
Buildings’ energy demand modelling for

sustainable decision support
S. Fritz1 , J. Forster2 & N. Rab2
1
Institute of Energy Systems and Electrical Drives,
Energy Economics Group, TU Wien, Austria
2
Department of Spatial Planning, Simlab, TU Wien, Austria
Abstract
The City of Vienna (Austria) follows a long-term initiative to be sustainable
and affordable. Therefore the interdisciplinary fields of energy, buildings and
infrastructure have to be analysed and connected in a virtual planning and decision
support tool for stakeholders. In this context, this paper focuses on the development
of the buildings energy demand and the interaction to the investments in the
extension or expansion of existing district heating networks as district heating
represents an energy efficient way to supply the cities heat demand. The extension
of these networks and the increase of its share in heat supply allows replacing
ecological inefficient heating technologies. Besides the ecological issues, also
the economic feasibility is necessary to contribute to a sustainable city. Since
the development of the buildings heat demand depends on the building owners
investment decision, the methodological approach is divided in two parts: A
simulation model, which brings out possible paths for the development of the
buildings’ heat demand for various scenarios up to 2030 and an optimization model
to determine investment plans for existing district heating networks, considering
the development of the heat demand explicitly. The focus of this paper is on
demonstrating the developed model. Therefore an analysis of the effects of
subsidies regarding renovations and investments for decentralized usage of solar
heat on the heating energy system is conducted. The result of the approach displays
the optimal investments in the grid and the resulting effects on the whole heat
market, i.e. the effects on the CO2 -emissions, costs and share of all technologies,
for different scenarios. The results can be visualized in a spatial simulation
environment to support stakeholders in their decision process (URBEM-platform).
doi:10.2495/SC150271
Keywords: Buildings energy demand, heating energy system, district heating,

decentralized solar heat, optimization, simulation.
1 Introduction
1.1 Motivation
The building sector is responsible for 40% of energy consumption and 36% CO2
emissions in the European Union [1]. In addition, about 35% of the buildings in
the EU are older than 50 years. Due to the worse thermal quality of the envelope
of these buildings, renovations are meaningful to improve their energy efficiency
and reduce their energy demand. In addition, the directive on the promotion of
the use of energy from renewable sources demand from the member states to
establish national targets, which are consistent with a 20% share of energy from
renewable sources [2]. Therefore it could e.g. be ecologically worthwhile to try
to increase the share of decentralized solar heat for the buildings’ heat demand.
In combination with the European directive on energy efficiency [3], where it’s
stated that high-efficiency of cogeneration and district heating and cooling has
significant potential for saving primary energy it could also be reasonable to aim
the promotion of district heating. For the operators of district heating networks
the reduction of the buildings’ heat demand and the usage of decentralized solar
heat can cause a challenge for an economic feasible supply with district heat. This
problem is strengthen by the fact, that there is no obligation for building owner to
connect to district heating in many regions. Therefore an extension of an existing
district heating network can help to improve the feasibility, whereas an expansion
frequently is to expensive due to long distances, which have to be covered.
To analyse and compare different strategies to reach the mentioned targets
a methodological framework for an integrated analysis of the development of
the buildings’ heat demand and the resulting consequences on the economy of
an existing district heating network is formulated. This analysis considers the
investment decisions of building owners in renovations and their choice of heating
systems, when a replacement is necessary. Based on the possible developments for
the used heating systems in buildings and the chosen energy carriers to supply it,
the future investment plans for district heating operators and the evaluation of their
economic feasibility is considered. The methodological framework is then used for
an exemplary case study for the city of Vienna.
1.2 Research question
The methodological framework and the case study, presented in this paper,
addresses the following research questions:
• How develops the buildings heat demand under different scenarios for policy
frameworks and how do subsidies influence the mix of the chosen energy
carriers to supply this demand, whereas a special focus is on decentralized
solar heat and district heating?
• How do these policy frameworks influence the investment plans of existing

district heating networks and what are the effects on the economic feasibility
of the network?
1.3 State of the art
This section outlines shortly the already existing models and methods to answer the
formulated research questions or parts of it. There are some models which focus
either on the development of the buildings’ heat demand or on the optimization
of the expansion of an existing district heating network. The model described
by Blesl [4] analyses the expansion and extension in grid-bounded energy
supply for low-temperature heat demand. The author formulates a time-discrete,
mixed-integer optimization model to determine the optimal investment strategy in
heat generation technologies, distribution and buildings’ heating technology. The
spatial information is displayed similar to a network flow model. The model uses
different types of settlement to determine the costs of a change of the energy carrier
and the required connection length to the existing grids. The types of settlement
are determined by the urbanistic appearance of regions. This method is also used in
various other works [5, 6], since interdependencies between the type of settlement
and the heat supply exists [7]. Hensel [8] compares three different optimization
models to examine the expansion of the existing district heating network for each
single street of houses, whereas the existing grid for gas supply is considered as
well. This method provides results in reasonable time for parts of cities. These
approaches are suitable for expansion planning of areas like districts of cities.
The last years a lot of GIS-based model frameworks are developed to determine
the potential for district heating. Finney et al. [9] use heat maps to identify
the expansion potential for district heating. Another approach is described by
Nielsen and Möller [10], where the future potential for district heating in Denmark
is considered. The methodology is based on the Danish heat atlas with all the
buildings and their heat demand. The economic feasibility of a connection to the
existing district heating network considers costs for heat generation, transmission
and distribution costs. Persson and Werner [11] use the plot ratio to determine the
costs for the expansion of the district heating network, whereas Nielsen [12] uses
a high resolution planning, where the required lengths for expansion/extension are
calculated based on the geographic properties of regions.
The model Invert/EE-Lab, described by Müller [13], which is integrated in
this approach focuses on the development of the buildings heat demand explicitly
under consideration of the building owners decision behaviour in heating related
investments.
In contrast to the used methodological framework in this paper, the focus of
the above mentioned works is either the detailed analysis of the development of
the buildings heat demand or the economic expansion planning of gas and district
heating grids. In addition, most of the works assume that the full determined heat
load can be connected. Although Sperling and Möller [14] generate marginal costs
curves for energy savings and district heating expansion, the explicit effects of
different policy frameworks on the development of the buildings heat demand

and the endogenously modelled consequences on the expansion/extension aren’t
considered. Also for the computing of the theoretical potential for solar energy
in urban areas, some models have been developed [15, 16]. However, up to now
there was little work on the calculation of the economic potential under explicit
consideration of development of the buildings heat demand and the effects of
subsidies for different heating systems. An additional visualization within the
URBEM-Platform can support stakeholders in their decision process [17].
2 Methodological framework and case study
2.1 Methodological framework
The introduced methodological framework consists of two parts. First, a

simulation module to determine the development of the buildings heat demand
and the energy carrier to supply it under consideration of investment decisions
of buildings owners. Additionally based on the decision of the building owners,
an optimization module is used to determine investment plans for the expansions
and/or expansion of district heating networks and the economic evaluation of it.
The existing bottom-up techno-socio-economic modelling tool Invert/EE-Lab is
used for the simulation of the buildings heat demand and depicts possible paths for
future development under various scenario assumptions, e.g. variation in energy
prices, subsidies for renovations or heating systems. For a detailed description see
Müller [13]. The time of investments in renovation of the building or the change
of the heating system is determined by Weibull distributions [13, p. 82]. These
distributions are used to define the lifetime of building and heating components.
The decision for the quality of the refurbishment or the new heating systems
depends on different owner types, assigned to building categories and is predicated
with a cost-based algorithm: For this purpose a nested logic approach is used [13,
p. 96], where the total heat generation costs are considered, consisting of the
consumption-dependent costs, consumptions-independent annual operating costs
and the levelized investment costs. This approach determines the market share of
each technology.
Based on the results of INVERT/EE-Lab the optimization module can be used.
The objective of the mixed-integer linear optimization module is to maximize
the heating network operators profit under consideration of investments in the
expansion/extension, costs for heat generation, reinvestment costs and operation
and maintenance costs. The revenues rise from the district heating price paid by the
costumers, depending on their heat load and heating demand. The level of detail
is on building blocks. Therefore a binary variable indicates, whether a building
block is connected or not. A description of the used data-sets and the model in
more detail is given by Fritz [18].
2.2 Case study
An exemplary case study for the city of Vienna (Austria) is conducted to

demonstrate the methodological framework. The considered time horizon for the
development of the buildings heat demand is up to 2030. Investments in the
expansion or extension of the existing district heating network in Vienna are
determined every five years, starting with 2015. All the data regarding the building
stock are calibrated to the year 2013. In the year 2011, Vienna had more than
164,000 buildings, of which 47% where older than 50 years [19]. The final energy
consumption in the year 2013 for residential buildings and public as well as private
service buildings was about 21,613 GWh. The share of district heating was about
6,313 GWh in the same year. The share of solar heat in the residential building and
service sector is almost negligible: Just 60 GWh solar heat supply the final energy
demand in these buildings [20].
The existing district heating network in Vienna is 1.192 km in 2013. The heat
generation for district heating is mainly based on combined heat and power (CHP).
The second largest share is from waste incineration plants, followed by industrial
waste, alternative heat generation an heat from fossil heating plants [21].
The assumptions for the investment optimization model are depicted in Table 1.
The cost allocation of fuel costs and CO2 -emissions to heat and power in CHP
plants is done with the market based method [22, p. 617].
Table 1: General assumptions.
interest rate 6 % per year yearly price increase 2 % per year

Amortisation Demand price customer 49.18 e/MWh
Horizon 15 years
Biomass fuel 30 e/MWh base price customer 69 437 e/MW
Gas price 22 e/MWh CO2 -Emission factors
taken from [23]
Electricity 32.91 e/MWh CO2 -Emission costs 5.75 e/t
In the present work, the investment costs and capital costs for the investment in
the extension/expansion of the existing district heating network are combined as
distribution capital costs cdcap . Based on the method of Persson and Werner [11]
the distribution capital costs are formulated as shown in (1), where C1 indicates
the construction cost constant in e/m, C2 is the construction cost coefficient in
e/m2 , da the average pipe diameter in m and L the total trench length in m.
cdcap = (C1 + C2 ∗ da ) ∗ L (1)
As the cost parameters C1 and C2 depend on the plot ratio within an area,
a classification of areas of settlements is conducted. (This method is also used
e.g. in [4, 24].) Therefore the 23 districts of Vienna are further divided in 250
registration districts. As all the buildings from the input data are assigned to
an registration districts, the necessary information to characterise these areas of
settlements is available. The settlement types differs in amount of buildings per
m2 , main usage of buildings (e.g. single family houses, office buildings, mixed
usage, . . .) or ground floor area. Then the ratio between built area and usable area
(plot ratio) is assigned to each registration district. The classification is based on
Blesl [4]. The classification for the registration districts in Vienna can be seen in
Figure 1. The legend represents the different settlement types. The most frequent
settlement type in Vienna is ST 2, settlements with single family houses in the
periphery. ST 5b consists mainly of small and medium apartment buildings and
can be found around the city centre, which is assigned to settlement type 9, the
historic city centre.
Figure 1: Classification in settlement types for Vienna. Source: own illustration.
An additional advantage of the classification in areas of settlement is the

assignment of different costs for the house connection for the building owners,
which differ for different plot ratios as well. These costs for the different settlement
types are taken from Lutsch et al. [24] and are used in the simulation model.
The total trench length L in (1) is derived by summation of the individual
buildings connection length lb . Since every building is assigned to a specific energy
carrier region the average connection length for the energy carrier region can be
used. (Note: The distance of each single building to the existing district heating
network is provided by Wien Energie).
2.3 Scenario description
For the case study, three exemplary scenarios are considered, which are based on
those in Müller and Kranzl [25]. As the scenarios are defined for whole Austria,
they are adapted for the situation and in Vienna. It’s important to mention, that
these adapted scenarios for Vienna just cover some implemented and contemplated
measures and don’t describe the actual subsidies and policies in detail.
• Scenario 1 – WEM (With existing measures).
• Scenario 2 – WAM (With additional measures).
• Scenario 3 – WEMpluSol (With existing measures and additional subsidies
for solar heat).
These scenario variations influence the development of the buildings heat demand
and the selected energy carriers to supply it, as they differ in the budget for
investment subsidies for renovations and heating systems. In contrast to scenario 1,
scenario 2 considers more budget for renovations and the requirements for the
renovation quality is higher. Scenario 3 has the same basic conditions as scenario 1,
but additional investment subsidies for solar heat is considered. In the WEM
scenario up to 25% of the required investment are raised, in the WEMpluSol up
to 45% are raised. The case study just considers the existing building stock, new
buildings due to the expected population growth in Vienna are not included in this
analysis.
3 Results
For the comparison of the scenarios the results of the simulation module and the
optimization module are used. The indicators defined for the comparison are the
CO2 -emission for the buildings heat demand and domestic hot water, the overall
costs and the share of district heating and decentralized solar heat per scenario as
a part of the final energy demand. The costs are defined as the cumulative costs
between 2015 and 2030 and include the annuity of investments in refurbishments,
the annuity of constructions of new buildings and investments in heating systems
as well as subsidies for refurbishments and heating systems and annual energy
dependent consumption costs and operation and maintenance costs. In addition,
the investment costs for the expansion/extension of the existing district heating
network are included, as well as the operation and maintenance costs and the
capital costs.
Building's final energy demand and solar heat supply
400
350
Final Energy Demand [in GWh]
14500
Solar Heat Supply [in GWh]

300
250
14000
200
150
13500 100
Final Energy Demand WAM Final Solar Heat Supply WAM Solar
Energy Demand WEM Heat Supply WEM Solar Heat
Final Energy Demand WEMplusSol Supply WEMpluSol
2012 2014 2016 2018 2020 2022 2024 2026 2028 2030
Time [in years]
Figure 2: Comparison of scenarios: Final energy demand and solar heat supply.
Source: own illustration.
In Figure 2 the development of the final energy demand of the existing building
stock up to 2030 is depicted as well as the share of it supplied by decentralized
solar heat for the scenarios. By definition, the decrease of the final energy demand
is the same for the WEM and WEMpluSol scenario, since the subsidies for
renovations and the required renovation quality are the same. It can be seen that the
solar heat supply increases for the WAM and WEMpluSol scenario in comparison
to the WEM scenario. Figure 3 shows the delivered final energy demand, i.e.
excluding the demand supplied by solar heat, and the possible demand, which
could be connected to district heating due to the building owners investment
decisions. Here it can be seen that the final energy demand without solar heat for
the WEM scenario is higher than the demand for the WEMpluSol scenario. This
also results in an higher demand for district heating.
Due to the negligence of development areas, the expansion is very low in all the
scenarios. Nonetheless the WEM-scenario has the highest expansion (42 building
blocks in comparison to 31 in WEMpluSol-scenario and 29 in WAM-scenario).
These results combined provide the basis for the comparison of the indicators.
The results for the CO2 -emissions and the Costs in Table 2 are relative to the
Building's final energy demand delivered and district heat demand
5500
Final Energy Demand Delivered [in GWh]
14500
District Heat Demand [in GWh]

5450
5400
14000
5350
13500 5300
5250
Final Energy Demand Del. WAM DH Demand WAM

Final Energy Demand Del. WEM DH Demand WEM
13000 5200
Final Energy Demand Del. WEMplusSol DH Demand WEMpluSol
2012 2014 2016 2018 2020 2022 2024 2026 2028 2030
Time [in years]
Figure 3: Comparison of scenarios: Final energy demand delivered and district

heating demand. Source: own illustration.
WEM-scenario, the Share of district heating (DH) and the share of solar heat are
absolute.
Table 2: Results: Indicators.
Scenario Additional Avg. share Avg. share Relative

reduction DH [%] solar heat [%] change
CO2 -emissions [%] costs [e]
WEM 38.02 3.52
WAM 1.1 37.94 3.87 1.9%
WEMpluSol 0.39 37.89 4.10 −0.02%
4 Discussion and conclusion

The results for this exemplary case study of Vienna shows the effects of different
scenarios. Based on a business-as-usual scenario (called WEM-scenario) two
effects are analyses. One the one hand the effects of more budget for renovations
and higher required renovation qualities are considered, on the other hand the
effects of more subsidies for solar heat are analysed. The results, describes in
Section 3 show, that from an ecological point of view it’s preferable to raise the
budget for renovations and introduce obligations for the renovation qualities. (The
CO2 emission can be reduced about 1.1% in comparison to the WEM-scenario)
But this policy framework also result in higher costs for the heating energy
system. (These costs include the investments in refurbishment, construction of new
buildings due to demolition, investments in heating systems in buildings, subsidies
for refurbishments and heating systems, annual energy dependent consumption
costs in buildings, operation and maintenance costs of heating systems in
buildings, investment costs for district heating network, operation and maintenance
costs for district heating, investments in expansion/extension of district heating and
capital costs for district heating.)
In contrast, the WEMpluSol-scenario reduces the CO2 about 0.39%, but due
to the higher share of solar heat and the resulting decrease in the delivered final
energy demand this scenario has the lowest overall costs (0.02% reduction in
comparison to WEM-scenario).
The developed framework allows to compare the impacts of different policy
frameworks regarding the development of the heat demand and the future role
of district heating. This integrated analysis combines the demand side as well as
the supply side with district heat and tries to support decision makers to display
the effects of different policy frameworks on the heating energy system in an
ecological as well as economic sense.
Acknowledgements
This project would have been impossible without the support of Wiener Stadtwerke
Holding AG and the PhD program URBEM. Further thanks goes to Stefan Dürauer
(MA 41) for providing the data sets on building solar potential registry and GIS
buildings.
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Spatial simulation environment for decision

support
J. Forster1 , S. Fritz2 & N. Rab2
1
Department of Spatial Planning, Simlab,
Vienna University of Technology, Austria
2
Institute of Energy Systems and Electrical Drives,
Energy Economics Group, Vienna University of Technology, Austria
Abstract
The city of Vienna (Austria) follows a long-term initiative to be sustainable
and affordable. This initiative is getting increasingly difficult due to a changing
energy landscape and the aim to increase the usage of renewable energies.
Additionally Vienna is a growing city. Current population forecasts predict a
growth of the population which will pass the two million mark within 2029.
Thus the requirements on space, infrastructure and support systems and therefore
planners and decision makers are increasing. Concerning these issues, the paper
focuses on the city’s internal development potential as a basis for gaining new
living and working areas. A model calculating the floor-area potential considering
city development areas will be presented. This model establishes a basis for a
simulation environment which is expandable via heating system models. The
simulation environment is needed to test and visualize future scenarios. Thus
it acts as an interactive, multi-scalar decision and planning support tool for
interdisciplinary stakeholders. This generic approach aims to describe a process
tool with the ability to be used in other cities and other disciplines.
Keywords: cooperative tool, decision support tool, 3D city model, simulation
environment, spatial planning, energy planning.
doi:10.2495/SC150281
1 Introduction
1.1 Motivation
Vienna’s population expanded by 9.1% in the last decade, which is equal to

about 144,000 persons. Actual population forecasts predict a continuation of
this trend. Therefore Vienna will reach the 2 million mark within 2029 [1,
preamble]. This intense growth accompanies big challenges on several utility
levels (e.g. flats, jobs, mobility systems, utility networks, . . . ). Moreover the city
of Vienna (Austria) follows a long-term initiative of becoming a Smart City.
Thus efficient, affordable and low-carbon energy systems, as well as environment-
friendly transport systems are obligatory. They provide sustainable development
and better urban functionalities in cities.
Likewise the supply with needed living and working areas of a growing city is
a complex challenge for the planners. To guide a city into a sustainable future the
economical usage of ground resources constitutes the base for resilient settlement
development.
The calculation and spatial location of potential areas for inner development
within the city limits is the basis for decision and planning processes. These
involve interdisciplinary stakeholders. For these processes 3D models are
useful support tools and enable a multi level procedural access to problem
solving strategies. Furthermore the virtual models enable the possibility to
visualize functions and behaviours of visible and invisible objects in reality.
Moreover different fields of research can be implemented and calculation results
interconnected. Hence the combination of different models within one simulation
environment constitutes a decision and planning support tool as well as a
cooperative planning instrument.
1.2 Research question
This approach addresses the following research questions: How can inner
development potential become spatially located and integrated in a three
dimensional simulation environment? And how can it consider the complex
challenges in urban planning with common interdisciplinary fields to design a
decision support tool for various stakeholders and policy makers?
1.3 State of the art
The premise “Inner development before outer development constitutes a short

formula for sustainable spatial development” [2, p. 3] should be maintained, means
to evaluate and design the need of develop-able ground in growing cities within
the existing city limits. Thus the project “Raum+” is developed by the ETH Zürich
since 2008, which constitutes a method to locate the inner development potential
for various cantons in Switzerland to reach an quantitative and qualitative overview
(cf. [3]). This enables targeted development strategies and launches new spatial
planning processes for the mobilization of existing reserves in settlement areas
The aim to support such planning processes with the use of visual medias and
three dimensional city models is focused in various projects over the globe. They
are mostly focusing on topics concerning sustainability and ecological aspects.
Likewise, the ETH Zürich in collaboration with IBM, ESRI and the Imperial
College London, developed a project named “Smart Urban Adapt”. This project
aims to support “European cities with next-generation decision tools, to design
development paths for the 1-ton-CO2-society” [4]. The scenario based project was
developed between 2012 and 2013 and handles a cloud based decision support tool
for urban planning as well as interactive climate and land use prediction. In this
regard they created smart sensing data connections to an implemented GIS data
warehouse, which enables spatial visualizations (cf. [4]).
In 2014 a five dimensional data platform for cities with an implemented visual
environment was introduced by “Cityzenith” (cf. [5]). The main focus is to allow
access to different kinds of data for a broad bandwidth of people.
All these projects support planners and stakeholders through software
environments which enable data handling, data exchange and visualization
environments. Thus 3D models are useful tools for procedural planning processes
or problem solving strategies in planning environments (like those based on
trainings and formulated by Walther Schönwandt (cf. [6]).
On the one hand these simulation environments can support planning processes,
and on the other hand they have the ability to flag problems.
2 Methodological framework
2.1 Inner development tracking model
The aim to achieve space-saving settlement development and to gain building

sites located within the city limits, is a indisputable strategy for sustainable
urban development. Thus irreversible surface sealing connected to hardly
inestimable subsequent costs (drainage, . . . ) and unnecessary extension of existing
infrastructure (transport, supply infrastructure, . . . ) avoiding higher costs, higher
energy demand and environmental pollution are avoidable or controllable.
Following the abstract concept of the “Raum+” project in Switzerland
(cf. Section 1.3) this approach distinguishes between floor-area-potential and
building-area-potential (cf. Fig. 1). The term floor-area-potential defines the
potential of additional floors on existing buildings available within the legal
restrictions. The Building-area-potential defines available empty building sites,
and developed real estates with potential of additional constructions within the
legal restrictions.
This approach explains a method for the calculation and spatial location of floor-
area potential based on GIS data sets, containing building information (shape,
relative height) and legal restrictions including the area category. The area category
is a basement map of Vienna which determines area usage and the maximum cullis
BUILDING-AREA-POTENTIAL -
EXTENTION
FLOOR-AREA-POTENTIAL +
BUILDING-AREA-POTENTIAL =
INNER DEVELOPMENT POTENTIAL
INITIAL SITUATION
FLOOR-AREA-POTENTIAL
BUILDING-AREA-POTENTIAL -
ADDITIONS
Figure 1: Inner development differentiations (own illustration).
height of a building. All these data sets are provided by the municipal department
41 of the city of Vienna in the context of the doctoral college URBEM (Urban
Energy and Mobility Systems) executed by the Vienna University of Technology.
The building-area potentials of new urban development areas are visualized
in an abstract form within the urban development plan 2025 published by the
municipal department 18 – urban development and urban planning in 2014 (cf.
[7]). Overlaying these two layers of inner development potentials constitutes the
basis for a spatial analysis of available areas for the development of living and
work spaces.
To calculate an overview of the theoretical floor-area-potential (hipot ) the built
height of a building (histock ) is subtracted from licensed maximum building height
(himax ):
hipot := himax − histock . (1)
If a building is extended by one level, a minimal construction height of 3.5 m is

assumed. For each further level this construction height (gh) can be reduced by the
following assumption:

gh = 3.5
 if hipot < 6.4,
hipot := gh = 3.2 if hipot ≥ 6.4 and hipot < 9, (2)

gh = 3 if hipot ≥ 9.

Apot
/ZB
Apot
/ZB
Apot
/ZB
Apot
/ZB
Apot
/ZB
Figure 2: (a) Overview of inner development potential on registration district level;

(b) Potential development areas within the city of Vienna (source: [7,
p.67]); (c) Overlay of (a) and (b) for a procedural matching of floor area
potentials and possible potentials of new building areas.
Thus the floor-area-potential (Aipot ) is calculated as follows (Gistock = building

basement area):
 i
 hpot Gi i 2
stock if Gstock ≥ 10 m ,
Aipot := hg
(3)
0

else.
To locate these calculation results spatially and generate an overview map the
output is visualized on registration district level (ZB) and classified in five
intervals:
∞
X ∞
X
Apot /ZB = Aipot / Gistock . (4)
i=1 i=1
For Vienna these results are between 0 and 1,23 (Apot /ZB). The overview map (cf.
Fig. 2(a)) illustrates the main floor-area-potential in the northeast, south and west
city outskirts. These areas are mostly loosely built by single family houses and
small apartment buildings. However some floor-area-potentials calculated by the
described method are located near the city center where houses built in the years
of rapid industrial expansion(“Gründerzeit” houses) as well as other buildings in
enclosed construction are located.
This inner development model constitutes no detailed statement of all inner
development potentials, but enables the detection of inner city development areas
of spatial interest. In general this overview represents the basis for a multi scalar
approach, zooming city quarters incrementally.
Selected city quarters are forwarded to the simulation environment. Within
this environment a spatial overlay with the output of (for example) the Heating
Energy System Model [8] is enabled. Thus strategies are evaluated of central or
decentralized heat and energy supply as well as the use of solar heat (by computing
specific economic and ecologic indicators) for the entire heating system.
2.2 Setting up the decision support tool
For the composition of a multi-scale planning and decision support tool for
interdisciplinary participants, the calculation output data (tables) of a developed
model of any interdisciplinary field can be joined by ID numbers via GIS software
to corresponding object shapes. Thus the two dimensional GIS data sets are able
to be transformed in three dimensional objects with rule based procedural 3D
modeling Software (this approach uses ESRI City Engine). Thereby an abstract
virtual city model has evolved. Next this virtual model is imported in a software
for game development (this approach uses UNITY). Within this software an
executable simulation can be generated, allowing to change single objects visual
appearance (color, size and position) via defined intervals corresponding to the
data it represents (changes available via a Graphical User Interface). The models
of various disciplines are connected as modules within the simulation environment.
Thus each spatial model can be developed independently with regard to its content.
For fully automated dynamical data exchange and/or extension, the modules are
connected via a cloud based data platform. This data platform enables the degree
of abstraction for each single data transfer and data set which is important for the
comprehensiveness of the information visualization as well as for security reasons.
Furthermore a graphical user interface for the interactive handling of predefined
control parameters within testing and decision processes is designed. Finally the
environment allows the use of various users simultaneously and interactive user
control.
The main structure of the described simulation environment and the directions
of the interdisciplinary data streams are illustrated in Fig. 3.
3 Results
The simulation environment is able to represent the connection between

researchers and stakeholders, in particular the public and governance. It illustrates
the research results and communicates new findings and ideas to a broad
bandwidth of people. Moreover it is able to cover different areas of expertise,
several levels of detail as well as different time horizons and areas.
The following figures present a prototype area at the border of the eighth and
sixteenth Viennese district (Vienna Beltway – Lerchenfelder Gürtel). Within this
prototype the floor area potential of the existing building is shown. Furthermore
INPUT OUTPUT
• Data Wiener Stadtwerke Holding AG • Decision-Support-Tool
(Vienna Public Utilities Company) • Simulation Environment
• Open Data Vienna • Virtual 3D City Model
• Data Municipal Department 41 & 39 Vienna
• Development Strategies Vienna (Scenarios)
• Current Legal Restrictions
VISUALIZATION und USER-INTERACTION
URBEM - DATA- CLOUD
Module Module Module Module Module Module Module

Mobility Distribution Energy Urban Energy IKT Smart Sociology
networks Supply Development Portfolios Grids
(Heating Energy
System Model[9])
Figure 3: Simulation environment structure. (Source: Own illustration following

[4].)
Figure 4: Prototype Area Vienna Beltway: Inner development potentials (blue

coloured). (Source: Own illustration.)
it displays the output data of the Heat and Energy System Model. This shows the
probability for installed solar heat units for 2020 and 2030.
The developed multi dimensional visualization can be presented within a
back-projection environment with a stereoscopic view for up to 15 participants
simultaneously. Furthermore for individual investigations or cooperation of
participants at different locations an Virtual Reality Headset with 3D viewing
options (Oculus Rift) integration is possible.
Figure 5: Prototype Area Vienna Beltway: Inner development potentials (blue

coloured). (Source: Own illustration.)
Figure 6: Prototype Area Vienna Beltway: Inner development potentials and visual
data representation of the Heating Energy System Model [8]. (Source:
Own illustration.)
4 Discussion and conclusion

The connection of interdisciplinary models within one simulation as well as the
connection of individual objects within these models enables a broad tool for
analysis and testing. It allows the virtual visualization of future scenarios in
urban systems. This method constitutes a helpful tool to gain new knowledge and
interweaves disciplines seemingly unconnected.
The connection of the interdisciplinary models via a cloud based data base
emerged as a good solution for the data exchange, because of automatized
synchronization. Thereby connecting the virtual built objects in the three
dimensional simulation model with the associated data via IDs turned out very
useful for the bridge between calculation model and visualization environment.
The multiple steps for the creation of the virtual models (buildings, streets,
energy, ICT, pipelines, . . . ) especially the usage of various softwares for its
handling, are improvable. A clear path for the development should be predefined
and realized within one software package. Furthermore within the simulation
environment some display and performance bugs based on mesh creation and UV-
shape-vector orientation have to be solved.
The interactive simultaneous use of the simulation environment within a back-
projection (best visualized stereoscopic) environment enables a good laboratory
for decision processes.
5 Outlook
The interweaving of interdisciplinary fields by visualizing their calculation and
analysis output in a common simulation, generates new possibilities in urban
developments. Urban structures include a broad range of objects with organic
behaviour, always changing supply network (grid expansion, grid dismantling
and new construction) and host users with a wide range of different interests,
behaviours and goals. Nowadays data is generated and collected for most city
objects (transport, people behaviour, electric demand, . . . ). Thus the city of
information already exists. For the planning and sustainable management of the
system city more information will be required so that more platforms can enable
visual data views.
Acknowledgements
This project would have been impossible without the support of Wiener Stadtwerke
Holding AG and the PhD program URBEM. Further thanks goes to Stefan Dürauer
(MA 41) for providing the data sets on building solar potential registry and GIS
buildings.
References
[1] Peter Prenner u.a., Stadtpunkte: Wien Wächst – Herausforderungen zwischen
Boom und Lebensqualität: Tagungsband der AK-Wien Fachtagung. Kammer
für Arbeiter und Angestellte Wien: Wien, 2014.
[2] Bernd Scholl, Thesen zur inneren Entwicklung unserer Städte und
Regionen, in: Stadtgespräche, Veranstaltungsheft mit Unterstützung der
Hamasil Stiftung. Veranstaltungsdurchführung: Institut für Raum- und
Landschaftsentwicklung: Innenentwicklung vor Aussenentwicklung! IRL,
ETH Zürich: Zürich, 2007.
[3] ETH Zürich, Raum+: Initiative der Proffesur für Raumentwicklung ETH
Zürich, http://www.raumplus.ethz.ch/home/.
[4] SmartUrbanAdapt, SUA – Smart Urban Adapt: Forschungsprojekt der ETH
Zürich, Imperial College London, IBM, ESRI, 2012–2013.
[5] Cityzenith, Cityzenith: The Data Platform for the City.
[6] Walter Schönwandtd, e., disP – The Planning Review: Die Kunst des
Problemlösens: Entwicklung und Evaluation eines Trainings im Lösen
komplexer Planungsprobleme. (185), 2011.
[7] Stadtentwicklung Wien Magistratsabteilung 18 – Stadtentwicklung und
Stadtplanung, STEP 2025 – Stadtentwicklungsplan Wien. Magistratsabteilung
18 - Stadtentwicklung und Stadtplanung: Vienna, 2014.
[8] Julia Forster, Sara Fritz, Nikolaus Rab, (ed.), Solar Heat Strategies For
Vienna: Identifying Regions with Highly Reliable And Affordable Potential,
2015.
Section 7
Transportation
BRT in metropolitan regions:

two examples in Brazil
J. Waisman
Sistran Engenharia, Brazil
Abstract
Many Brazilian cities are currently implementing BRT (bus rapid transit) systems
due to their lower cost and shorter construction time when compared to rail
systems. The lobbies of bus operators and manufacturers are also an important
issue.
Two projects are under way in the state of São Paulo, connecting two or more
cities within metropolitan regions. The Northwest BRT Corridor is 25.0 km long
and connects four cities, catering to a total population of 920,000 inhabitants in
the Campinas Metropolitan Region. The Guarulhos Corridor is 4.0 km long and
connects São Paulo’s eastern sector to Guarulhos, both of which are part of the
São Paulo Metropolitan Region, and caters to 2.6 million inhabitants.
This paper describes the process of planning and designing BRT systems in
Brazil and presents the traditional path of such projects: feasibility analysis
(transportation demand studies, urban insertion and sustainability evaluation and
analysis) followed by architecture and engineering design (bus stops and
terminals, bus corridor and street network infrastructure).
Keywords: BRT systems, metropolitan regions, mobility, planning, design.
1 Introduction
Although there are no specific technical standards for BRT systems in Brazil,
recent projects have observed the following: segregated/exclusive bus lanes along
the left lane in existing avenues; closed bus stops located on avenues central
medians; provision of full accessibility on all facilities; on-level embarkment/
disembarkment; bus stops and multimodal terminals designed under sustainability
criteria; segregated bicycle ways along the corridor (when possible); extra lane at
bus stops for overtaking (when possible); bus priority at intersections; real time
doi:10.2495/SC150291
operation information at bus stops and multimodal terminals. Operational details

include: trunk lines at the corridor integrated with feeder lines at multimodal
terminals; pre-paid tariff; free transfers between buses; forecasted average daily
demand: 16,000 pax; designed average bus speed: 25 kph.
Due to space availability and expropriation costs, not all of these parameters
were followed. This led to certain compromises, all of which are explained in the
next section.
2 The Northwest Corridor

This Northwest Corridor segment is 30.0 km long and connects four fast growing
industrial cities (Sumaré, Nova Odessa, Americana, Santa Barbara d’Oeste) with
total population of 920,000. This corridor is part of a São Paulo State plan to
improve mobility among important urban centers within Metropolitan Regions.
2.1 Feasibility analysis
2.1.1 Transport demand studies

Demand studies are based on the Campinas Metropolitan Region Origin/
Destination Survey [1]. The survey was the input for the construction of a 4-step
TRANUS transportation model (trip generation, trip distribution, modal split and
trip allocation).
The trip generation model assumed that trips would increase according to
population growth in 2014, 2018 and 2025. Thus, a total trip matrix was obtained
for the same years. Modal split assumed no change in the O/D survey mode share,
producing both Public and Private Transportation O/D matrixes.
The present public transport network was based on the existing city and
intercity bus lines. The private transport network was based on the main city and
intercity transport axis. Future projects were introduced in both networks
according to their expected year of construction/operation, as well as future plans
of public transport reorganization. A trip allocation model allowed estimation of
public and private transportation demands. It also allowed identification of the
most congested segments, Figure 1.
2.1.2 Urban insertion and sustainability

The corridor plan makes use of existing streets and avenues. In some parts, it uses
the space of a deactivated energy transmission line. These tactics were employed
in order to minimize expropriations.
A field survey showed that there are no archeological sites in the area.
However, one historic site was spotted along the plan: an old railway station from
1875 in Americana in front of where the new bus terminal is expected.
Also, there are no significant protected green areas and water sources that cross
the corridor plan.
The area is almost completely urban, with different population densities. The
main activities are from the industrial and service sectors. There are also
agricultural activities, mainly sugar cane plantations, on the outskirts.
Figure 1: Demand study’s methodology.
2.1.3 Evaluation and analysis

Economic evaluation (under society’s point of view) followed the traditional
procedure (the “with” and “without” criterion) of balancing discounted values of
forecasted benefits and forecasted costs along the project’s lifetime [2].
The estimated benefits include: time and fuel savings; bus fleet investment
savings due to the system reorganization; and reduction in air pollution emissions.
The values were estimated from results obtained through the utilization of
simulation models.
Costs and resulting investment requirements were estimated considering bus
fleet requirements and preliminary construction and maintenance costs.
The project’s internal rate of return was 9.48%.
The corridor’s financial evaluation (under the bus operator’s point of view) was
also performed balancing discounted values of operational and non-operational
revenues and forecasted operational and maintenance costs plus bus acquisition
costs.
For this analysis, the internal rate of return was 12.35% and the investment pay
back will occur on the ninth year of the project’s lifetime.
Forecasted externalities were mainly positive: better accessibility to urban
services, increased real-estate value, more job opportunities, commercial
undertakings, increased attractivity and improvement of urban spaces.
2.1.4 Conceptual design

Santa Barbara Avenue is the only link connecting this city to Americana and is the
most congested location with commercial and services activities.
In light of this, planners proposed a new link connecting both cities through a
large agricultural area to be urbanized [3].
This existing bus lines are to be reorganized, providing a new and faster service.
The corridor plan has two also different patterns. One is along the central
median of wide avenues. In these cases, bus stops and a bikeway will be located
at the central median. The other pattern occurs when the plan crosses downtown
areas: existing streets are used and bus stops are located on the sidewalks; in these
cases there is no bikeway.
Terminals were located according the existing bus lines systems and
municipality development plans. The Nova Odessa Terminal is an existing and
renewed building located 1 km from the corridor. Because of this distance, a bus
shuttle service was proposed between the terminal and the corridor.
The Americana Terminal is located downtown, close to the city’s CBD (Central
Business District). The Santa Barbara d’Oeste Terminal is on a highway, far away
from the denser urban areas. This is because its main use will be for intercities
buses.
All terminals and some bus stops (transfer points) are intended to provide
multimodal integration. In the case of public transport, time and fare integrations
are planned.
The new bus operational plans propose two trunk axes. The new axes will
provide 3 intercity services (Santa Barbara, Americana and Sumaré), operated by
articulated two sided doors buses (capacity: 150 pax) with frequencies ranging
from 2 bus/hr to 6 bus/hr.
The former transport axis by Santa Barbara Avenue will be maintained as well
as the use of a small urban terminal and will provide 6 intercity services (Nova
Odessa city included) operated by articulated two sided doors buses with
frequencies ranging from 2 bus/hr to 4 bus/hr.
All intercity buses will be equipped with automatic fare collectors and real-
time remote monitoring.
A new operation plan was also proposed to reorganize local bus lines within
the cities. Some of the city bus lines are to operate as feeder lines at terminals and
transfer points and will operate single buses (capacity: 80 pax).
Estimates indicate that the corridor’s daily demand will be of 13,600
passengers; buses will perform 246 daily trips on average, and the average travel
time will be 32 minutes.
2.2 The corridor design
This section summarizes the corridor’s design premises [3].
2.2.1 Architecture design: bus stops and terminals

There are 24 standard bus stops and 4 larger ones (transfer points) located on the
central median and 31 bus stops on the sideways.
The main purpose of the architecture design was to have modern bus stops
provide comfort and safety to its users. All bus stops are well lighted and
ventilated, have seats, displays with real time operational information as well as
traditional operational information, such as lines, schedules and maps. Bus stops
located on the central median have closing platform doors in order to avoid fare
evasion.
The Americana multimodal terminal is a two story building (9,413 m2) located
downtown close to the city’s CBD. Both intercity and city bus lines will operate
on the street level providing safe access to pedestrians, bikes and taxis. Users can
board the buses using their prepaid fare card or with single tickets
bought at terminal booths. This terminal will house 12 intercity lines (160.0 m
long platforms) and 46 city bus lines, being 36 through bus lines (160.0 m long
platforms).
The terminal’s modern architecture is intended to constitute a landmark and
also help the beginning of an urban renewal process in the surrounding area.
The second level is intended to shelter a popular market which was displaced
by the terminal’s construction. This second floor is accessible by stairs, escalators
and elevators, and houses a central control office as well as public WC.
The Santa Barbara d’Oeste multimodal integration terminal (13,300 m2) is
located a state highway, outside of the city’s downtown area, Figure 2.
Figure 2: Santa Bárbara D’Oeste terminal.
This terminal will house 4 city bus lines (40.0 m long platforms), 2 intercity
(metropolitan) bus lines (40.0 m long platforms) and 2 long distance bus lines
(67.0 m long platforms).
Due to its location, the terminal has an overpass, making it accessible to
pedestrians and bikes, as well as car and taxi users. Drivers can park in a nearby
parking lot. The platform level there has seats, displays with bus lines operation/
lines/schedules/maps/information as well as ticket booths, a coffee shop, rest area,
central control office and public WC.
The terminal’s location is aligned with city plans that intend to create new
development areas out of the city center.
All terminals and bus stops on the avenues central median will have bicycle
parking facilities. Landscape works were also provided as well as bus stops
naming landmarks.
Both terminals were constructed with a rainwater reservoir to be used for
cleaning purposes.
2.2.2 Engineering design: corridor and street network infrastructure

The standard section of the bus corridor along avenues’ central median (extension:
17.9 km) will be a segregated bus lane (width: 3.5 m) and two general traffic lanes
(width: 3.0 m). The central median is very wide (width ranging from 10.0 m to
60.0 m). Therefore, all enlargements needed will be made towards the central
median space in order to avoid expropriation.
Bays were proposed to accommodate bus stops wherever possible using the
central media space. No extra bus lane was proposed at bus stops otherwise. A
bikeway (extension: 7.8 km) is also proposed in this space.
Segments of the corridor use existing downtown streets (extension: 7.1 km) in
both Americana and Santa Barbara d’Oeste.
These are narrow streets (9.0–10.0 m wide) and geometric, drainage and
pavement adjustments were provided. In this case, smaller open bus stops will be
located on the sidewalks.
Along all avenues and streets, drainage and asphalt pavement will either be
replaced by a new one or restored when possible. At both terminals and bus stops
a concrete pavement will be used. New traffic signals, public lighting and
landscape will be also provided.
The corridor segment between Nova Odessa and Americana required major
works, since the only link between the two city passes under a state highway and
is very busy.
A new design was proposed with a rotary and a one direction (Nova Odessa to
Americana) two lane overpass (300 m long).
An underground technical trench to house cables (telephone, cable TV, optical
fiber an also an Intelligent Transport System – ITS) was proposed along the
avenues central medias.
2.3 Construction costs
The estimated corridor’s construction budget, to be sponsored by the São Paulo

State Government, is R$180,000,000.00 (US$ 60,000,000.00) (May 2015).
The corridor is presently under construction and is expected to operate in mid-
2016.
3 The Guarulhos Corridor

The Ticoatira–Vila Endres segment (4.0 km long) is a segment of the Guarulhos
Corridor (total length: 20.00) and has a strategic role because it connects São
Paulo’s eastern sector to Guarulhos, both of which are part of the São Paulo
Metropolitan Region. This project will cater to a total population of 2.6 million
inhabitants and also will provide access to the São Paulo International Airport [4].
3.1 Feasibility analysis
3.1.1 Transport demand studies

These studies follow the same steps presented for the Northwest Corridor (item
2.1.1) [5]. In this case, EMME was the mathematical simulation model used and
forecasts were made for 2014, 2018 and 2025.
The transport service network included city and intercity bus lines as well the
metro and the commuter train.
The peak hour public transport demand estimates following were: 2.98 million
pax/hr (2014), 3.22 million pax/hr (2018) and 3.54 million pax/hr (2025).
The Ticoatira–Vila Endres segment was the most congested section. It carries
1,875 pax/hr (Guarulhos to São Paulo direction), Figure 3.
Figure 3: The Vila Endres–Ticoatira in/out peak hour passengers.
3.1.2 Urban insertion and sustainability

The Ticoatira–Vila Endres segment shall pass through a consolidated, dense, hilly
urban area. Expropriation minimization and commerce/services activity disruption
were the main concerns when studying alternative plans.
The selected alternative plan follows mainly along Guarulhos and Gabriela
Mistral avenues, the main arterial roads in the area.
Since this is an already-built environment, no sustainability study was
conducted. However, “green roofs” were proposed for all bus stops.
3.1.3 Evaluation and analysis

Both economic and financial evaluation followed the same methodology presented
for the Northwest Corridor (presented in section 2.1.3).
The results for the economic evaluation showed a 25.75% internal rate of
return. The financial evaluation resulted in a 66.2% internal rate of return and pay
back on the third year [5].
3.1.4 Conceptual design

Guarulhos Avenue, on the Guarulhos side, is one of the most important
connections between the two cities and houses many commerce/services activities
[6].
This avenue is a half-hillside construction, so its widening would cause large
expropriations and accessibility and connectivity problems. Since the central
median is narrow, each bus stop was split into two parts: one for each traffic
direction. In this case, there is no bikeway.
Gabriela Mistral Avenue, on the São Paulo side, is the continuation of
Guarulhos Avenue after crossing the bridge. It is an arterial road as well and is
10 m, with households and commerce on both sides. In this case, the construction
of a two-way avenue with central median was proposed, although this will result
in large expropriations on one side.
The most import characteristic of this plan is the elimination of two existing
bottlenecks: the proposed duplication of a bridge crossing both a freeway and a
river; and the construction of two underpasses on a railway crossing.
The Vila Endres terminal will be located in the middle of a rapidly expanding
residential area and will integrate all Guarulhos corridor bus lines.
The Ticoatira terminal will integrate intercity and city bus lines with the metro
and commuter trains network. Its location is not yet defined, so only a larger bus
stop (transfer point) was proposed.
Bus services are to be reorganized: 8 trunk intercity bus lines will run along the
corridor. There are also 11 passing-through intercity bus lines and 5 city bus feeder
lines.
Trunk intercity bus lines will operate articulated two sided buses (capacity: 150
pax) and the remaining ones, single buses (capacity: 80 pax). All are supposed to
be biodiesel powered and will be equipped with automatic fare collectors and real-
time monitoring.
3.2 The corridor design
This section summarizes the corridor’s design premises [6].
3.2.1 Architecture design: bus stops and terminal

There are 7 standard bus stops and one larger at Ticoatira (transfer point). Due to
space restraints each bus stop was split in two parts, each one servicing one traffic
direction.
The main purpose of the architecture design was to have innovative and modern
bus stops fit to provide comfort and safety to its users. All bus stops will have a
“green roof” and are well lighted and ventilated; have seats, displays with displays
with real time operational information as well as traditional operation information,
such as lines, schedules and maps. Bus stops located on central median have
closing platform doors in order to avoid fare evasion.
The Vila Endres multimodal terminal is a one story building (11,000 m2)
located in the middle of a residential area. Both intercity and city bus lines will
operate on street level providing safe access to pedestrians, bikes and taxis. Users
can board the buses using their prepaid fare card or with single tickets bought at
terminal booths. This terminal will house 8 intercity bus lines, 4 city bus lines and
36 intercity passing through bus lines.
The terminal modern architecture is intended to constitute a landmark and also
provide a friendly insertion within the residential area, Figure 4.
Figure 4: The Vila Endres terminal.
3.2.2 Engineering design: corridor and street network infrastructure

The bus corridor standard section along Guarulhos Avenue (3.5 km long) will be
a segregated bus lane (width: 3.50 m) and 1 x general traffic lanes (width: 3.60 m–
4.00 m) in each direction.
Due to topography and space restraints proposed interventions in Guarulhos
Avenue were restricted to drainage, pavement, lighting and traffic signal
improvements. No extra lane was proposed at bus stops for overtaking. Bus stops
will be located at the avenue central median.
Gabriela Mistral avenue will be widened and its standard section will comprise
a segregated bus lane (width: 3.50 m) and 2 x general traffic lanes (width: 2 x 3.50
m). In this case, engineering design includes all activities needed for a new road.
A new bridge will be added beside the existing and congested one, going over
a freeway and a river. This is a 300 m long bridge with a 95 m free span. The
construction of two new underpasses at the corridor x commuter train line crossing
will eliminate an existing bottleneck reducing travel times. The remaining 200 m
corridor length will be of existing urban streets providing access to Vila Endres
Terminal.
3.3 Construction costs
The estimated corridor’s construction budget, to be supported by the São Paulo

State Government, is R$ 170 million (US$ 57 million) (January 2014).
Due to the high cost, the State Government decided to split the corridor’s
construction in two stages. The first one comprises the bridge, two railway
underpasses and the bus terminal. The second one comprises all corridor and urban
streets infrastructure.
Construction works did not begun yet and there is not an operation start
forecasted deadline.
4 Conclusions
Several BRT system are already operating in many Brazilian cities (Rio de Janeiro,
Belo Horizonte, Goiania, etc.) with good performance indicators and users high
satisfaction rates. Many other are under planning/design/construction.
The Northwest and the Guarulhos corridors are the only examples of
metropolitan corridors and are to be tested. General goals of BRT corridors in
Brazil are mainly to improve bus public transport performance and also discourage
private car use.
References
[1] Metropolitan Transport Secretariat/São Paulo State, The Campinas
Metropolitan Region Urban Transport Masterplan, São Paulo, 2007.
[2] Metropolitan Urban Transport Company/São Paulo State, The Northwest
Corridor (Sumaré–S. Barbara d’Oeste): feasibility studies, São Paulo, 2013.
[3] Metropolitan Urban Transport Company/São Paulo State, The Northwest
Corridor (Sumaré–S. Barbara d’Oeste): conceptual and detailed design, São
Paulo, 2014.
[4] Metropolitan Urban Transport Company/São Paulo State, The São Paulo
Metropolitan Region Urban Transport Corridors Program, São Paulo, 2010.
[5] Metropolitan Urban Transport Company/São Paulo State, The Guarulhos
Corridor (Vila Endres–Ticoatira): feasibility studies, São Paulo, 2013.
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Corridor (Vila Endres–Ticoatira): conceptual and detailed design, São
Paulo, 2014.
An approach for the evaluation and

implementation of mixed rail operations
in harmony with non-motorized trails and
urban structure: the case of Xalapa, Mexico
D. Camacho & U. Martin
Railway and Transportation Engineering Institute,
University of Stuttgart, Germany
Abstract
An integrated transportation system is a prerequisite for urban sustainability.
Inefficient transportation systems contribute to pollution, increase transportation
time and costs, and promote urban sprawl. Midsize Mexican cities are increasingly
vulnerable to these problems due to planning that focuses on individual mobility
and separation of land uses. Part of the solution presented in this paper through the
case of the city of Xalapa, Mexico is to use existing underutilized urban railroad
corridors for the implementation of light and freight rail mixed operations with
non-motorized trails. The solution promotes multimodal mobility, accessibility,
and connectivity while making use of resources efficiently through
multifunctional spaces and infill development. These in turn increase train
operation safety and capacity, reduce urban barriers, promote harmonious city-
train coexistence and urban compactness. Mixed rail operation with trails is
complex and their technical, technological, operational, and institutional aspects
need to be established and adapted from existing models. This paper is the first
step toward establishing the requirements for implementation in the context of
midsize Mexican cities. The findings would be the basis for the development of a
standardized evaluation framework to determine the system’s feasibility. The
framework is based on a German evaluation scheme used for the evaluation of
large public transportation investments.
Keywords: underutilized track, mixed rail operations, shared track, light rail,
freight rail, rails-with-trails, non-motorized transport, standardized evaluation.
doi:10.2495/SC150301
1 Introduction and objectives

Cities today face an ever increasing need to procure land and financial means to
provide the mobility and accessibility required for a functional and sustainable
city. The norm in many Mexican cities is a lack of high quality, integrated
transportation systems, which results in low standards of living partly due to
longer commuting distances and times, road congestion, and pollution. An
available solution to provide a mass, well-coordinated and demand oriented
transportation system that helps mitigate these issues is the use of underutilized
railway corridors for mixed rail operations that include trails along the track for
non-motorized transportation (NMT). Many underutilized or abandoned railroad
corridors often traverse densely populated areas and connect important and even
strategic destinations; hence representing an attractive option for the provision of
flexible, high quality transit services right where people live that connect them to
places they want to go. Mixed rail operations promote an efficient use of resources
by maximizing the use of existing infrastructure and land while preventing
environmental and social problems related to transportation projects.
This paper continues a study which explored the sensibility and possibility of
implementing a mixed rail operation or shared track with trail system on an
underutilized railroad corridor in the city of Xalapa, Mexico (Camacho [1]). The
corridor was analyzed in regards to the urban structure around it, available space,
demographic aspects, and characteristics that would support a light rail transit
(LRT) system and justify a trail. The study concluded that the corridor is suitable
for the implementation of a shared track with trail system, but that further studies
should establish additional requirements and its economic feasibility. The goal of
this study is to create a framework that identifies and describes the additional
requirements in terms of preconditions for implementation and formalizes the
characteristics that determine the suitability of railway corridors. In addition, it
establishes the institutional, technical, and operational aspects to be considered,
analyzed and evaluated. The evaluation will be derived and adapted to Mexico
from a standardized scheme used in Germany for determining the feasibility of
large-scale public transportation systems. Technical norms, technology, and
regulations for track sharing and trails do not exist in Mexico. One aim of this
paper is to attract the attention of authorities to start the process of their creation.
2 Mixed rail operation and rails-with-trails

Mixed rail operation or shared track is the “commingled, simultaneous train
operation on shared track by railroad trains (e.g. freight) and rail transit vehicles”.
In the US, it is implemented under strict temporal separation (e.g. transit services
during day time and freight at night), but commingled and simultaneous operation
is possible after providing a “high burden of proof” regarding safety; however, this
has not been attempted in the US (Phraner et al. [2]). A variant from Europe, is
the “tram-train” defined as “a railroad system that produces a direct connection
between the regional area of a city and its town center. In the city it runs on tram
tracks and follows tram regulations. In the region, it runs on railroad tracks and
follows heavy rail regulations with additional requirements” (Naegeli et al. [3]).
The NMT trail along the tracks, known as rails-with-trails is “a multi-use trail
along railroad lines that are still active” (Birk et al. [4]).
The system proposed in this study is defined as a commingled shared track with
a trail within an urban center, which does not provide a regional service. However,
the system is conceived with the idea of expanding it as a regional tram-train if the
right conditions arise (e.g. regional travel demand to the city).
2.1 Expected benefits of the proposed concept
There are several benefits associated with shared tracks with trails. The most
obvious is the use of existing infrastructure in a multifunctional and cost effective
manner; increasing land and track productivity through the provision of a high
quality transportation system where people live and to places they want go with
minimum of transfer penalty (i.e. disconnect between two segments of a transit
trip). Likewise, LRT systems spark urban development (Phraner et al. [5]); hence
municipal revenue is potentially increased when paired with value capture
strategies. Additionally, as mentioned by Birk et al. [4], rail-with-trail (RWT)
projects reduce trespassing, dumping, and vandalism, particularly in areas with a
history of such problems, thus increasing safety and track capacity. A trail also
encourages non-motorized and public transportation (PuT) integration; while
increasing transportation choices and transit ridership, this benefit is enhanced if
the LRT is paired with a well-coordinated bus feeder system. An important aspect
of a trail is its potential to minimize urban barriers; achieved through a linear park
that becomes a destination rather than a monofunctional transportation corridor.
Also, through the care of the space by local authorities and park-like characteristic
of the trail, issues like garbage and poor drainage will be mitigated. This should
also be attractive to the concessionaire, since improving drainage prevents track
degradation, which results in lower maintenance costs.
2.2 Main challenge: safety
There are many complex challenges regarding shared track and RWT that need to
be recognized and dealt with accordingly. Most relate to safety and liability:
2.2.1 Mixed rail operation/shared track

US transportation agencies regard mixed light and freight rail as incompatible in
regards to safety, which leads to liability issues. The biggest concern is the use of
non-compliant rolling stock on railroads. Hence, US policy concentrates on
collision protection resulting in absolute temporal separation of involved trains.
Commingled use of tracks is possible, but is not favored (Phraner et al. [2]).
Temporal separation might constitute an unattractive option to operators, since
frequency and flexibility of operations is constrained; additionally, revenue and
operation expansion is restricted. The German philosophy and experience offer
excellent examples of capacity and safety. In Germany safety is also a concern,
but the philosophy is collision avoidance and impact attenuation (Phraner et al.
[2]). A safe operation involves better signal and control systems, a central, rigid
and disciplined operating program and dispatching practices that maintain an

excellent safety record as displayed by the Karlsruhe Model (Figure 1); the most
advanced system which shows system incremental expansion using surplus track
capacity in a financially feasible manner (Phraner et al. [2]).
Figure 1: Track sharing and trail in Karlsruhe, Germany. (Source: Benjamin

Kehrer.)
2.2.2 Rails-with-trails
In the US bringing people close to live tracks seems in direct opposition to what
railroad operators perceive as a good safety and operational practice. Railroad
owners worry about vandalism, trespassing, injuries and fatalities; they are in the
business of trains and anything not related to trains would be of minimum priority
and need to perceive a benefit before accepting any intervention in their right-of-
way (Birk et al. [4]). In Europe, however (Figure 2), paths are common along
shared tracks (Phraner et al. [5]).
Figure 2: Trails along German tram lines are common (e.g. Stuttgart).
Finding a common ground and benefits for the railroad can spark the support
needed for implementation (Birk et al. [4]).
3 The Mexican context and the study area

3.1 Mexican railroads
Mexico has an extensive railroad infrastructure, which was privatized in 1995. The
privatization consists of granting 50-year concessions for the exploitation of
railroad lines (Congreso [6]). Privatization sought to increase productivity and
competiveness. The role of the government, owner of the infrastructure, is to set
policies for further development. Although the main focus has been freight
transport, passenger services still can be implemented on any track, at any point
in time and through any interested agent so long the project includes the technical
and operational aspects that ensure safety, feasibility studies, and financing
schemes (Congreso [6]). Regulations strongly protect the rights to track access,
which need to be negotiated with operators in terms of charges, types of service
allowed, permissible volumes of traffic, dispatching priority, etc. The government
will only establish its classification, characteristics and modalities of operation
(Congreso [6]). Railroads and train based public transit (i.e. LRT) are regulated
under the same governmental agency, although transit is operated by local
governments. The few passenger and transit systems that exist occur mainly on
exclusive right-of-ways, so there are no mixed traffic systems. Passenger systems
on existing tracks are implemented on corridors with extra capacity (only one,
under time separation) or abandoned tracks (Gorostiza [7]), which in cities, often
cross densely populated areas (Camacho [1]). Examples of transit systems in
Mexico provide no sign as to whether a commingled mixed rail operation would
be rejected or accepted. However, the lack of shared track regulations and norms
represents both a concern and an opportunity.
3.2 Xalapa
Xalapa is the capital of the state of Veracruz; it has a population of about 470,000
inhabitants and a population of 600,000 in its greater area. The municipality of
Xalapa is urban in character and still displays a compact structure despite its
master plan, which encourages sprawl and separation of uses (Camacho [1]).
Xalapa is located between Mexico City and the port of Veracruz, the largest port
in Mexico. This places Xalapa in a strategic position, but also creates problems
caused by the railroad line that connects the port to Mexico City and the US. Train
traffic is expected to grow due to the planed port expansion, which would
exacerbate the existing train-city interaction issues (e.g. safety, urban barrier). In
Xalapa 40% of the population uses cars, 40% uses PuT, and 20% walks (IDB [8]).
Xalapa has no bicycle culture, but efforts are made to introduce the use of bicycles.
In Xalapa, there are over 89 bus routes, and 1,208 registered buses that currently
offer 50% more than the needed capacity (IDB [8]). The amount of private cars,
taxis and buses surpass the existing available street surface (Camacho [1]), which
causes severe congestion problems. This situation creates political and public
support for an LRT system on the existing tracks.
3.3 Xalapa’s corridor
The railroad corridor traversing Xalapa from north to south is approx. 9 km. The
track passes through important trip origins and destinations (e.g. housing areas, a
long distance bus station, the University) and influences about 122,000 people
(IDB [8]). Several large avenues with bus lines cross the corridor. The corridor is
under concession to a US freight company (Kansas City Southern de Mexico) and
consists of a single track laid on a 1.97% slope, two former secondary passenger
high level platform stations, a main high level platform station and a 20-hectare
shunting yard in the middle of the corridor. People live right up to or within the
right-of-way, hence trespassing is a frequent issue, causing accidents and forcing
the train to operate at low speeds. The line displays a low traffic volume of about
five trains per day (fewer were observed). Due to the low traffic, gentle slope and
connections, people get encouraged to walk on the tracks causing serious safety
issues. Social and leisure activities occur in close proximity to the tracks
(Camacho [1]). In this sense, the urban barrier caused by the track is mitigated by
the people, who at the same time provide clues as to what is required to mitigate
issues. Environmental problems are also present due to the lack of maintenance of
the right-of-way (e.g. drainage and garbage) and handful of encroachments with
no services. One important social issue is crime which is also common due to a
lack of municipal security services in the area.
4 Aspects required for shared track with trail systems

To be able to create a framework to implement and evaluate the concept, it is
necessary to define its preconditions, characteristics, and requirements. The
preconditions established in this study are mainly related to political and
regulatory aspects; beyond the power of even the best technical solution. In
addition, not all urban underutilized tracks would be apt for a shared track system,
so the characteristics determining suitability should be established in order to
eliminate unsuitable candidates. Aspects that can be solved within reasonable
institutional, technical and operational solutions will be listed as requirements.
Safety, although part of these aspects, is mentioned on its own since it introduces
the concept of liability and risk assessment.
4.1 Preconditions
The following is an initial list of preconditions that need to be met before a shared
track system is considered:
1. Regulations and technical standards need to exist.
2. Competent authorities need to understand the concept and support it.
3. A champion within the municipal government is needed.
4. Need to improve mobility due to road congestion and deficient PuT.
5. There needs to be a high or relative high PuT culture (Van der Bijl and
Kühn [9]).
Some of these aspects are without a doubt complex and appear to be
insurmountable, but existing examples show they can be overcome. Additionally,
as some of these preconditions are met, they are removed from the list and become
the system’s regulatory base (e.g. national technical norms).
Other preconditions from the European experience include: recognition of
transit needs by federal authorities, transit funding programs, federal funded
research (i.e. shared track), regionalization of transit services and privatization of
the railroad system, which open for bid any track with operational deficit.
Fortunately, in Mexico many of these preconditions already take place. For
instance the federal government does recognize the need for transit systems and
has created a program (PROTRAM) which promotes and co-finances transit
systems in cooperation with local authorities. Furthermore, a new railroad agency
is being created, which will be responsible of conducting research and create
technical standards and regulations. Lastly, the railroad system in Mexico is

privatized and seeks to encourage track productivity through competition and track
access rights. Although these issues do not directly address shared track systems,
they pave the road for discussion.
4.2 Characteristics for a suitable corridor
Several publications list characteristics or check lists for successful track sharing
systems. However, they do not completely apply to the system proposed in this
paper since their focus is on regional tram-trains or because they reflect another
context (e.g. political). The system proposed in this paper reflects the need for a
shared track within an urban context. In this sense, the corridor should support the
implementation of a transit system. It has already been mentioned that a study
performed an evaluation of Xalapa’s corridor based on the following
characteristics: location of the track around a transport supportive urban structure
(i.e. density, land use, land use intensity, origin and destinations, destinations with
special functions), low level of freight traffic: hence capacity, and enough width
of right-of-way for the implementation of the NMT trail (Camacho [1]).
4.3 Requirements for a shared track system
4.3.1 Institutional aspects

Track sharing makes use of two different track environments and an organization
that understands both systems should be in place to coordinate the operation,
including training other personnel regarding operating rules and control systems
of both types of operation (Naegeli et al. [3]). For example, a concept that helped
advance track sharing in Germany is the implementation of strong oversight local
organizations that offer customers a uniform transport system: one network, one
schedule, one tariff, one ticket independent of transport undertaking (Phraner et
al. [5]). A similar approach to integration and oversight should be implemented in
Mexico. Other important aspects often forgotten include the following:
4.3.1.1 Stakeholder collaboration and public participation Coordination and

negotiation are essential for shared track and trail systems. Not performing these
efficiently would make a project fail. Identifying the important stakeholders and
involving them at the right time is crucial. The most common stakeholders are the
rail transit authority, freight railroad owner and concessionaire, transit riders, and
transportation regulators (Phraner et al. [2]). All these stakeholders have different
needs and goals that need to be properly addressed. An often forgotten group is
the general public, whose participation implies benefits such as the improvement
of the quality of decisions, the increase of ease of implementation, the
minimization of costs and delays, the avoidance of worst-case scenario
confrontations, the creation of an atmosphere that maintains credibility and
legitimacy, the anticipation of public concerns, the opportunity to educate about
the new system, and the development of the civil society (Creighton [10]).
Important is to develop programs that allow stakeholders to voice their opinion in

an organized, efficient and respectful manner.
4.3.1.2 Urban development and land use-transportation integration One

aim of shared track with trail systems in urban corridors is to improve urban and
environmental degradation. In Xalapa, people live and perform their activities in
close proximity to the tracks. This creates problems (e.g. safety, littering), which
are enhanced by the lack of jurisdiction of the municipal authorities to care for the
space. The implementation of a shared track with trail system could improve the
issues by involving the stakeholders and forcing them to coordinate and distribute
responsibilities in relation to the management of the space. Moreover, the
implementation would spark development and urban regeneration, especially if
urban and land use planning strategies are in place. In Xalapa, the corridor runs
though consolidated urban areas that already display the urban characteristics (e.g.
density) that support transit systems (Camacho [1]). The LRT system in turn
would enhance the space and formalize it (e.g. it would provide the legal elements
that allow transportation and development). In addition, a trail would improve the
environmental quality of the space by creating a linear park that acts like an urban
seam rather than a barrier, which would also encourage growth. Thus a synergy
between urban and transport systems is created. This may sound dangerous in
close proximity to a live railroad, but the reality is that the space already
experiences great safety problems. Organizing it by placing a linear park type trail
and a transit system would discourage people from entering the tracks. As
previously mentioned, there is a high correlation between RWT projects and
reduced trespassing and vandalism, particularly in areas with a history of such
problems. This is because people chose to walk on the trail, and because RWTs
channelize users to safe crossings (Birk et al. [4]). What needs to be avoided is the
complete confinement of the track with fences or the use of pedestrian bridges
instead of crossings; this would exacerbate the urban barrier, and lower
accessibility (e.g. people in wheelchairs) and connectivity.
4.3.2 Technical aspects

It is important to look into cost effective technical and technological solutions that
are safe, flexible, and adaptable. In Mexico, the railroad system is developing and
lacks many technical standards; there is room for innovation and adaptation.
However, caution needs to be exercised since the rolling stock is similar to that in
the US, whose dimensions have conflicts with several aspects of the infrastructure
(e.g. overhead wires).
4.3.2.1 Physical plant/infrastructure Operating two different types of train

systems has impacts on the infrastructure. The following are infrastructural aspects
that may be impacted:
Track bedding: should conform to freight traffic standards due to heavier loads.
Cant and alignment: should minimize negative impacts of mixed rail operations
and ensure an efficient use of the track.
Radius: should assure fast, safe and comfortable movement of trains around curves
and turnouts without causing an excessive degradation of the track.
Gauge and rail profile: Mexico’s railroad system uses standard gauge; however,
if a wide profile is chosen, it may promote pedestrian tripping in mixed traffic
areas (Phraner et al. [2]). Nonetheless, this allows LRVs to be used in more
sections of the railroad network; allowing the expansion of the system if required.
Clearance (Dynamic envelope): impacts LRT structures along the track (e.g.
platforms), and components like overhead wires since the vertical clearance of US
freight rolling stock is larger than the minimum clearance required by LRT
catenary systems; thus impacting the vehicle choice.
Stations: station design needs to consider clearance requirements in terms of
platforms (high or low), the type of vehicles used, accessibility, information
systems and the operational quality (e.g. dwell time).
Civil works: drainage, grading, and other aspects like bridges and tunnels need to
be carefully analyzed in regards to capacity, safety and costs.
Operation and maintenance facilities and depot: these facilities can potentially be
shared with existing railroad facilities.
Trails: trails along a live railroad line within an urban area need to be carefully
designed since it would be used by users with different goals and needs. For the
railroad company, however, the barrier design to keep people off the racks is more
important, but should not decrease accessibility and connectivity.
4.3.2.2 Vehicles and power systems The biggest limitation for track sharing in
the US is the non-compliance of vehicles in terms of buff strength (i.e.
crashworthiness). However, increasing the strength is not a viable solution due to
the minimum braking performance required; as strength is increased so is the
weight and the breaking distance, which has been reported to be the main culprit
of up to 80% of train collisions in Germany (Phraner et al. [2]). The German
approach consists of improving signalling and braking systems as well as vehicle
design standards that absorb the energy of a crash (Phraner et al. [2]).
In track sharing systems choosing the right vehicle is important since it
represents up to 20% of the total capital cost (ScanRail [11]). The vehicle criteria
should include power supply, platforms, operation requirements, functional design
for operation optimization, passenger information systems, accessibility, ticket
selling and validation, and aesthetics (ScanRail [11]).
Maintaining the system’s flexibility and adaptability in terms of rolling stock
is also important. As the city of Kassel, Germany shows (Figure 3), it is feasible
to operate all-electric and diesel trams and use them as required (Phraner et al.
Figure 3: Tram-train in Kassel, Germany: dual mode diesel/electric. (Source:

Eastpath.)
[2]). Flexibility is then increased by the use of wireless vehicles such as DMUs
(Diesel Multiple Units) or dual systems (diesel/electric, electric/electric). In
addition using vehicles that do not require wayside power supply also represents
capital cost savings, which suits the Mexican context. In Mexico track
electrification is not common and should be avoided for corridors with freight
traffic since the structural gauge of freight trains exceeds the minimum height
required for overhead wires.
4.3.3 Operational aspects

Safety is the single biggest concern in shared track with trail operations. In track
sharing the issue is the non-compatibility of vehicles in terms of crashworthiness.
In rails-with-trails the problem is people’s proximity to live tracks. Both of these
situations increase operators’ liability and risks to the users. However, safety in
shared track systems can be greatly enhanced through operational aspects that
consider and analyze the special characteristics of both train systems. The analysis
results in recommendations regarding operational requirements, such as signal and
control systems (e.g. systems that allow train to be stopped automatically),
communication centers (e.g. can communicate with all trains or set signals),
operating rules (speed, length of train, etc.) and programs (train mixture), as well
as potential policies, and institutional structure enhancements to ensure the safety
of all users (Phraner et al. [2]). Other considerations include train dispatching
practices and personnel training in transit and railroad rules and regulations
(Phraner et al. [2]).
Safety is also important regarding the different transport systems interacting at
crossing and to trail users along the track. For this, it is important to analyze the
overall safety of the system in terms of the overlap principle, which calls for
comprehensive, beyond the strictly necessary minimum safety measures on the
part of all involved modes of transportation. This prevents gaps between transport
modes’ safety measures that would increase the probability of accidents. Measures
at crossings can be technical (e.g. physical barriers) or nontechnical (e.g. signs);
including educational. In regards to people along the tracks, it is necessary to
establish the geometric and barrier design that would deter trespassing, prevent
negative effects on the operation, and keep people at a prudent distance. The
measures should encourage users to use crossing points.
However, operational aspects are not limited to safety, they also involve track
capacity, which is the maximum number of trains that may be operated on a given
infrastructure at the same time while holding an acceptable quality of operation
(i.e. waiting time) [12, 13]. To determine the maximum capacity of a given track,
capacity research methods are employed (Martin [14]). The result of the analysis
shows the optimal range of track utilization (higher productivity) in terms of a
range of trains per unit time which correspond to a desired waiting time value. As
such, capacity research can be used to determine the adequate track infrastructure,
the appropriate signal and control systems, and to establish the operating
performance (Martin [14]). For an urban shared track system, the capacity research
analysis should have special considerations in regards to mixed traffic, since the
railroad crosses many car and NMT intersections (Martin [15]).
Capacity research constitutes an important aspect for the track sharing

negotiation process since in order to enlist a freight operator, the benefits of new
rules and systems need to be quantified. Lastly, it is important that costs involved
in upgrading the system are not borne by the concessionaire.
4.3.4 Safety
Safety is central to all aspects mentioned. The main concern related to safety is
liability, which is the biggest obstacle to shared track in the US (Phraner et al. [2]).
4.3.4.1 Liability It is the legal concept used to measure financial value of

potential damage is liability. A systematic approach to liability protection is the
use of risk evaluation, which results in measurement of system design features that
increase or reduce risk. In Xalapa where people walk on and live close to the track,
which already represents a liability issue, proving that by implementing the
concepts (e.g. RWT) the risk within the corridor is reduced, is very valuable to
gain support for the system.
4.3.4.2 Risk analysis It focuses on impacts that proposed changes exert on the
safety of a specific corridor. For this, past existing safety and accident data need
to be obtained (Phraner et al. [2]). In Germany, risk assessment is applied to
railroad and LRT shared track practices and played a key role in regulatory
changes that allow shared track operation. However, railroad and transit operators
need to share the risk among them. Hazard and risk analysis, operation simulation
and feasibility evaluations are used as tools for shaping legal frameworks,
influences public opinion and convinces freight train operators. If accident data is
not available, typical cases will be used to perform the analysis (Phraner et al. [2]).
5 Evaluation
Shared track and trails compete for funding with other transportation projects and
do so under disadvantageous conditions due to their complexity; hence it is
important to prove their superior social, environmental, and economic benefits. To
perform an objective and transparent proof of benefits, it is necessary to ensure an
optimal and formalized procedure for project evaluation. The evaluation proposed
in this study is based on a German scheme used as a legal requirement for large
PuT projects (i.e. >25 million Euros) (ITP and VWI [16]). The evaluation has also
been successfully applied to other European countries adapted to China through a
pilot project in Shanghai which aims at determining the feasibility of LRT systems
(Martin et al. [17]). By the same token, the scheme will be adapted to Mexico in
consideration to available data, socioeconomic as well as political contexts and
comparison to current evaluation methods.
The evaluation’s goal is to optimize the benefits of public transport investment
(Martin [14]) in order select the most beneficial project among many possible
courses of action and limited financial resources. The evaluation consists of cost-
benefit investigations (cost benefit, cost-effectiveness, value-benefit) of
qualitative and quantitative aspects, investment calculation and quantification of
input data, which determine the macroeconomic and social importance of public
investment and assesses technical and economic criteria, as well as impact on the
general public, the users, the environment (ITP and VWI [16]) and urban impacts
(e.g. land value). Within the evaluation a subsequent cost analysis provides three
kinds of values for every party involved: the cash-flow balances, the net present
value of cash-flow and changes of annual figures, which provide a clue about the
financial success (Martin [14]). The evaluation represents the overall economic
benefit brought by the project during service, the quality of service improvement,
and debt service for the complete infrastructure (Martin [14]). The evaluation is
only accepted when the general economic benefit (i.e. the ration of benefits and
costs) is higher than one. To adequately determine the macroeconomic impacts,
the evaluation uses the “with case” and “without case” principle in yearly time
intervals and the annuity method for calculation of capital costs and benefits are
determined as constant annual amounts. Costs include infrastructure, vehicles,
maintenance, PuT operating cost, automobile operation costs, travel time,
personnel, energy, accident and noise and emissions.
6 Conclusion
Track sharing with trails represent solutions that make use of resources efficiently
while providing benefits to society and urban environments. This is realized
through implementing high quality multimodal transportation systems in places
where traditionally social and urban problems exist, but their implementation is
complex. The main concern is safety and distribution of responsibilities and
liability. However, there are excellent examples of cost efficient solutions
available which can be adapted, especially if the railroad system is still
underdeveloped or tracks have extra capacity. Important is to create an
implementation framework that indicates the institutional, technical and
operational aspects to be considered for a safe and cost efficient system. The
framework demonstrates social benefits and risks in a transparent manner so
decision makers are able to understand the concept and support it. The proposed
framework also describes preconditions for implementation and the characteristics
that determine a corridor’s suitability. The German shared track experience, due
to its success, guides the way to an efficient and safe system that caters to all
stakeholders. The US examples show how focusing only on one mode of rail
transport reduces track productivity especially for tracks with low traffic volumes.
A more balance used of the infrastructure, especially within urban areas should be
perused through track sharing which could eventually grow and service their
region. Current policies in Mexico provide tools that support the implementation
of these systems. It is just a matter of starting in the right direction, which is the
intent of this study.
References
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Urban Freight Rail Corridor in Xalapa, Mexico. Master Thesis, MIP, Univ.
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Railroads,” TRB, National Research Council, Washington, DC, 2001.
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Transition pathways of e-mobility services

E. Gould1,2, W. Wehrmeyer1 & M. Leach1
1
Centre for Environmental Strategy, University of Surrey, UK
2
Schneider Electric, UK
Abstract
The concept of mobility is developing in to a complete solution composed of
various modes of transport and alternative ownership models. Evidence suggests
that Mobility-as-a-Service will become integral to society, incorporating mobile
apps for payment and location-aided services, thus ensuring ease of use and
functionality [1]. This is a considerable opportunity to decarbonise transport
within cities, reducing the need for private car ownership and utilising electric
vehicles within the mobility model. There is however uncertainty of what and how
this should be implemented and therefore requires further research within the
transitions field.
This research will investigate city mobility services, specifically e-mobility.
This will be considered in the context of product-service systems to explore the
existing market and identify transition pathways. Use-oriented services are the
primary focus as the business models are most explicitly linked to car sharing,
renting and pooling.
The level of uptake of e-mobility services is reliant upon the interest and
acceptance of society and the mechanisms put in place by Government and private
enterprise. An expected outcome of this research is a requirement for greater
collaboration between Government and private enterprise, in order to initially fund
city schemes but also ensure they are viable in the long term. It can be expected
that data must be shared to a greater extent between the public and private sector
and that this is accessible to citizens. Both of these factors will affect people’s
choice of transport mode through availability of vehicles and real time information
on travel options.
Keywords: electric vehicles, urban, e-mobility, mobility-as-a-service, product
service systems, use-oriented.
doi:10.2495/SC150311
1 Introduction
Cars currently contribute 12% of total EU emissions of carbon dioxide; the
European Union target requires a 40% reduction by 2021 [2]. As the fastest
growing contributor to climate change methods of transportation need to be
challenged [3]. Broadening the availability of alternatives to car ownership has the
opportunity to reduce transport emissions. The concept of mobility has
dramatically changed over recent years; evidence suggests that Mobility-as-a-
Service (MaaS) will become integral to society. MaaS incorporates mobile apps
for payment and location-aided services to ensure ease of use and functionality
[1]. A transition to MaaS will require a fundamental change in market concepts in
order to “shift from one socio-technical system to another i.e. a system innovation”
[4].
A study conducted by LSE [5] indicated that shifting to greener modes of
transport is the most important strategy to achieve sustainable transport. MaaS can
introduce alternatively fuelled vehicles (AFVs) in to the city transport portfolio.
This paper will specifically consider electric vehicles (EVs) in an urban context.
EVs being used across a city at multiple vehicle pick-up and drop-off locations,
removes many of the barriers to EVs such as high purchase price and range
anxiety. More so, the niche application of EVs within this context can assist the
transition to an established and broader EV network.
The move from a product-led business model of traditional car ownership and
leasing, to a product-service system introduces car sharing, renting and pooling.
This introduces new ownership and revenue structures that use subscription or
pay-as-you-go based models, transferring vehicle responsibility and risk on to the
service provider [6]. This transition in vehicle use requires a shift in behaviour and
asset culture to dematerialise the transport sector. In seeking to deepen
understanding on how to achieve this within a city, the paper will explore
examples of e-mobility models. Product-service systems will be analysed with
particular focus on use-orientated services, as the business models are most
explicitly linked to car sharing, renting and pooling. It will then be discussed how
cities can appropriately transition to such use-oriented services.
2 Product-service systems
Sustainability of the automobile industry requires behavioural and system-level
changes [7]. In order to achieve this there is an emphasis to adopt a product-service
system (PSS). This has been defined as “a marketable set of products and services
capable of jointly fulfilling a user’s need” [8]. Mont [9] further explains PSS as “a
system of products, services, supporting networks and infrastructure that is
designed to be: competitive, satisfy customer needs and have a lower
environmental impact than traditional business models”.
Product-service systems have the opportunity to continuously innovate and
develop new offers [9]. In the product-service segment of the automotive industry
the most adaptable and innovative products are the additional services such as the
assistance services and location-aided apps. These are particularly important in
mobility solutions and add value through customer experience, building unique
relationships and customer loyalty [10].
Broadly PSSs can be classified in to three main categories: (i) product-
orientated services; (ii) use-oriented services; and (iii) result-orientated services.
This paper will focus on use-orientated services, by which the products remain
central to the offer and are managed by a service provider, whilst the utility is
provided as an output service unit for the desired level of use e.g. mobile phone
contract [9, 11]. In doing so alternative profitable revenue streams can be
identified and considerable changes in behaviour and culture can be achieved [11].
Applying PSS to e-mobility services, there are three approaches that can be
introduced: (i) the sale of the use of the product instead of the product itself, (ii)
the change to a leasing society, and (iii) the change in consumer attitudes from
sales to service orientation [9]. These three PSS elements will be considered in
regards to the examples given in Section 3 and then discussed in Section 4.
In order to evaluate PSS initiatives, Ehrenfeld [12] introduced five key
evaluative criteria: (i) evidence of ‘higher-order’ learning amongst stakeholders,
(ii) changes in infrastructure and institutional practice, (iii) changes in vehicle
design, manufacture and end-of-life management, (iv) changes in vehicle
ownership structure, and (v) changes in modes of producer-user interactions.
Although all five criteria are necessary to introducing and managing PSSs,
e-mobility services relates directly to (iv) and (v) categories. Furthermore,
Ehrenfeld indicates that changing the product concept eases the system transition;
therefore it could be argued that using EVs in car clubs instead of internal
combustion vehicles will encourage drivers to adopt the service [11]. This will be
discussed further in Sector 4.
3 Use-oriented services
Use-oriented mobility services increase efficiency of private transport in cities, for
example “one vehicle can service around 15 times more users daily than a privately
owned vehicle” [6]. As seen in Figure 1, there are three main use-orientated
services within the automotive industry. These can be used independently to each
other and other forms of transport, or can be in used in conjunction, with a
multitude of mobility services.
3.1 Product lease
Vehicle leasing is growing in popularity both by companies and private users as a

means to finance vehicle purchase. This model is used by corporations as a means
to lower their overhead costs, by providing employees leased cars rather than long
term company cars. There are two forms of leasing (i) traditional use and return,
and (ii) eco-leasing whereby the product is returned, dissembled and re-used as
raw materials. Eco-leasing introduces a more sustainable approach to car
ownership than outright purchase.
Figure 1: Types of use-orientated services within the automotive industry.
Product leasing could be argued to be an intermediary phase between

ownership and vehicle sharing. It shifts behaviour from owning assets to a pay-as-
you-go model, whilst having unlimited and individual access.
A mobility offer from BMWi 360° offers a range of services including
‘mobility solutions’ for those who purchase a BMWi EV. Customers wishing to
carry out extended journeys beyond the range of an EV can hire an appropriate
vehicle [13]. This is an encompassing approach to transport as it encourages
‘green’ behaviour where possible but the convenience of distance, speed and/or
size for specific journeys.
3.2 Product renting or sharing
There are a growing number of vehicle rental or sharing schemes that offer access
to a variety of vehicles to suit customer needs as required. In such instances the
provider will retain ownership of the vehicle and is often responsible for
maintenance and repair; the user pays a regular fee but does not have unlimited
and individual access. There are a number of examples of vehicle renting or
sharing across the globe that account for 1,788,000 car sharing members that have
access to 43,500 cars [14]. This is the biggest opportunity for e-mobility services
to leverage, below are three examples of EV schemes in progressive European
cities:
3.2.1 AutoLib’, Paris

Following trials Autolib’ launched in June 2012 with 250 of their own ‘Bluecars’
and 250 stations and centres. Today there are approximately 2,000 ‘Bluecars’ and
4,300 stations within the forty square mile city [15, 16]. Autolib’ was the first
public service EV plan to be orchestrated in a European city and is suggested to
have substituted 22,500 privately owned vehicles, the equivalent of over a hundred
million miles per year in an internal combustion engine (ICE) [15].
There are a range of payment models that offer flexibility and freedom to travel
across the city using a point-to-point business model unlocking the full potential
of electric car sharing [16]. Autolib’ supplies the vehicles and returns “the city’s
investment with subscription revenue and a parking space leasing agreement”, it
was expected this would take seven years but due to high utilisation rates the City’s
investment will be covered in less than four years [8]. The city is known for
parking bay shortages, Autolib’ provides access to 4,300 parking spaces (and
charging points) in desirable locations provided by the City of Paris. Furthermore,
“cars in Paris are driven only about 5% of the time and stay parked the remaining
95% of the time” thus enforcing the business case of e-mobility [6].
Autolib’ has normalised EVs in Paris and dramatically altered the
transportation mix within the city. The visibility of the vehicles, cost effectiveness
and ease of use are all key elements that challenge the embedded technological
lock-in of ICE vehicles. The high utilisation rates of Autolib’ demonstrates that
drivers are prepared to use AFVs for city travel and that despite a well-established
public transport network in Paris, car travel remains desirable and/or a more
appropriate transport mode for certain journeys. It is reported that the majority of
Autolib’ users are 25–49, 80% are men and the average distance is less than six
miles [17]. This would suggest that the importance of owning a vehicle is
diminishing in younger generations and the shift from product models to service
models may increase in popularity and viability.
3.2.2 Source London, London

In 2014 the Ballore Group took ownership of 1,300+ charging points across
London from the previous Government led ‘Plugged in Places’ scheme. Charging
infrastructure will increase to 4,500 by 2018, this will be a considerable shift for
London, especially if a pay-as-you-go model is used. The scheme will aim to be
high volume, high frequency with reservations holding for thirty minutes
encouraging it to be used on an ad hoc basis to meet both spontaneous and planned
journeys. With 37% of all trips in London per day (26 million trips a day) made
by private transport, the opportunity for EVs to populate the city is vast [18].
Gaining parking bays on a leasing agreement from 32 Boroughs will be
challenging for Source London as each Borough has its own parking requirements
and legislation. Car2Go, a car sharing scheme that operated in London ceased
operations due to the difficulty of working with the Boroughs. This will require
careful consideration for Source London as an integrated approach across the city
will be required for a viable scheme, alternatively it will be a more local offer for
those Boroughs involved.
3.2.3 DriveNow, Berlin

DriveNow is BMW’s car sharing service which operates in five German cities as
well as San Francisco and most recently London. In Berlin there are eight BMW
models available for hire including the pure electric, Active E. The scheme has
various DriveNow packages that specify payment either per minute or per hour
depending on the customers demand. Berlin has 900 cars in and around the S-Bahn
ring, twelve of which are pure electric. The service team refuel/recharge the
vehicles but if the tank/battery is low resulting in the driver ‘filling up’, twenty
minutes are granted to the customer’s account. This incentive encourages drivers
to interact with the vehicle, that being more important for the Active E to educate
and familiarise drivers with the technology, thus unlocking path dependencies.
DriveNow has streamlined the process of activating vehicles, charging and
parking encouraging adoption and replication for other cities. It is reported that
6% of 155,000 members globally did not purchase a new car directly because of
DriveNow and that 16% of members deferred buying a new car [19]. This
indicates the impact car clubs can have upon a city’s congestion through reducing
road vehicles alongside assisting to reinstate the balance of emissions and air
quality.
3.3 Product pooling
Vehicle pooling is similar to that of vehicle renting but the car is used
simultaneously by the user rather than sequentially. This requires considerably less
investment than car leasing/sharing with the need for fewer vehicles [10]. There
are two distinct client bases, the public and members often in a workplace
environment.
3.3.1 Hertz BilPool, Oslo

Hertz operate a car pooling service across Norway, with Oslo being the primary
area with a high concentration of vehicles including the Nissan Leaf and Volvo
C30 electric. There are two different levels of membership based on hours or
kilometres with optional weekend deals. It is an A-A model requiring the car to be
returned to the same location after use [20]. This does not provide the same level
of flexibility for drivers but guarantees parking availability and charging
infrastructure.
Hertz BilPool also offers corporate membership providing companies with
access to vehicles without requiring their own fleet. This removes the need for
company cars and/or a leasing agreement removing asset management,
maintenance and high overhead costs. Companies using this model can gradually
introduce AFVs to employees, bearing little risk.
For a population that is aligned with sustainability it appears e-mobility
services has not gained particular momentum. Despite the strong Government
support for EVs in Norway and the success of Tesla’s amongst other models in
Oslo, surprisingly there is not an overwhelming number of e-car clubs in the city
[21]. It could be argued this is due to the numerous incentives and subsidies that
make it attractive to own an EV. Although the policies set have been very positive
for the EV market, it has not assisted in diminishing congestion but rather
increased it. Consequently there is rising pressure on Norwegian ministers to
reduce incentives for EVs. Alternatively, funding could be redirected to support
schemes to reduce vehicle ownership such as e-mobility services [22].
4 Discussion
It is inevitable that urban mobility will adapt to regulatory pressures of climate
change, resulting in gradual political and economic changes [23]. However, due
to the stability of the transport sector the rate of which innovation can compete
with the existing system is gradual [23]. Currently mobility services are acting in
‘coalition’ (albeit with small market share) to the dominant system of internal
combustion owned vehicles. PSS requires a fundamental shift in culture, resources
and behaviour in order to overcome the psychological barriers, whether it is in
companies or the general populous.
Current cultural norms around car ownership and driving practices affect the
uptake of e-mobility services. For instance it is reported that the “UK’s strong
culture and tradition of private vehicle ownership” were more significant than
expected, one of the reasons for Car2Go exiting the market [24]. This has been
shaped by the UK economy and tax regime but it has now become embedded
within British culture. However younger generations (Generation Y and Z, from
1980 onwards) have begun to challenge this, largely due to the high cost of living,
opening up the opportunity for more service based models.
PSSs diversify the market for customers, introducing new services, business
models and vehicle technology. These will “simultaneously weaken the dominant
position of the ‘individual car’ system, and support alternative transition
pathways” [14]. The examples examined in Section 3 highlight four different
business models with varying degrees of user flexibility, whilst offering
alternatives to car ownership and fuel type. Having a wider portfolio of e-mobility
services across car sharing, leasing and pooling will likely increase suitability to a
wider populous and therefore adoption rate. Over time it will become evident
which service has greatest demand, at which point market forces will respond and
it will become a more competitive PSS.
As Mont [9] suggests there are three approaches of PSS that can be introduced
(i) the sale of the use of the product instead of the product itself, (ii) the change to
a leasing society, and (iii) the change in consumer attitudes from sales to service
orientation. As it has been identified, e-mobility services require approaches (i)
and (iii) in any given scenario and approach (ii) more specifically in product
leasing applications. The extent to which these approaches are achieved indicates
the rate and degree of which e-mobility will be adopted; a way of which to measure
this is not currently considered but deserves further attention.
It is suggested by Brown et al. [25] that there are two scenarios regarding a
collective change, either the innovation is widely adopted or the innovation is
more slowly diffused through society until it reaches a critical mass. This aligns
with the transition pathways strategy of socio-technical systems which can be
categorised in to (i) the adaptation of a dominant system, when an innovation is
widely adopted and becomes the dominant system through gradual changes
supported by a coalition of actors; or (ii) the attempt to take over the dominant
position which can create unstructured transition strategies and unaligned forces
[14]. Currently e-mobility services are gradually entering the market along an
established transition pathway due to societal forces and cultural norms that
prevent quick diffusion, along with no direct policy incentive. Therefore the niche
application of EVs requires greater support from policy in order to gain sufficient
momentum for a socio-technical transition.
Transitioning to a functional ‘experience’ economy shifting the role of the

manufacturer to the provision of services is argued to be complimentary to the
penetration of new products [9, 26]. Furthermore customers are “willing to pay
more than would be justified on the basis of ‘rational’ calculation” due to
intangible added value [10]. However as there is only a limited network that
supports e-mobility, further investment in infrastructure (hardware and software)
is required by city operators to make it a viable proposition. This is intensified as
transitioning to e-mobility moves the point of profit from a product sale to the
point of service that could be long term contracts or memberships. This requires
“close integration of all actors within the life-cycle of a product-service” [9].
Marletto [14] argues there needs to be a multilevel and multidimensional policy
for integrated urban transport by which EVs can play a secondary role. The
difficulty is to approximate the necessary level of motivation crowding to
influence users within reasonable margins. It is also necessary to consider
regulations and other measures such as tax incentives to ensure e-mobility
schemes are viable [27]. Car sharing and leasing are based on “the artefactual
system remains more less the same, but where innovative institutional
arrangements produce beneficial changes” [12]. Supporting policies incentivising
car sharing for those in the life-cycle of the product/service will further encourage
the transition. Additionally, policy makers could use e-mobility services as a
strategy to target key groups i.e. those who suffer from transport poverty.
Mont [28] suggests companies follow a five step process to develop a PSS: (i)
initial review of existing activities, (ii) marketing analysis, (iii) feasibility analysis,
(iv) implementation, and (v) continuous system development. These should be in
accordance to economic, social and environmental sustainability criteria
determined by the company. This should be applicable when transitioning to
e-mobility services from a city perspective (working in partnership with
infrastructure and service providers); examining the city platform to see where and
what services can be used. This methodology “identifies critical success factors,
such as consumer perception of trust in the function provider, constant feedback
concerning system function, changing customer needs (and) necessary changes in
the system” [29]. This requires regular stakeholder consultation to monitor
efficiencies and user satisfaction from the perspective of a service user and city
inhabitant.
Finally, as previously identified two (of the five) of Ehrenfeld’s [12] evaluative
criteria: (i) changes in vehicle ownership structure and (ii) changes in modes of
producer-user interactions, are key in considering transitioning to e-mobility
services. The examples considered in this paper have demonstrated a market for
alternative ownership structures and producer-user relationships that have proven
to be successful in the urban context. In order to fully optimise e-mobility services,
alongside public transport, real-time data of vehicle/charging availability should
be accessible to users.
5 Conclusions
E-mobility services can substantially decrease a city’s transport emissions and
congestion through reduced car ownership and car mileage. This requires
transitioning to a PSS approach with new market concepts and business models.
This paper has explored various use-oriented models to understand how cities can
introduce MaaS.
Adopting PSSs can introduce new revenue streams for companies in new
market segments and can facilitate innovation and competitiveness [9]. This is
particularly so in a mature industry such as the automotive industry. BMW for
example, have introduced a service to their standard portfolio (DriveNow) at a
high level of quality that will be difficult to replicate. Although this remains a
niche market and market offer it introduces a new approach to travel. Use-
orientated services challenge the embedded path dependent characteristics and
social norms of car ownership, fuel type and revenue structure.
The e-mobility services explored highlight the need for society to have a new
relationship with the car, adapting to a PSS requires a significant change in
behaviour. The premise of PSSs to continuously innovate means the market will
be led by a combination of market and societal forces. As the market develops and
more players compete, society will determine the dominant use-oriented service.
Until then, e-mobility services are being diffused through adaption of the dominant
ICE asset system.
Taking a combined approach to city transport can reduce congestion, air
pollution and emissions but requires an open data platform to be accessible to
monitor availability. In order not to put excess pressure on existing city services,
especially during peak demand, governments should work closely with service
providers. Furthermore target audiences or geographical areas could be focused
upon with the use of tax incentives and grants.
Further research will conduct interviews with service providers, such as
DriveNow. These will be semi-structured interviews across the three use-oriented
services to elaborate on the existing knowledge of PSSs and applicable transition
pathways within the transport sector. Additional research should be conducted on
the environmental implications of e-mobility services, considering the vehicle life-
cycle and the substituted use of owned vehicles.
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Analysis on acceptance of elderly drivers

for intelligent speed adaptation using
a driving simulator
R. Ando & Y. Mimura
Research Department,
TTRI (Toyota Transportation Research Institute), Japan
Abstract
This paper aims to make a discussion on acceptability of elderly drivers for
Intelligent Speed Adaptation (ISA) in Japan. In Japan, the issue focusing on the
traffic safety of elderly people has become one of most important issues because
Japan has been the most representative country to be the rapidly ageing society.
As a measure of traffic safety, the ISA is considered as an effective measure to
reduce the number of traffic accidents in the field of ITS (Intelligent
Transportation Systems) because the adaptable driving speeds let the traffic flow
smoothly and stably. Generally, there are three modes regarding the ISA: 1.
advisory mode, in which the driving speed information is provided to the driver as
the system detects that the vehicle is moving beyond the enforced speed limit; 2.
mandatory mode, by which the driving speed is regulated by the ISA so as not to
exceed the allowable speed; 3. voluntary mode, which extricate the mandatory
mode and grant the driver full control of the vehicle’s acceleration. Normally, the
mandatory type is the most effective one but is difficult to introduce because of
too many obstacles such as the freedom of personal choice, the limitation for the
automobile technology and so on. Comparatively the advisory type seems to be
the easiest one to introduce. The analysis is based on an experiment by using a
driving simulator. The targeted issues focus on the acceptances of both advisory
mode and mandatory mode for the elderly driver because grasping of the
acceptances for the ISA is absolutely essential to implement the novel system for
the ageing society of Japan. As the conclusion of the paper, the acceptances of the
elderly drivers for both mandatory ISA and advisory ISA on the community roads
are generally high.
Keywords: elderly drivers, ISA (Intelligent Speed Adaptation), driving simulator.
doi:10.2495/SC150321
1 Introduction
Traffic fatalities have been on the decline for 12 consecutive years in Japan. On
the other hand, the percentage of the fatalities in the community streets, in which
the road way width is narrower than 5.5 m, and the elderly people, who are 65 or
more, are increasing [1]. The speed of vehicle at the time of collision is greatly
related damage of traffic accidents [2]. Therefore, reducing the speeds is
considered as an expectable measure [3].
On the other hand, Japan has been the most representative country to be the
rapidly ageing society in the World. Regarding the traffic safety for the elderly
people, the issue may be discussed in both viewpoints being a victim in traffic
accidents or an offender who caused the traffic accidents. In this paper, we focus
on the latter viewpoint to discuss how to make the drive speed slow down so that
the traffic accidents resulting in injury may be decreased.
The Ninth Fundamental Traffic Safety Program of Japan was released in 2011
[1]. One concrete counter measure is to introduce Zone 30 widely in Japan. To
make Zone 30 really functional, the Intelligent Speed Adaptation (ISA), which is
one of the ITS (Intelligent Transportation Systems) technologies controlling
vehicle speed by means of an in-vehicle system, is considered to be effective [3].
Generally, the ISA is classified by three modes: 1. advisory mode, in which the
driving speed information is provided to the driver as the system detects that the
vehicle is moving beyond the enforced speed limit; 2. mandatory mode, by which
the driving speed is regulated by the ISA so as not to exceed the allowable speed;
3. voluntary mode, which extricate the mandatory mode and grant the driver full
control of the vehicle’s acceleration. Normally, the mandatory type is the most
effective one but is difficult to introduce because of too many obstacles such as
the freedom of personal choice, the limitation for the automobile technology and
so on. Comparatively, the advisory type seems to be the easiest one to introduce.
We believe that if the verification of the system effects were done properly, the
ISA will become innovative measures [4–6] to guarantee the effectiveness of the
speed limit in the community streets in Japan. Furthermore, considering primarily
the acceptances of the ISA for elderly driver is absolutely essential to implement
the novel system for the aging society of Japan.
This study aims to determine the acceptability of the elderly driver of the ISA.
The targeted issues focus on both advisory mode and mandatory mode.
2 Review on previous studies

The review can be made from two respects related with this study. One is on the
characteristics of the elderly drivers being different with the other drivers. Another
viewpoint is on the ISA applications.
The previous studies focusing on the elderly drivers’ characteristics are simply
reviewed in terms of Committee of the Elderly Drivers’ Driving Aptitude of
Chubu Branch [7] and International Association of Traffic and Safety Science [8].
The general understanding up to now in the World are widely common. The
decrease of the physical ability related with the driving ability is mainly because
the decrease of the eyesight, hearing ability and reaction velocity. The other
reasons causing the decrease of the driving ability are from the psychological
factors such as the elderly drivers tend to behave self-centeredness or egotism.
In addition to the above mentioned papers, the review on the ISA applications
are on the basis of special issue of Accident Analysis & Prevention with papers by
Carsten [9], Lai and Carsten [10], Lahrmann et al. [11, 12], Chorlton et al. [13],
van der Pas et al. [14] and Young et al. [15]. The ISA applications have been
widely studied in Europe and the World. All three modes of the ISA have been
concluded effective to reduce the speeds. Hinted from these studies, the ISA
services should be examined to be introduced into Japan as our main target is to
reduce the speeds. This is the one important purpose to do this study.
Meanwhile, the ISA may help the lots of elderly drivers who have problems
both of the physical and psychological aspects mentioned above, because the novel
system supports recognizing the current situation, making the correct judgments
so that making the correct operation while driving. Therefore we thought that a
comparative analysis by the age groups should be carried out.
3 Description of experiment
The experiment was made by using a driving simulator but including a test drive
on public roads. The test drive on the public roads let us compare the behavior
difference between the public roads and the driving simulator. However, the main
part was based on the drives using the driving simulator. This was because the
driving simulator could simulate many road environments and traffic scenarios.
Same road environment and traffic scenarios allowed the comparison on the
differences among the monitors. Furthermore, the different road environment and
traffic scenarios manifest their individual influence.
Driving simulator “D3sim” developed and provided by Mitsubishi Precision Co.
Ltd. was used. The driving simulation system consists of an operation stage, three
simulation computers, and four projectors. The screen is 1.5 m high and 2 m wide.
Four screens are located in the front, left front, right front and right side. The data
of the driving behavior and the vehicle movement are recorded at 120 Hz.
The objective ISA modes in this study include the mandatory mode and the
advisory mode. The voluntary mode was excluded because this study was an
experiment in the lab so the participants could not really choose by themselves to
release the function or not. Additionally, the advisory mode was designed in two
ways: picture and voice. The voice information was an audible short phrase, i.e.:
“speed limit is 30 km/h”; such voice was prior recorded and played when the speed
reaches to the speed limit. The picture information was shown in the upper position
of the front screen as depicted in Figure 1.
The test drive routes were shown in Figure 2. Two types of trunk roads and two
types of community roads were designed in terms of the general road environment
conditions. The trunk roads and the community roads were separated in this study
was because the different speed limits may make the drivers behave differently
including the reactions for the ISA measures.
Figure 1: Situation of the experiment (example of a narrow community road).
Figure 2: Objective roads used in the experiment.
In addition, two types of road environment conditions were designed here to

consider the quite different lane number or widths and so on. The concrete
descriptions of each type are listed in Table 1. The classes of road are in terms of
the Road Structure Order of Japan. Type 4 denotes the roads locating in an urban
area and Class 1 and 3 represents standards where Class 1 is the highest. During
the preparation, the 40 km/h speed limit had been discussed to be a factor for
designing the test drive route, too. By considering the experiment time allocation
and the workloads for the participants, the 40 km/h speed limit was excluded for
this study in order to make the experiment relatively easier to be made.
Table 1: Parameters of the objective roads.
Road No. of Lane Shoulder Sidewalk Width Speed

Class of roads
type lanes width width width of road limit
4-lane 4 3.25 0.50 3.00 20.0 Type 4, Class 1
Trunk roads 50km/h
2-lane 2 3.25 0.50 3.00 13.5 Type 4, Class 1
Community Wide 1 5.50 0.50 None 6.50 Type 4, Class 3

30km/h
roads Narrow 1 4.00 1.25 None 6.50 Type 4, Class 3
Note: unit of width=m
The experiment was carried out during October through to November in 2012.
60 monitors have been recruited including 26 elderly drivers who were 65 years
old and over, that are the main target age group, together with 15 adult drivers (30
through 64 years old) and 19 younger drivers (29 years old and younger) for the
comparison. Excluding 8 drivers quitted the experiment because of the kinetosis,
52 monitors participates the full experiment process finally. They were 19 elder
drivers (14 males and 5 females), 14 adult drivers (9 males and 5 females) and 19
younger drivers (18 males and 1 female).
The experiment was designed as consisting of the following steps:
1. The test drive is made on the public roads, then the questionnaire on the
experiment.
2. The drives were made without the ISA and without the speed limit signs
respective with four types of roads given in Table 1.
3. The drives were made without the ISA but with the speed limit signs
respective with the above four types of roads.
4. The drives were made with the mandatory ISA under the road environment
with the speed limit signs. Then the questionnaire on the mental loads was
implemented.
5. The drives were made with the advisory ISA under the road environment with
the speed limit signs. Then the questionnaire on the mental loads was
implemented.
6. Finally, the questionnaires about the personal attributes, the evaluation and
the consciousness on the ISA were implemented.
All monitors had a 5-minutes test drive in order to get used to the driving
simulator.
4 Experiment results and discussion

To discuss the acceptance of the ISA applications, we focus two respects: one is
about the mental loads and the other is about the evaluation after the test drives.
4.1 Analysis of influences on the mental loads
The mental loads are expressed as 6 types: panic, uneasy, nervous, tiring,
anxiously and impatient. All loads are measured by seven point scale survey: much
agree (-3), agree (-2), a little agree (-1), no opinion (0), a little disagree (1),
disagree (2) and much disagree (3). During our experiments, several monitors
could not experience the ISA applications because their driving speeds did not
exceed the speed limits, so that they have been excluded from the objectives of the
analysis.
Figure 3 through to Figure 6 show the mental loads by the age group with
respect for the mandatory ISA on the trunk roads, the mandatory ISA on the
community roads, the advisory ISA on the trunk roads and the advisory ISA on
the community roads.
3
2
1
0
-1
-2
-3
Elderly(n=10)
Elderly(n=10)
Elderly(n=10)
Elderly(n=10)
Elderly(n=10)
Elderly(n=10)
Adult(n=10)
Younger(n=15)
Adult(n=10)
Younger(n=15)
Adult(n=10)
Younger(n=15)
Adult(n=10)
Younger(n=15)
Adult(n=10)
Younger(n=15)
Adult(n=10)
Younger(n=15)
Panic** Uneasy Nervous Tiring Anxiously Impatient
Note 1: -3=much agree, -2=agree,-1=a little agree, 0=no opinion, 1=a little disagree,
2=disagree, 3=much disagree; Note 2: One-way analysis of variance (*=5%, **=1%
significant).
Figure 3: Mental loads of the mandatory ISA on the trunk roads (the mean
values and 95% confidence interval).
3
2
1
0
-1
-2
-3
Elderly(n=20)
Elderly(n=20)
Elderly(n=20)
Elderly(n=20)
Elderly(n=20)
Elderly(n=20)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Panic Uneasy* Nervous Tiring Anxiously Impatient

significant).
Figure 4: Mental loads of the mandatory ISA on the community roads (the mean
3
2
1
0
-1
-2
-3
Elderly(n=18)
Elderly(n=18)
Elderly(n=18)
Elderly(n=18)
Elderly(n=18)
Elderly(n=18)
Adult(n=9)
Younger(n=10)
Adult(n=9)
Younger(n=10)
Adult(n=9)
Younger(n=10)
Adult(n=9)
Younger(n=10)
Adult(n=9)
Younger(n=10)
Adult(n=9)
Younger(n=10)
Panic Uneasy Nervous Tiring Anxiously Impatient
significant).
Figure 5: Mental loads of the advisory ISA on the trunk roads (the mean values
and 95% confidence interval).
3
2
1
0
-1
-2
-3
Elderly(n=19)
Elderly(n=19)
Elderly(n=19)
Elderly(n=19)
Elderly(n=19)
Elderly(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Adult(n=14)
Younger(n=19)
Panic* Uneasy Nervous* Tiring Anxiously Impatient*

significant).
Figure 6: Mental loads of the advisory ISA on the community roads (the mean
At first, on the mandatory ISA (Figures 3 and 4), all age groups tend to give
positive results. Only the younger drivers show a minus value for the “uneasy”
(Figure 4). Regarding the differences among the age groups, there is a statistically
significant difference with the “panic” on the trunk roads in 1% level and a
statistically significant difference with the “uneasy” on the community roads in
5% level. On the trunk roads, the elderly drivers have more mental loads in the
viewpoint of “panic”. On the community roads, the younger drivers have more
mental loads in the viewpoint of “uneasy”.
Furthermore, although there are no statistically significant differences, the

elderly drivers tend to have more mental loads in the viewpoints of the “tiring”
and “impatient” on the trunk roads and the younger drivers tend to have more
mental loads in the viewpoint of the “nervous” on the community roads.
Summarizing the above, there are quite different results on the mandatory ISA by
the age group. On the trunk roads, the younger drivers feel less the meatal loads
and accept it very positively. On the community roads, the elderly drivers feel less
the meatal loads and accept it very positively.
Now let us go to see what are about the advisory ISA applications (Figures 5
and 6). All age groups have the mental loads on both the trunk roads and the
community roads in the viewpoint of the “uneasy”, that is, the minus values are
obtained. Regarding the differences among the age groups, there is no statistically
significant difference on the trunk roads. However, in the viewpoints of “panic”,
“nervous” and “impatient” on the community roads, there are statistically
significant differences at 5% level. As young the drivers’ age is, as more the
mental loads are. Furthermore, the younger drivers show the lower values for all
types of roads in all viewpoints even they may not be statistically significant. In a
conclusion, the elderly drivers tend to show more positive results, that is, the
elderly drivers have less mental loads especially on the community roads.
4.2 Evaluation for the ISA services
The evaluation for the ISA services are conducted by: 1. the reactions of the drivers
when the functions work for the drivers; 2. the general evaluation for the ISA
services after the drivers experienced the services; 3. the willingness to pay when
the service are put into the market; and 4. the considerations of the driver on
promoting the services. All evaluations are carried out in terms of the
questionnaire surveys.
Regarding the reactions of the drivers, as shown in Figure 7, the survey is based
on the four point scale: 1 (completely didn’t adjust the driving speed), 2 (didn’t
adjust the driving speed), 3 (tried to adjust the driving speed), and 4 (did best to
adjust the driving speed). For the mandatory ISA, there are statistically significant
differences among three age groups at 5% level. The elderly drivers tend to adjust
their driving speeds much more than the adult and the younger drivers groups.
However, for the advisory ISA, there is no statistically significant difference
among the age groups. All drivers tend to adjust their driving speeds. The reason
for the result on the mandatory ISA may be because the adult and the younger
drivers understood that the system controls the driving speeds automatically, but
the elderly drivers treat the system as same as the advisory ISA.
Figure 8 shows the general evaluation for the ISA services which is based on a
five point scale survey: 1=very bad, 2=not good, 3=no opinion, 4=good and
5=very good. Comparatively, the evaluations on the advisory ISA are higher than
that on the mandatory ISA. Generally, the elderly drivers have given higher
evaluation than the adult and the younger drivers. Especially, there are the
statistically significant differences among the age groups for the advisory ISA.
4
3
2
1 Elderly(n=11)
Adult(n=11)
Elderly(n=19)
Adult(n=14)
Younger(n=1
Younger(n=1
4)
9)
Mandatory* Advisory
Note 1: 1=completely didn’t adjust the driving speed, 2=didn’t adjust the driving speed,
3=tried to adjust the driving speed, 4=did best to adjust the driving speed; Note 2: One-way
analysis of variance (*=5%, **=1% significant).
Figure 7: Reaction for the ISA (the mean values and 95% confidence interval).
5
4
3
2
1
Elderly(n=11)
Elderly(n=19)
Adult(n=11)
Younger(n=14
Adult(n=14)
Younger(n=19
)
Mandatory Advisory**
Note 1: 1=very bad, 2=not good, 3=no opinion, 4=good, 5=very good; Note 2: One-way
analysis of variance (*=5%, **=1% significant).
Figure 8: Evaluation for the ISA services (the mean values and 95% confidence
interval).
As shown in Figure 9, the willingness to pay when the service is put into the
market is made by three choices in the survey: No which means “don’t make use
of”; Yes (without payment) which means making use of it with the condition being
charge free; and Yes (with payment) which means the driver is going to make use
of it even they may have to pay for it. Regarding “Yes” or “No”, the advisory ISA
show a larger potential than the mandatory ISA for the adult and the younger
groups. However, the elderly drivers show a contrary opinion. The elder drivers
like the mandatory ISA more. Then, from the viewpoint of payment, the results
don’t show a common sense. Furthermore, there is no statistically significant
difference among the three age groups.
As for the considerations of the driver on promoting the services, the four-point
scale survey has been applied by denoting 1=shouldn’t be promoted; 2=not
Note: Fisher’s exact test (degree of freedom= 4) doesn’t show a statistically

significant difference.
Figure 9: Market potentials of the ISA.
necessary to be promoted; 3=should be promoted; and 4=must be promoted.

Figure 10 shows the results by the ISA service and by the age group. Although the
younger drivers expressed a little negative consideration for the mandatory ISA
service, most of drivers gave the positive consideration on promoting the ISA
service for both the mandatory and advisory modes. When doing the statistical
tests among the age groups, there is no significant difference in terms of the one-
way analysis of variance.
Note 1: 1=shouldn’t be promoted, 2=not necessary to be promoted, 3=should be

promoted, 4=must be promoted; Note 2: One-way analysis of variance (*=5%,
**=1% significant).
Figure 10: Consideration for promoting ISA (the mean values and 95%
confidence interval).
5 Conclusions
The conclusions of this study can be listed as the followings on the basis of the
experiment results and discussions.
1. Regarding the acceptance in the viewpoint of mental loads, the elderly
drivers have shown the different results comparing to the younger drivers for
both mandatory and advisory ISA on the different roads. Firstly, as for the
mandatory ISA, the higher evaluation is obtained from the elderly drivers on
the community roads comparing to the younger drivers with less mental loads.
However, the evaluation of the elderly drivers on the trunk roads is lower
than the younger drivers with more mental loads. Then as for the advisory
ISA, the elderly drivers show higher evaluations than the younger drivers on
both the trunk roads and the community roads, that means being with less
mental loads. But it is much clearly on the community roads than on the trunk
roads.
2. In terms of the reactions for the ISA, regarding the mandatory ISA, the
elderly drivers tend to adjust their driving speeds much more active than the
younger drivers. However, there is no statistically significant difference
between the elderly drivers and the younger drivers with respectively to the
advisory ISA. Both the elderly drivers and the younger drivers tend to adjust
their driving speeds as the reactions for the ISA.
3. Generally, the evaluations on the advisory ISA are higher than that on the
mandatory ISA. Furthermore, the elderly drivers generally evaluated the ISA
higher than the adult and the younger groups.
4. As for the market potentials of the ISA, there are no statistically significant
differences among the different age groups or among the cost performance
although the potential of the advisory ISA function seems higher than that of
the mandatory ISA. Thus, we may say that the ISA has the attractiveness on
its function but the benefits from the business market should not be expected
too much.
5. Lastly, all age groups have considered the ISA should be promoted into the
society whether the mandatory or the advisory modes.
Summarizing the above, the acceptances of the elderly drivers for both
mandatory ISA and advisory ISA on the community roads are generally high. The
ISA may not only make the traffic safer by reducing the driving speeds but also
have the good effects to realize the traffic safety through reducing the mental loads
of the driving for the elderly drivers. Comparing to the mandatory ISA, the
evaluation of acceptance for the advisory ISA is higher. Thus, the promotion of
the ISA introduction should be implemented from the advisory ISA. As the
business market cannot be expected too much, the supports of the government and
other publics are necessary and effective by considering the high social acceptance
from all age groups.
As the issues to be studied further, the field test by using the cars on the roads
instead of the driving simulator is necessary before making the final decision.
Acknowledgements
This study was partly supported by JSPS KAKENHI Grants Number 26540076
and a grant of Takata Foundation. Furthermore, we would like to express our
sincere thanks to the cooperation provided by Mr. Obayashi, Mr. Ono and Mr.
Nakatani.
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Environmental impacts of everyday

mobility in Andalusia (Spain):
towards a sustainable scenario?
A. L. Grindlay1, E. Molero1, C. Miralles-Guash2 & C. Lizárraga3
1
Department of Urban and Regional Planning,
University of Granada, Spain
2
Department of Geography, Universitat Autònoma de Barcelona, Spain
3
Department of Applied Economics, University of Granada, Spain
Abstract
The contribution of transportation to environmental contamination is generally
accepted to be approximately 30%. However, the various modes of transportation
are not equal in their contribution. It is important to analyse the modal split in an
effort to determine the degree of contribution and each mode’s impact on overall
environmental contamination in order to create sustainable mobility plans and
solutions. Without a clear understanding of the impact that specific forms of
transport represent, current and future plans may not provide adequate solutions
for sustainability and may, indeed, prove to be severely lacking. Employing a
methodology used in another area (Catalonia, Spain) this paper analyses the modal
split in Andalusia, Spain, based on data from the Social Mobility Survey in Urban
Regions of Andalusia 2011, exploring the territorial urban patterns and the
motivational category that causes them, in order to determine the effect of the
travel requirements of the population and the inherent contribution this has to the
emission of greenhouse gasses and the consequent impact on environmental
contamination. It also discusses the different mobility scenarios proposed in the
current Sustainable Urban and Metropolitan Mobility Plans in Andalusia and their
expected trends, concluding that the measures currently proposed may be
considered insufficient to change the model of mobility in the metropolitan areas
of Andalusia.
Keywords: mobility, environment, urban transportation, urban patterns,
Andalusia.
doi:10.2495/SC150331
1 Introduction
As has been shown by the Intergovernmental Panel on Climate Change, transport
has a significant role (14%) in the total anthropogenic Greenhouse Gas (GHG)
emissions [1].
Different transport modes have a different contribution to these emissions.
Some, such as walking or cycling, do not favour the increase of GHG however,
road transport, especially the private car, provides significant amounts of
emissions in relation to fossil fuel energy used.
Such disparities mean it is crucial to analyse the modal split of travel, in order
to understand the contribution of transport to global warming [2, 3].
The aim of this article is to analyse the contribution that different modes of
transport have on all journeys in Andalusia, one of the autonomous communities
of Spain.
The analysis of the modal structure has been carried out based on the data
presented by the Social Mobility Survey in Urban Regions of Andalusia 2011 [4].
This is a source of basic information on travel in the region. Such a perspective
allows an evaluation of the overall contribution of the most contaminating modes
of transport related to the modal distribution of all forms of transport including
walking and cycling. At the same time, it enables the study of the contribution of
modes of transport to climate change from the different urban models and the
social structure of transport demand.
2 Transportation: an extremely contaminating activity

Within the academic community there is a wide consensus of opinion regarding
the fact that transportation contributes considerably to raising the levels of harmful
elements in the environment, particularly in the consumption of fossil fuels and in
the emission of greenhouse gases, responsible for climate change on both a local
and a global scale [5, 6]. A certain unanimity begins to exist around the idea that
the contribution of transport to environmental pollution cannot solely be reduced
based on technological advances. It is also necessary to turn to territorial strategies
that directly affect mobility models [7, 8] and, in particular, to the modal
distribution of journeys in urban and metropolitan zones, as not all means of
transport contribute in the same way either to energy consumption or the emissions
of harmful gases.
Transportation is the major fossil fuel energy consumer, constituting more than
35% of the total fuel demand in Europe [9]. In Spain the situation is even more
extreme. The final sectorial energy demand of transportation is 40%, far greater
than industry (25%), residential (18.7%), services (12.1%) and miscellaneous
(4.2%) [10]. In Andalusia, the transport sector consumption is more in line with
the rest of Europe (35.8%), followed by industry (30.4%), residential (16.4%),
services (9.5%) and miscellaneous (7.9%) [11].
However, energy consumption is not equal for all the means of mechanized
transport. On the contrary, whilst the bicycle has a consumption of 0.8 million
joules per person per kilometre, collective transport has more than 2 million and
private transport exceeds 4 million joules per person per kilometre [12].
At the same time, road transport has a less efficient energy consumption than
other means, since to carry out the same task (which is measured in passenger
kilometre) transport by road consumes some 23 equivalent grams of petroleum per
passenger kilometre, whereas by rail this rate drops to a level of 11 grams [13].
A very direct relationship exists between consumed energy and CO2 emissions.
Transport by road, besides consuming more equivalent tons of petroleum, also
emits more greenhouse gases, reaching proportions of more than 70% of emissions
both in domestic transport and in the overall total. Such figures arise from the
extensive and increasing use in recent years of the transport modes that have a
higher consumption (e.g. private car) and an occupation of people per vehicle that,
in no case, exceeds an average of 1.22 [14].
Moreover, as can be seen in existing consumption data, as opposed to the
emissions from the domestic and industrial sector, emissions derived from
transportation have increased most rapidly. In Spain, between 1990 and 2000, the
CO2 emissions from transport have increased from 58 to 85 million tons annually,
or 48% in just a decade. A large part of this increase has been parallel to economic
and social development, to the improvement of the transport infrastructures and
the growth of metropolitan zones [15]. Therefore, in the paradigm of sustainability
promoted by European transport policy, the challenge is to disassociate the
growing rates of motorization from the general growth of the economy [9].
3 Mobility surveys as a source of information to

evaluate climate change due to transportation
In order to evaluate the contribution of the transport sector to the rates of energy
use and atmospheric contamination, data from vehicles are usually used. However,
these sources of information are centred on a single mode of transport, and cannot
evaluate the contribution of the sector as a whole. This is only possible if this is
estimated in relation to the models of mobility in conjunction with the journeys
undertaken by the population. It is essential to introduce sources of information
where all journeys and all means of transport are taken into consideration. This
article analyses the modal distribution of the mobility of the Andalusian
population in their most representative areas, including all the motives and means
of transport based on The Social Survey 2011: Mobility in the urban regions of
Andalusia [4], taking as a methodological reference earlier studies in Catalonia
[16]. This approach enables an evaluation of the most contaminating modes of
transport in relation to the other modes, the areas where they are most frequently
used and the activities that they allow to be undertaken. Simultaneously, it
emphasizes the fact that it is not mobility that causes CO2 emissions, but the use
of certain modes of transport, in particular, the private car.
The Social Survey 2011: Mobility in the urban regions of Andalusia presents a
general overview of the dynamics and models of physical mobility of the
population, focusing on the intense mobility that is developing in urban areas. In
order to demarcate these areas, new “urban regions” are being defined, situated on
the metropolitan areas of Almeria, Bahia de Cadiz-Jerez, Campo de Gibraltar,

Cordoba, Granada, Huelva, Jaen, Malaga and Seville. These zones include 221
municipalities in which live approximately 70% of the population of Andalusia (a
little over 6 million people).
Figure 1: Urban regions in Andalusia and their municipalities’ population [4].
The survey was carried out on 5,767 people of 16 years and older between the
months of September and November 2011, taking account of some 18,000
journeys. It provides information on the journeys which occur at different times
(working day and weekend) and which are linked to different spatial spheres
(journeys within urban regions and beyond the province of residence). The results
of the survey provide, from the perception of those surveyed, information on the
number of journeys made, the motive for which each was made, the mode of
transport used, the departure time and the time taken for each journey [4].
4 The environmental issue of transportation in

Andalusia according to modal distribution
The modal distribution of the journeys of a community is the principal reference
of the contribution of transportation to environmental pollution. The use of the
different means of transport in the journeys of the population of Andalusia is
analysed according to the differences of density which distinguish the type of
urban areas, and from the occupational-personal category of the motives that cause
them.
4.1 The means of transport used in Andalusia
As mentioned above, it is clear that the utilization of the different means of

transport is not unconnected with CO2 emissions, due to their unequal
contribution. Thus it is essential to use the information provided by the mobility
survey regarding the levels of use of the different means of transport in Andalusia,
in all journeys.
Over 13.5 million journeys are made per working day. According to the survey
the private car, together with other means of private motorized transport are used
in 79.3% of journeys. This is followed in importance by travel on foot or less
commonly by bicycle, with 13.1% jointly and finally by public transport which is
used for almost 8% of journeys. This result is consistent with the data extracted
from the Population Census 2001, as both sources offer the same message: the
unquestionable protagonism of the private means of transport, principally the car,
to go to work, and the maintenance of this tendency over the last ten years.
These data, as a whole, indicate that the forms of transport that contribute most
to atmospheric pollution are those most utilized by the Andalusian population:
almost 80% of the population use private motorized transport.
4.2 Transportation does not pollute in all urban areas in the same way
As many authors have already shown [17–24] the type of urban settlement where
individuals live principally affects their behaviour in relation to their journeys and
the means chosen for them. The territory of urban agglomerations of intense
mobility in Andalusia were divided, according to their urban characteristics, into
compact or dispersed, subsequently creating an intermediary stratus, to account
for an ambiguous territory in which it is difficult to demarcate the territorial
considerations.
One of the advances in the territorial approach of this survey is in relation to
the definition of population density in the territory. For its calculation, the
population was taken from each of the census sections in which those surveyed
were living and was placed in relation to its particular residential surface use. The
following intervals of population density were consequently delimited:
- Compact zone (more than 5,000 inhabitants/km2)

- Intermediate zone (from 3,000 to 5,000 inhabitants/km2)
- Dispersed zone (less than 3,000 inhabitants/km2)
In broad strokes it is interesting to extract a series of data to contextualize the

mobility analysis. The target population of this survey is formed by people of 16
years and older who live in family homes within the municipalities that compose
the urban regions of Andalusia, which involves a total of five million people. Of
these, more than 78.5% of the total resides in compact zones, 12% in dispersed
zones and the remaining 9.5% in intermediate zones (Table 1).
The residents in the urban regions of Andalusia make an average of 3.6
journeys per day. In general, in keeping with the rate at which the zone is
concentrated, the average number of its residents’ journeys diminish, the length of
the average journey shortens and the speed at which it is made decreases [25].
More than three quarters of these journeys (over 76%) are made within the
municipality itself (intra-municipal journeys). In contrast, inter-municipal
journeys involve approximately 23% of the total.
Table 1: Population distribution according to zone categorization in the 9 urban

regions considered [4].
Urban Region Zone Type

Dispersed zone Intermediate zone Compact zone
Almeria 9% 11% 81%
Bahia de Cadiz-Jerez 12% 9% 79%
Campo de Gibraltar 13% 15% 72%
Cordoba 13% 7% 80%
Granada 14% 15% 71%
Huelva 14% 7% 79%
Jaen 11% 3% 86%
Malaga 17% 9% 74%
Seville 7% 9% 84%
These results show significant differences between the urban regions, linked to
the complexity of their settlement structure. Thus, in the urban region of Granada
a higher percentage of inter-municipal journeys take place (42.2%). At the other
extreme is Cordoba, where only 8.7% of journeys have these characteristics.
Cordoba 8.70%
Bahia de Cadiz-Jerez 14.10%
Huelva 21.10%
Malaga 21.80%
Jaen 22.20%
Almeria 22.70%
Campo de Gibraltar 23.70%
Seville 27.20%
Granada 42.20%
0% 5% 10% 15% 20% 25% 30% 35% 40% 45%
Figure 2: Inter-municipal working day journeys according to urban region [4].
The dispersed zones, where the distance travelled is higher and the journeys are
quicker, the mode of transport most frequently used is the single occupancy car
(60% of journeys), whereas in the compact zones with slower journeys of a shorter
distance, the principal mode of travel is on foot (40% of journeys).
The mode of transport affects and determines the journey in terms of its
duration, the specific mode of transport, the physical ability to carry it out. Within
the diversity of the modes of transport that are cited in the questionnaire two large
groups are initially observed, private and public transport, differentiating different
habits in their use according to the type of zone.
The use of public transport is much in the minority in the urban regions of
Andalusia, around 6% of journeys that are made each working day are by public
transport. Its use is more frequent in compact zones (7% of journeys), whereas in
intermediate and dispersed zones it is below average (5% and 3% respectively). A
journey may consist of a single stage, a mode of transport in which individuals are
transported to the destination, or various stages in which individuals combine
modes of transport to reach the final destination. Mobility in urban regions of
Andalusia is characterized by the use of a sole mode of transport. Thus, 97% of
journeys per working day in the urban regions of Andalusia are uni-modal.
Pluri-modality is, therefore, a minority pattern of travel for the residents in the
urban regions of Andalusia. Public transport is strongly linked with this pluri-
modality and in journeys with several stages, more than 73% of pluri-modal
journeys have public transport as the principal mode of travel. Given the criterion
of allocation of principal mode of transport, this fact does not imply that these
journeys are made exclusively on modes of public transport, but that in 73% of
pluri-modal journeys at some stage one of the modes of public transport is more
ordinarily used. That is, in the great majority of pluri-modal journeys in urban
regions in Andalusia public transport is plays a part. As the zone becomes more
compact, a higher frequency of the use of public transport is observed [25].
Public bicycle 2.80%
Tram 4.10%
Suburban bus 8.90%
Metro 9.30%
Local train 13.0%
Taxi 22.70%
Inter-urban bus 26.70%
Urban bus 58.40%
0% 10% 20% 30% 40% 50% 60% 70%
Figure 3: Mode of public transport used in urban regions by people of 16 years

and over at least once a month [4].
The use of private transport represents the greater part of travel in the urban
regions of Andalusia, around 57% of journeys per working day are made in private
vehicles. Its use is more frequent in dispersed zones (75%) and intermediate zones
(69%), whilst in compact zones it is below average (52%).
As the population becomes more dispersed a greater frequency of the use of
private transport is observed, it also follows in the analysis by socio-demographic
characteristics and motives [25–27].
These inequalities mean that the characteristics of mobility have a diverse
pattern according to the place where they are situated, a fact that directly affects
the environmental impacts of transport in Andalusia.
4.3 The means of transport used depend on the motive of the journey
The type transport used is not only dependent on the place of residence, but also
on the motive that causes the journey. In Andalusia, work stands out as the
principal motive (22%), with an average duration of 21.7 minutes and an average
distance of 6 kilometres. It is followed by motives of leisure, shopping and
transporting children to and from school.
Work tends to generate the daily mobility of the population of Andalusia, and
79.3% of these work journeys are made in private transport. Travelling on foot or,
to a lesser extent, by bicycle is the next in prevalence, with 13.1% jointly, and
finally the means of public transport which are used in almost 8% of journeys.
This result is consistent with the data extracted from the Population Census 2001,
so the main method of individual transport for work appears unquestionably to be
the private vehicle, and this tendency has continued over the last ten years [27].
This relationship between the motive and the mode changes according to the
type of zone. In dispersed and compact zones private transport is mostly chosen
for work, whereas in intermediate zones private transport is most frequently used
to accompany another person (car sharing). Journeys for the purposes of shopping
in the urban areas are usually made on foot, however for residents in dispersed or
intermediate zones the mode most frequently used is the single occupancy car [25].
With respect to energy consumption and emissions of greenhouse gases, the
represented data could help to clarify the zones and motives for which different
modes of transport are used.
5 Sustainability scenarios in urban and metropolitan mobility

planning in Andalusia
In recent years the Sustainable Urban or Metropolitan Mobility Plans (SUMP or
SMMP) drafted in Andalusia have established different mobility scenarios to
correct the current situation and their trend scenarios, with objectives quantified
in CO2 emissions reductions [28].
In the case of the metropolitan area of Seville, the SMMP forecast that, if the
investment in public transport continued, it was expected that the participation of
public transport in urban journeys would reach 50% of the total. In the journeys
between the metropolitan ring and the city centre, an increase of participation is
sought in public transport from 15% to 34.7%, and in the journeys within the
metropolitan ring the objective is to reach a participation of 14.3% in public
transport in 2020, which means an increase of 10% [29].
In the case of the metropolitan area of Granada, which also has a high level of
centrality, the SMMP forecasts a rise in the quota of participation in public
transport from 24% in 2006 to 35% predicted for the final horizon of the plan [30].
In the city centre the SUMP projected a reduction in the participation of journeys
by private vehicle from the current 20% to 15% [31].
The intense mobility in the Campo de Gibraltar (the area surrounding Gibraltar)
was characterized by the high number of internal journeys by private vehicle,
nearing 80%, and the low participation in public transport of only 5.5%. In the
trend scenario, mechanized mobility was increasing to 66% and journeys on foot
and public transport were decreasing so the SMMP sought to increase the
participation in public transport to a percentage of around 20% [32].
The Municipal Plan of Sustainable Mobility in the city of Malaga establishes
an objective to reduce the private vehicle in the year 2025 to 35% for motorized
urban journeys [33].
The SUMP of Jaen also puts forward objectives for the reduction of journeys
by private transport to break the trend scenario that in 2018 would be in more than
half the journeys by private vehicle and to increase mobility by public transport
up to a participation of 16.8% of the modal share [34].
In Cordoba the SUMP [35], establishes an increase in the modal share of
pedestrian mobility and the use of bicycles that entails more than half the modal
share in 2020.
Given the established data the expectations of these plans would appear to be
unattainable, as all these Plans for Sustainable Mobility propose some ambitious
objectives to reverse the current trend towards the increase in private motorized
mobility but are limited by the existing urban patterns and depend not only on the
implementation of their set of measures, but also on a change in cultural behaviour
towards mobility as proposed by the Urban Sustainability Strategy of Andalusia
[36].
6 Conclusions
Transportation is the activity that consumes the greatest fossil fuel energy and is
responsible for more than a third of the emissions of greenhouse gases to the
atmosphere, it is one of the sectors that has increased energy consumption the most
and has emitted the highest levels of CO2 into the atmosphere. As a mode of
transport, the private car, at one end of a continuum, has the greatest levels, as
opposed to going on foot and by bicycle, at the other end of the continuum, which
have zero or almost zero levels of contribution to environmental pollution.
These differences between the various means of transport mean that the
contribution of the transport sector to the increase in the greenhouse effect depends
on the percentage use of the different means of transport. That is, it is the modal
share that characterizes the mobility of a territory, rather than the quantity of
journeys that are made within it, which may influence to a greater or lesser degree
the atmospheric pollution with respect to the transport sector.
From the analysis of this modal share in the autonomous community of
Andalusia, based on the figures given in the Social Survey 2011: Mobility in the
urban regions of Andalusia, it is demonstrated that the participation in private
means of motorized transport is very much in the majority (79%), as opposed to
journeys on foot or by bicycle (13%) and those made by public transport which
scarcely make up 8% of journeys.
The results of the survey also show, similarly to other studies, how the type of
zone in which individuals reside primarily affects their behaviour in relation to
their journeys and the means they elect for making them. Thus in the dispersed
zones the most frequently used form of transport is the single occupancy private
car (60% of journeys), whilst in the compact zones the main mode of travel is on
foot (39%). Despite its low participation, public transport is used mainly for
journeys which combine different modes of transport (73%), although the great
majority of journeys are uni-modal (97%), predominantly using private motorized
transport. The use of private transport is more common in dispersed zones (75%)
and intermediate zones (69%) whilst in compact zones it is below average (52%).
Equally regarding motives for travel, in the principal motive, which is to go to
work (22%), 79.3% of these journeys are made by private vehicle, which means
that the peripheral and suburban distribution of industrial estates and activity
centres in our urban regions, without means of public transport, contribute
substantially to the rates of environmental contamination.
Finally all the proposals contained in the Plans of Sustainable Mobility of
Andalusia that try to reverse the trend scenarios with ambitious objectives are
limited by the existing urban patterns and may be considered insufficient given
that their success does not only depend on their fulfilment, but also on a cultural
change in the population towards a new mobility culture that will require them to
modify their current behaviour.
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ales/medio_ambiente_urbano/documento_easu.pdf
Section 8
Waste management
The definition of an Urban Waste

Management Plan: the case of Genoa
F. Pirlone & I. Spadaro
DICCA Department of Civil, Chemical and Environmental Engineering,
Polytechnic School, Genoa University, Italy
Abstract
The theme of waste is one of the major environmental challenges at the
international level, with a significant impact in the strategies to be adopted in
urban areas.
Given the importance of the issue, the EU has required Member States to
develop Waste Management Plans. Currently in Italy there are few Plans realized
at the municipal level, and the existing tools have quite heterogeneous contents.
The paper shows an EU research on the definition of guidelines for the
preparation of an Urban Waste Management Plan; a Plan able to reach an
integrated waste system, in which the different stages of management are
coordinated and integrated in the context of the whole process.
After the definition of the Guidelines, the paper presents a first elaboration for
the Municipality of Genoa which involved University, Public Administration and
practitioners in the sector. Currently the city doesn’t have a dedicated Plan; the
waste management is governed by the Regional Waste Management Plan (2014)
and by the Urban Waste Prevention Programme (2010). The new Plan proposed
for Genoa has important objectives to solve the specific problems of the
territory: from the reduction of waste, to a management economically and
environmentally sustainable, to valorization of recyclable and recoverable
fractions through separate collection, aiming to the green economy until close of
the cycle of the waste with the production of compost.
In order to achieve a good level of implementation, following the preparation
of the Plan, the participatory processes will play a key role in ensuring the full
consent and cooperation between the actors involved and especially with the
population that is the main actuator.
Keywords: governance, sustainability, Urban Waste Management Plan.
doi:10.2495/SC150341
1 Waste as a priority at urban level

The theme of waste is one of the major environmental challenges at the
international level, with a significant impact in the strategies to be adopted in
urban areas.
Given the importance of the issue, the EU within of Directive 2008/98/CE [1]
doesn’t establish only the prevention of waste concept but it introduces the
obligation for Member States to draw up National Waste Prevention Programme
(deadline December 2013 – Art. 29) and a Waste Management Plan (Art. 28).
In this new scenario, each EU Member Country has had to legislate new
regulations on waste management (implemented by Italian law with LD n.
205/2010) within the time limit provided for in the EU Directive. In Italy, with
Decree of October 7, 2013, the Italian Ministry of Environment and Protection of
Land and Sea adopted the National Waste Prevention Programme.
According to the data collected by the Institute for Environmental Protection
and Research (ISPRA), the program establishes three targets for prevention to be
achieved by 2020, compared to the values recorded in 2010. The objectives
concern the production of three types of waste linked to the Gross Domestic
Product GDP to correlate this data with socio-economic factors of the State.
These objectives are: the reduction of 5% in the production of municipal waste
per unit of GDP and the non-hazardous waste and the reduction of 10% in the
production of hazardous waste per unit of GDP. In preparing the program, the
Government has considered a set of general measures that can contribute to the
success of prevention policies such as: sustainable production, Green Public
Procurement, reuse, information and awareness, economic instruments, fiscal
and regulation and the promotion of research.
The last municipal solid waste Report (2014), developed by ISPRA, shows
that in Italy the production of waste continues to decline reaching around 29.6
million tons in 2013 (nearly 400,000 tons less than in 2012); a reduction of 8.9%
compared with 2010 (reference year for the National Waste Prevention
Programme). The economic crisis can be attributed as a factor which had an
impact on the further reduction of waste production, but the increase of recycling
(42.3%) testifies the improvement of a management. The North is the macro area
that records the highest percentage of recycling (54.4%) followed by the Centre
to 36.3% and the South to 28.9%. The weakness remains the disposal in landfills
involving yet 37% of municipal waste.
In accordance with the National Waste Prevention Programme the regions are
preparing guidelines aimed at a sustainable waste management at the regional
level. The local level is instead lacking as regards the preparation of the Urban
Waste Management Plans. Currently in Italy there are few Plans realized at the
municipal level, and the existing tools have quite heterogeneous contents (they
develop only disposal, others encourage good practices, others treat special
waste).
This paper shows an EU research on the definition of guidelines for the
preparation of an Urban Waste Management Plan; a Plan able to reach an
integrated waste system, in which the different phases of prevention, production,
collection, transport, recovery, recycling and final disposal, constitute a

coordinated and integrated actions in the context of the whole process.
2 Methodological approach for the definition of

guidelines to prepare an Urban Waste Management Plan
In this paragraph some results of the research carried out at EU level in which
DICCA-University of Genoa is a partner are summarized. The EU project is
MED-3R “Euro-Mediterranean strategic platform for a suitable waste
management” (ENPI CBCMED – December 2012–December 2015, cooperation
area: 14 regions partner of the north and south coast of the Mediterranean basin)
where 3R means “Recycle waste, Reduce their production and Reemploy to
extend the products lifespan”.
To define the guide lines to prepare an Urban Waste Management Plan in the
Mediterranean basins originally it’s developed a cognitive action to analyze the
current (EU and of the partner countries) policy on waste, the experiences, the
available knowledge resources and the best practices in force. The EU policy is
also important for non-European countries, and especially for those Countries
that haven’t a specific legislation about waste.
The current EU policy on waste, as it is known, is outlined in the context of
Waste Framework Directive 2008/98/EC [1], which lays down measures to
protect the environment and human health by preventing or reducing the adverse
impacts of the generation and management of waste and by reducing overall
impacts of resource use and improving the efficiency of such use (Art. 1). This
Directive provides for a general framework of waste management requirements
and sets the basic waste management definitions for the EU.
The main goal of this Directive is the prevention, all waste management
strategies have to seek the prevention towards a sustainable development for a
correct environmental and economic management to reduce waste quantities and
dangers. The Directive introduces also the concept of waste hierarchy (Art. 4)
shall apply as a priority order in waste prevention and management legislation
and policy: prevention, preparing for re-use; recycling, other recovery (for
example to produce energy) and as last disposal. When applying the waste
hierarchy, Member States shall take measures to encourage the options that
deliver the best overall environmental outcome. This Directive imposes also the
duty for each Country to adopt a National Waste Prevention Programme (Art.
29) and a Waste Management Plans (Art. 28). Those Plans shall, alone or in
combination, cover the entire geographical territory of the Member State
concerned.
The aim of Waste Prevention Programme is shall set out the waste prevention
objectives able to separate the economic development from the environmental
exploitation. This Plan shall be integrated either into the provided Waste
Management Plans (the waste prevention measures shall be clearly identified) or,
as appropriate, into other separate environmental policy programmes. The main
purpose of the Waste Management Plans is, instead, to provide an overview of
all waste generated (divided by type of waste streams) in the geographical entity
concerned, as well as the measures to be taken to improve environmentally

sound preparing for re-use, recycling, recovery and disposal of waste and an
evaluation of how the plan will support the implementation of the objectives and
provisions of this Directive.
The methodological approach, proposed to define the guide lines to prepare
an Urban Waste Management Plan, is based on the experiences already realized
in the Mediterranean basins.
The ENPI CBCMED is financed by the European Union and consequently to
define the guide lines the European documents, on this topic, constitute the
reference frame. Between the consulted documents an important role is covered
by the “Preparing a Waste Management Plan – A methodological guidance note”
[2] proposed by the EC following the 2008 Waste Framework Directive. In this
context, the European Guidelines are an important starting point to create a tool
dedicated to the sustainable waste management, where this instrument contribute
to sustainable planning of waste management by promoting the development of
programming practices more consistent and adequate in the partner countries of
the project (Pirlone and Spadaro [3]). To give value to the different experiences
of each involved partners, a state of art form for analyzed the current waste
management was proposed. In Table 1 an extract of the form composed, concern
the presence or not of a Waste Management Plan in the territory partners, is
reported.
Thanks to the exchange and the comparison between the partners and the
results coming from the elaboration of the existing card, the reality of each
partners concerning waste (legislation, instrument, best practices, actors…) and
the pursued strategies was possible to understand. In this context, a common
dictionary between the various partners has proved necessary for to clarify the
meaning of the different terms that are commonly used in waste management. As
regards for the North Mediterranean Countries the Metropolis of Nice, Cote
d’Azur has provided a glossary that result an important instrument to create a
common language between the partners (Figure 1).
For the South Mediterranean Countries is very interesting the GIZ
methodology, used by the Municipality of Sfax (Tunisia) to define a first draft of
a possible Waste Management Plan. The city of Sfax decided, in 2013, to initiate
the development of a Municipal Waste Management Plan (Plan Communal de
Gestion des Dechets – PCGD [5]) with the support of the German Cooperation
GIZ. The PCGD is a strategic planning tool for municipal action on cleanliness;
it will help the Municipality to define and structure its actions during the next
five year. The development of PCGD was led by the town with the assistance of
a team of experts from different specialties. For each of the following areas
intervention was created a working team: organization and human resource
management; technical aspects of waste management; financial aspects and cost
calculation; internal and external communication and participation of civil
society. The PCGD was prepared following a first diagnosis of the current
situation of waste management in the municipality. The diagnosis and planning
phases were done in a participatory process involving all communal services,
regional structures and Authorities and civil society. This report presents, in a
Table 1: Existing card for evaluate the state of art of waste management.
EXISTING CARD – WASTE MANAGEMENT PLAN
IF EXISTS SPECIFY/DESCRIBE:
- Level (municipal, provincial, regional);
- The relevant legislation and responsible actors on the waste;
- The main active best practices on waste in your area (e.g. waste collection door to
door, bins, returnable...);
- Actions concerning prevention (waste not produced, e.g. dispenser, bulk products);
- Actions specifically for the historical center fabric;
- The relationship between your waste management plan and your government land
plans;
- How the population is involved (awareness-raising, information, participation in
the stages of preparation of the plan);
- Actions aimed at a training approach/cultural (museums specific on the issue of
waste, courses in schools, exhibitions).
IF NOT EXISTS SPECIFY/DESCRIBE:

- Other reduction Plans or implementation Plans for the management of waste (e.g.
municipal solid waste disposal Plans, special, industrial...);
- The relationship between your waste management Plan and your government land
Plans;
- The relevant legislation and responsible actors on the waste;
- Policies implemented in today for waste management in your territories;
- Data on the production of municipal waste (quantity of waste generated), on the
production of those packaging and the industrial ones;
- How tourism affects the production of waste;
- As the presence of industries in your territories affect the production of waste and
its dangerousness;
- How is the disposal of waste (e.g. landfill, recycling...);
- If there is a separate collection (indicate the type of waste). Steps/processes to treat
it. Objectives achieved (e.g. indicate percentages);
- The main active best practices on waste in your area (e.g. waste collection door to
door, bins, returnable...);
- Actions concerning prevention (waste not produced, e.g. dispenser bulk
products…);
- Actions specifically for the biodegradable waste (compost);
- Actions specifically for the historical center fabric;
- How the population is involved (awareness-raising, information, participation in
the stages of preparation of the Plan);
- Actions aimed at a training approach/cultural (museums specific on the issue of
waste, courses in schools, exhibitions).
first part, the project and strategic vision on waste management of the town of
Sfax. The document is divided in four components: technical management of
waste, organization and management of human resources, internal and external
communications and financial management and cost control. Each component
includes the following chapters: synthesis of diagnosis, presentation of strategic
objectives and areas of intervention, records of shares. In the last chapter, the
Figure 1: Glossary provided by Metropolis of Nice, Cote d’Azur [4].
shares will be summarized in a program of actions and planned in time.

Financing of the tracks will be eventually proposed.
In Table 2 a chart that summarizes the contents present on the PCGD of Sfax
is reported.
Table 2: Giz methodology.
GIZ METHODOLOGY – MUNICIPAL WASTE MANAGEMENT PLAN OF SFAX

Workshop 1: Launch
Steering committee
1. PRE-DEVELOPMENT OF PCGD
Work group
Launch of PCGD
Collection of information
Strengths/weaknesses
2. DIAGNOSIS OF THE SITUATION
Analysis/evaluation/recommendations
Writing of the diagnostic and summary report
Workshop 2: Planning/programming
Strategic directions/programming
3. DEVELOPMENT OF PCGD Actions relevant to remember
Drafting of PCGD
Workshop 3: Consultation/validation
Implementation of selected measures
4. IMPLEMENTATION OF PCGD
Implementation/execution
Measure
5. EVALUATION OF PCGD
Analyze
The references to define the guide lines in the co-operation territories are: the
document Preparing a Waste Management Plan at the European level, the GIZ
guide lines and the database created with the information collected with the
existing card.
From this information, Genoese partners have prepared a preliminary drafting
of guidelines for the preparation of Urban Waste Management Plan where the
main elements of each instruments are reported. This schematization has been
shared with other partners of the project to define a common and participated
support instrument to write this Plan in the cooperation territory.
The chapters of the document may be constituted by 5 fundamental phases.
These phases are: 1. background; 2. diagnostic of the state of art: status quo and
analyzes; 3. planning part; 4. plan application and monitoring; 5. Awareness/
participation.
In the next chapter is shown the Waste Management Plan of Municipality of
Genoa, as a first application of guidelines defined in the project.
3 Waste Management Plan of Genoa as an example

for the urban level
For the preparation of the Waste Management Plan of the Municipality of Genoa
[6] University, Public Administration and practitioners in the sector of waste
have been involved. Currently the city doesn’t have a dedicated Plan; the waste
management is governed by the Regional Waste Management Plan (2014) and
by the Municipal Waste Prevention Programme (2010). The new Plan proposed
for Genoa has important objectives to solve the specific problems of the
territory: from the reduction of waste, to a management economically and
environmentally sustainable, to valorization of recyclable and recoverable
fractions through separate collection, aiming to the green economy until close of
the cycle of the waste with the production of compost.
In the first part is present the policy and legislation at the European and
Italian level with specific attention to the case of the Liguria Region; area in
which this Plan must be implemented. The Steering Committee is also
established between the institutions and the practitioners above mentioned and
the participatory processes (public meetings, participatory tables and local
forums...) who are intend to pursue are identified.
The Plan, in the second part (diagnostics), analyzes the status quo on waste in
the Municipality of Genoa. Actually waste management in the Municipality of
Genoa is curate by Amiu (Multiservice Urban Hygiene Company). The
collection of waste (differentiated and not) takes place through road containers
accessible to all, with the exception of historical center where, for the delivery of
the waste, special premises called eco-point were organized. Experimental
collection services are also being developed in some areas of the city among
which: the door to door system, the organic waste collection, systems that use
custom keys for the quantification of the waste, the collection direct in ecological
islands of bulky waste with a discount on the waste taxes. The collection of
waste is performed on average expecting one emptying of bins per day.
The treatment of the waste depends on the type of waste product.

Paper, cardboard and multi-material are conferred at the plant in Sardorella
Street (Bolzaneto). This plant is equipped with advanced machinery capable to
separate, treat and reduce in compressed bales, easily transportable, packaging
in: plastic, aluminum, steel, paper, cardboard and tetrapak.
The organic waste, at the time, except some examples related to pilot project
in the hinterland of Genoa, is awarded in a neighboring province.
The disposal of undifferentiated waste, finally, is conferred at the Scarpino
landfill (Sestri Ponente); it is now in uncomfortable conditions and upcoming
closure. Today the total waste managed is about 325.69 kt/year, equivalent to
539.22 kg/to inhabitant. Figure 2 shows a graph relating to trend (from 2007 to
2013) of unsorted and separated waste production in Genoa.
Unsorted waste
Separated waste
Figure 2: Unsorted and separate waste: trend of production (2007–2013)

(Amiu).
After analysis of the status quo a SWOT analysis was made (Table 3) in order
to highlight Strengths, Weaknesses, Opportunities and Threats of the Genoa area
in relation to the issue of waste.
The most critical problems that characterize the town of Genoa are a high
level of waste generation per capita also determined by tourist flows, percentage
of average level of separate collection due to the lack of organic waste collection,
high operating costs and almost exclusive use of landfills. The priorities
indicated by the Plan aim to overcome these problems and, thus, to intercept and
calculate the waste produced by tourism, to integrate the separate collection
systems with the inclusion of organic waste collection points and the preparation
of treatment centers waste other than landfill.
The objectives to be pursued in the Plan (third phase of planning) were
identified starting from the problems emerged from the SWOT analysis. They
can be summarized as: to promote and develop prevention; to increase recycling
to 65% (as required by EU legislation); to recover 50% of the waste produced in
2020 (as required by EU); to set up a new bio-digestion plant; to achieve the
autonomy in the management of undifferentiated waste (residual) through new
plants. For every objective the actions to be taken and monitor over time have
been defined (Table 4).
Table 3: SWOT analysis on waste to the Municipality of Genoa.
STRENGTHS WEAKNESSES
High percentage of recycling of paper, plastic High production per capita also
and aluminum determined by tourist flows
Presence of an efficient plant (Sardorella) for the Percentage of average level of
treatment of paper, cardboard, metal and plastic recycling
differentiated High operating costs
Pilot projects active in the territory Almost exclusive use of waste dumps
Synergy between the City, Amiu and Low percentage of differentiation of
Universities organic waste
Presence of projects for new plants (biodigester) Lack appropriate facilities to treat
High technical knowledge that allow to support organic waste
sustainable interveners on the territory
OPPORTUNITIES THREATS
Raising the awareness of citizens towards Saturation of the Scarpino landfill
recycling Presence of leachate in rivers located
Presence on the territory of several associations nearby of Scarpino landfill
for environmental education and/or creative Percentage of recycling set by
recycling European legislation (Dir.
New Waste Management Plan of the Liguria 98/2008/EC)
Region
Table 4: Objectives and actions of Urban Waste Management Plan.
Objectives of the plan Actions

Action I: Promoting the dissemination of Green
Public Procurement
Action II: Development of the domestic composting
OBJECTIVE 1 Action III: Actions for the reduction of specific types
To encourage and develop of waste (e.g. agreements for reuse of food) and
prevention support to activities and processes oriented to a
lower production of packaging waste products
Action IV: Initiatives for the dissemination of the
prevention culture
Action I: Strengthening of separate collection
OBJECTIVE 2
Action II: Strengthening of ecological islands
Target of 65% of the separate
Action III: Action to raise awareness of plastic waste
collection
Action IV: Strengthening of organic waste collection
Action I: Increasing at least 50%, in terms of weight,
OBJECTIVE 3
the preparing for reuse/recovery and recycling of
Target of 50% of the waste
household waste (e.g. incentives for the purchase of
recovery to 2020
recycled/recovered items)
OBJECTIVE 4
To recover with other Action I: Preparation of a bio-digestion plant
techniques/technologies
OBJECTIVE 5 Action I: Development of “wet/dry” separation
To achieve the autonomy in the plants
undifferentiated waste Action II: Recovery “dry fraction”
management Action III: Adaptations to the Scarpino facility
For example, developing the waste separate collection allows the transition
from a model of “linear economy” to a model of “circular economy” and it is a
key element for a virtuous management of waste, which enables the economic
enhancement of waste, in addition to the creation of new jobs and the drastic
reduction of unsorted waste to landfills. This Plan involves placing at least one
bin for each type of waste material (paper, plastic/metal, glass and organic) in all
places of collection, this to entice a citizens to make the separate collection,
thereby increasing the percentages of this value. Another action planned is the
placement of at least one ecological island for each of the nine districts of Genoa.
Awareness actions to the population on the separate collection are also important
to forecast. Specifically for the plastic waste the Municipality of Genoa, in
collaboration with Amiu and University of Genoa, have engaged in a series of
specific actions. In reference to Plastic Waste year (2015) will be organized:
laboratories, workshops and seminars thanks to associations of Palazzo Verde
(Centre for information and education to energy saving, environment
sustainability and waste reduction of the Municipality of Genoa); calls for young
artists for creative recycling of plastic and visits for all citizens at the Sardorella
center of separation of waste.
Finally, in the Plan, a specific action for strengthening the separate collection
of organic waste has been considered (Table 5). The result of the organic waste
collection has a percentage impact determining on the quantity of unsorted waste
product at the urban level (40% of municipal waste is in fact composed by
organic). In the Genoa case, to achieve the EU target on the recycling is therefore
crucial to intercept the 52% of the organic waste product taking into account the
share present in the undifferentiated urban waste and of the share collected
through recycling. The increased of collection of organic waste therefore
provides a two-year plan to reach all commercial and domestic utilities of the
city.
Table 5: Example of description of action Urban Waste Management Plan.
OBJECTIVE 2
Action IV: Strengthening of organic waste
Target of 65% of the
collection
separate collection
The organic waste collection: “door to door” for the
DESCRIPTION big producers (restaurants, canteens, markets...) and
of proximity to all households by 2016
PLACE OF INTERVENTION The entire municipality
The placement of new bins on the street and in the
INSTRUMENTS vicinity of several businesses. Hiring new staff
dedicated to the service of organic waste collecting
Assuming an interception rate between 50–60%, the
STRAIGHT amount of organic waste collectible in a
differentiated manner is 55,000–65,000 t/year
The lack of a center for the treatment of organic
WEAKNESSES
waste
SYNERGIES With Amiu and Chamber of Commerce
The fourth phase involves the implementation and monitoring of the Plan.
This phase will be based on a set of indicators evaluated ante and post
implementation of the Plan (Table 6).
Table 6: Example of indicators of Urban Waste Management Plan.
GENERAL VALUE IN VALUE IN

INDICATORS
OBJECTIVES 2013 2018
1. To encourage and To be
Urban solid waste production 325.69 kt/year
develop prevention defined
2. Target of 65% of the Percentage of separate
34.3% 65%
separate collection collection
Quantities intended to be
60.66 t of steel,
3. Target of 50% of the recovered (deriving by:
aluminum,
waste recovery to separate collection and 70%
paper, wood,
2020 mechanical selection of
plastic and glass
unsorted municipal waste)
66 million
To be
4. To recover with Amount of energy obtained kWh/year
defined
other techniques/ (biogas plant)
technologies Biodegradable municipal 55,000/65,000 To be
waste sent to landfill t/year defined
5. To achieve the
Interventions for
autonomy in the Adaptation
commissioning rule and self- No
undifferentiated of plants
sufficiency of the plants
waste management
The last phase, awareness and participation actions of actors involved, is

transverse to the other four and seeks the consensus and the collaboration also in
operational terms. The awareness of the community to environmental issues is a
key objective and necessary to the success of these new tools, the Waste
Management Plans. Initiatives that are based on the information and awareness
on separate collection, the art of recycling, the renewable energy, the consumer
awareness... for citizens of all ages need to be developed.
The participatory approach also requires the active involvement of potential
beneficiaries of a Plan in its different stages (since its conception). Thematic
forums throughout the implementation of the Plan are important to organize
already in the analysis phase (involving all actors from the institutional world, to
that of research, to associations and businesses but especially the population).
The participatory processes will play a key role in ensuring the full consent and
cooperation between the actors involved and especially with the population that
is the main actuator.
Acknowledgements
F. Pirlone – The author has coordinated in the project MED-3R the setting of the
methodological approach aimed at defining guidelines for the preparation of the
urban waste management Plan, reported in the paper, and she also illustrated the
application to the case study Genoa.
I. Spadaro – The author has deepened the issue of waste at the European and
Italian level (regulations, instruments…). In the project she has participated in
the definition of the illustrated methodological approach, in particular revising
the information of the partners involved, among which the GIZ experience.
References
[1] Directive 2008/98/EC of the European Parliament and of the Council of 19
November 2008.
[2] European Commission Directorate-General Environment “Preparing a
Waste Management Plan. A methodological guidance note”, 2012.
[3] Pirlone F., Spadaro I., “Towards a waste management Plan for smart cities”,
International Conference “The Sustainable City IX – Urban regeneration and
sustainability”, Marchettini N., Brebbia C.A., Pulselli R., Bastianoni S., (a
cura di), WIT Press, UK, Volume II, ISBN 978-1-78466-024-6, 2014, pp.
1279-1290.
[4] Commissariat Général Au Développement Durable, Direction Generale De
La Prevention Des RIsques, Service de l’Économie, de l’Évaluation et de
l’Intégration du Développement Durable Lexique à l'usage des acteurs de la
gestion des déchets, 2012.
[5] GIZ-ANGed PCGD Plan Communal de la Gestion des Déchets de la
Commune de Sfax, 2013.
[6] Comune di Genova Piano di gestione rifiuti, 2014.
Mineralogical characterization of
urban construction and demolition waste:
potential use as a nutrient source for
degraded soils
E. Mejía1,2,3, J. I. Tobón2, L. Osorno1 & W. Osorio1
1
Grupo de microbiología del suelo, Universidad Nacional de Colombia,
Sede Medellín, Colombia
2
Grupo del cemento y materiales de la construcción,
Universidad Nacional de Colombia, Sede Medellín, Colombia
3
Departamento de diseño industrial, Universidad de San Buenaventura,
Colombia
Abstract
The consumption of raw materials in the construction industry is a non-sustainable
activity because in this process large amounts of natural resources are consumed.
Moreover, Construction and Demolition Waste (CDW) represents around 50% of
waste produced in the urban region of world. For example, in the Medellin
Metropolitan Area (MMA), 10,400 t.day-1 of CDW are produced, of which only
9.7% is recycled. It is for this reason that CDW management is currently
unsustainable and generates significant adverse environmental impacts. It is today
acknowledged that this waste can be used as a by-product material for the
production of recycled coarse aggregate, showing industrial applicability.
However, CDW with small particle sizes (less than 4 mm that represents around
16% of this waste), do not have applicability in these processes. Therefore, it is
necessary to reduce CDW volume dumped. An alternative to the final disposal of
finer CDW is to use it to improve the physical and chemical properties of degraded
soils and improve vegetation and ecosystem services. This paper evaluated the
potential use of CDW as a source of nutrients for degraded soils after it was
submitted to bioacidulation process by Aspergillus niger and Mortierella sp.
Insoluble minerals such as quartz, calcite, wollastonite, albite, anatase and
actinolite were found in the CDW by mineralogical and chemical characterization
doi:10.2495/SC150351
techniques. CDW mesh could improve the physical properties of degraded soils
since these particles are similar in size to silt and clay. Furthermore, after CDW
were bioacidulated an increased concentration of Ca2+ were found, an essential
nutrient for the growth and development of plants.
Keywords: construction and demolition waste (CDW), bioacidulation, degraded
soil.
1 Introduction
The construction industry is significant to the growth and development of
countries because it allows the development of buildings or infrastructures (roads,
highways, bridges, among others) [1]. Thus, this growth enables to supply the
demand generated by the population explosion and promotes the person’s welfare
[2]. Moreover, in the last decade, the construction industry has grown significantly
and in this way it was generating an increase in raw material extraction. Where the
extraction was preferred in the quarries, brick, gravel and sand quarries near of
urban centers [2]. In this way, in 2010 consumption of aggregates was 37,400 Mt
and this will increase to 48,000 Mt until 2015, the extraction is made of not
removable mineral deposit [3].
Additionally, the construction and demolition waste process provide in the
urban areas 50% of the total solid waste generate at the global level [4, 5].
Furthermore, its activity consumes 40% of the non-renewable natural resource [6,
7]. In the particular case of Medellin (city of Colombia) and its Metropolitan area
(MMA), this kind of waste had not only arrived at dumps (4600 t/day) and legal
landfills (2400 t/day) [8]. Also ends up in waterways and other areas not suited for
it, as well as illegal dumps (3400 t/day) [7]. Unfortunately, in the MMA only
approximately 1000 t.day-1 of the construction and demolition waste (CDW)
produced is recycled [9, 10]. Furthermore, in the MMA both the extraction of raw
material used in civil works projects and the final disposal of CDW occur in the
city’s interior [9]. Together with an accelerated urban demand, high consumption
of inert materials (gravel and sand) and the generation of CDW, this produces
unsustainable development in the city [11, 12]. Thus, the extraction, construction
and demolition of the building are considered unsustainable activity generating
environmental impacts and system changes that may alter the biological balance
[13, 14].
Therefore, it is necessary to research about new alternatives as using CDW. For
example, as aggregates, it was proposed as a solution to the depletion of mineral
deposits and generates decrease in the volume of spaces employees for disposal
[15–17]. In this case, recycled aggregates of CDW present similar mechanical
durability and non-structural concrete made from natural aggregates, where the
degree of substitution required depends on the type of concrete [15, 18].
However, the use of fine recycled aggregates (size of less than 4 mm), in
concrete products is not yet widely accepted. This limitation of fine recycled
aggregate use is explained by the unpromising results of early research work, in
particular because of high water absorption [12], a property that may create
problems in both fresh and hardened state of concrete [19]. Therefore, these
aggregates have been used mostly in bases and sub-bases of transport

infrastructure and the recovery of former quarries by landscaping [5, 20].
Despite of this, it is necessary to provide a new recycling process that permits
generate an aggregate value for these kinds of wastes, which represent 16% of
total solid waste produced in the world [21–23]. The proper management and
recycling of CDW avoid that uncontrolled disposal in landfills, parks, roads
separators, private lots; legal, and illegal dumps, among others [24].
One alternative that is being considered for the subsequent use of CDW consists
in using it for the recuperation of soils degraded by urban mining. In this way, it
was designed reinforced soil in order to improve physical properties [25, 26] and
to improve chemical properties, such as decreased soil acidity [27]. However, to
date, there has been no research on a viable way of speeding up the release of
nutrients contained in CDW, which are commonly found in highly insoluble
minerals. It is possible due in the desert rocks the microorganisms promote rocks
dissolution for their nutrition and plant establishment [29]. On these residues, it
can utilize biotechnological techniques to generate added value, which could be a
more economical and environmental-friendly option for the management and
disposal of CDW [22]. Thus, the use of CDW in the restoration of degraded lands
can both reduce the environmental impact that has been generated and improve
the disposal of the waste. For this reason, this study is in line with state policies
and with the construction industry’s new emphasis [28].
The objectives of this study are: (i) to perform a mineralogical characterization
of CDW to determine its chemical and mineralogical composition, and estimates
its potential as a source of nutrients for degraded soils and (ii) to evaluate the effect
of CDW bioacidulation using soil microorganisms, to dissolve elements contained
within the waste.
2 Materials and methods

2.1 CDW sources and preparation of the samples
The samples used for this study were provided by the dump CONASFALTOS
S.A., a local company, where three sample types were obtained: (i) concrete and
brick, (ii) pavement and (iii) sand from excavation. These are representative of the
CDW commonly produced in the MMA.
The samples were individually subjected to a crushing and grinding process
with the aim of reducing the particle size. Initially, the CDW was passed separately
through a jaw crusher of the BAN TRANNS brand, and fragments were obtained
of approximately ¼ inch (0.635 cm). This was followed by a secondary crushing,
in a roller crusher (0.01778 cm). After this process, samples were dried in an oven
at 65°C for 24 h with the aim of eliminating residual moisture. Finally, the samples
were passed through a disc pulverizer of the BICO brand (0.014986 cm). Using
the Jones box method, a quartering of the samples was performed. Finally, in an
Agate mortar, the samples were ground separately to ensure that they could pass
through Tyler 200 mesh.
2.2 X-ray diffraction
The analysis was carried out using an X-ray diffractometer of the Panalytical
Reference X’Pert PRO MPD brand with Cu radiation of the wavelength K1 =
1.5406 Ǻ. Power: 45 kV and 40 mA. Swept by a step-size of 0.013° at a rate of
59 s per step with constant sweeping.
2.3 Chemical analysis of minor elements
The concentrations of Pb, Fe, Cu, Zn and Ni in the solution were evaluated by
atomic absorption, using an AA Spectrometer S Series Thermo Electron
Corporation machine under the norm ENT 5526, 2007.
2.4 X-ray fluorescence
It was measured with an energy dispersive X-ray fluorescence spectrometer, with

direct excitation in 2D. PANalytical MiniPal 2 brand, 9 w (30 KW, 1 mA) chrome
irradiation tube, Si-PIN detector, 12-position sample changer, 100–240 V, 45–65
HZ.
2.5 Optical microscopy of plane polarized light (OMPPL)
The samples crushing were mounted in an epoxy resin with a catalyst of the
ARALDITE brand. Subsequently, they were sanded with thick abrasives, then
polished with a series of sandpapers of 200, 400, 600 and 1000 grit, and finally
polished with an alumina of 3, 1, 0.3, and 0.05 µm on a fiber cloth. The procedure
was performed using the standard practice ASTM D2797-2009. Then, the thin
sections were analyzed using OMPPL, in the reflected light mode, with an optic
microscope of the Carl Zeiss AXIO brand and objective lenses of 4, 50, and 100X
in air.
Additionally, to determine the percentage of brick, plaster and concrete, as well
as the average particle size, a point-count was performed using the ASTM
C1356M-2010 standard test method.
2.6 Culture medium and solubilization conditions
Two soil fungi with the capacity to produce organic acids were used in the study,
with the aim of determining CDW bio-dissolution. The fungi were Mortierella sp,
provided by the Universidad Nacional of Colombia’s Biogeochemistry Laboratory
(Osorio and Habte [38]), and Aspergillus niger, provided by Universidad Nacional
de Colombia Microtoxinas y venenos naturales Laboratory.
The fungi were cultured in the potato-dextrose-agar (PDA) medium at 25°C for
5 days. Then they were Subculture in the culture medium with bromothymol blue
as a pH indicator, used to verify their production of acids.
Before using the fungi, a count of colony forming units in the PDA medium
was performed at 25°C after 48 h. After verifying the ability of both fungi to lower
pH, they were cultured in the PDA medium for 5 days at 25°C and the mycelia
were suspended in distilled sterile water and conserved at 4°C for experimental
use.
For the in vitro CDW dissolution tests, the basic composition of the
experimental culture medium was (g.L-1): glucose 10, NH4Cl 1.0, and CDW 3.5
as the sole nutrient source. 100 mL of this medium was placed in 250 mL
Erlenmeyer flasks and sterilized in an autoclave at 120°C, 0.1 MPa for 20 minutes.
After the Erlenmeyer flasks were inoculated with 1 mL of the Mortierella sp.
suspension and 7 mL of A. niger, they were agitated continually at 100 rpm, 28°C
for 7 days.
After the incubation period, the pH of the solution was determined, along with
their P and Ca2+ concentrations. The pH was measured using a potentiometer
(WTW electrode Sentix 81). The P concentration (mg.L-1) was determined using
the blue-molybdate method [39] at 890 nm (Genesys 20 Thermo Spectronic
spectrophotometer), prior to filtration through Whatman No. 42 filter paper and
centrifugation (Jouan MR 1812 centrifuge) at 4000 rpm (1520xg) for 10 minutes.
The Ca2+ concentration in solution was evaluated using atomic absorption in an
AA Perkin Elmer 2380 spectrometer by direct reading.
2.7 Experimental design and data analysis
The in vitro CDW bioacidulation experiment was performed separately for each
fungus and a completely randomized statistical design was employed. The
treatments consisted in inoculation with each microorganism, with an
uninoculated control included as a reference point. Every treatment had four tests.
The effect of the treatments was evaluated using variance analysis and when this
was significant, the Duncan’s multiple range test was used for mean separation.
Both tests were conducted with a significance level of (p) ≤0.05, using
STATGRAPHICS software, version Centurion XVI.

3.1 Mineralogical characterization
The concrete and brick samples presented the following mineral phases: quartz,
calcite, sodium feldspar, wollastonite, actinolite and anatase; these phases may
belong to the concrete aggregate (Figure 1). These minerals masked the most of
the constituent phases of the cementitious matrix due to their lower quantity, size
and degree of crystallinity [30]. It should also be noted that the cementitious matrix
phases were rich in calcium silicates, calcium aluminosilicates and calcium
ferroaluminates. All phases are hydrated, as well as calcium hydroxide and
calcium sulfoaluminate hydrates [5]. For the pavement samples, the phases found
were quartz, actinolite, albite and calcite (Figure 2). These samples also showed
lifting in the spectrum, suggesting the presence of amorphous materials, which
could be petroleum-based polymers. On the other hand, quartz and calcite were
found for the sand samples (Figure 3). It is important to emphasize that the
minerals identified in all the samples are present as primary or secondary minerals
in the clayey part of soils. Thus, if these minerals were used in degraded soil, this
would not affect its composition [29].
Figure 1: X-ray diffractogram of the concrete, brick and cement samples.
Figure 2: X-ray diffractogram of the pavement sample.
Figure 3: X-ray diffractogram of the excavation sand sample.
Based on the XRD results obtained, it can be concluded that the concrete and
brick samples had the highest potential for being a nutrient source for degraded
land because it contains elements as Ca2+, Si and P that are deficient in degraded
soil. However, the elements are in minerals that are insoluble. Therefore, if its
constituent minerals are, subjected to a bioacidulation process. It could result in a
solution of elements such as Si, S, P, Ca, Mg, Fe, Mn and Zn from alumisilicates,
silicates or carbonates. These elements are considered to be essential nutrients and
beneficial to plant growth [31, 32]. Although some minerals were present in the
pavement sample with elements that could be released and promote soil
restoration, pavement may contain some derivatives of petroleum, which is
potentially toxic to plants.
In all the materials were detected trace elements (Cu, Fe, Pb, Zn and Ni), which
were measured by atomic absorption (Table 1). Although they were present, they
were found in small concentrations that would not be toxic to plants [2].
Table 1: Content of elements in CDW determined by atomic absorption.
Cu Fe Pb Zn Ni
Sample
mg kg-1
Concrete and brick 60 33700 170 230 90
Pavement 60 34200 140 190 180
Excavated sand 60 4760 130 240 40
The chemical characterization of CDW using X-ray fluorescence (XRF),

showed that the all samples contained the following elements: Si, Ca, Al, Fe, Ti,
Mg, Na, K, Mn, Cr and S (Table 2). Additionally, these elements were present in
minerals had a low solubility in water. However, the dissolution of CDW can be
promoted through bioacidulation processes using mineral-solubilizing
microorganisms, such as those found in plants established in desert rocks [33].
These could be used in the process of bioacidulation for these minerals, thus
permitting the release of those elements as nutrient sources for soils.
Table 2: Content of elements in CDW determined by X-ray fluorescence.
Concrete and brick Pavement Excavation sand

Oxides
(%) (%) (%)
SiO2 44.3 47.5 55.39
CaO 20.47 3.47 5.63
Al2O3 15.76 19.96 13.9
Fe2O3 5.35 14.91 10.22
P2O5 1.9 0.69 0.78
TiO2 1.01 1.67 1
MgO <0.10 <0.10 <0.10
Na2O 0.1 2.64 1.16
K2O 1.04 1.27 1.32
MnO 0.13 0.2 0.19
Cr2O3 0.05 0.05 0.14
SO3 0.49 0.1 0.62
With the aim of verifying that, the various types of minerals contained in the
samples equated to a higher quantity of potential nutrients for soils (concrete and
brick sample). Thin sections analyzed by OMPPL exhibited displayed sub-
rounded heterogeneous forms that ranged from medium sphericity to subangular
and subelongate forms, which were also heterogeneous. The important phases
included: monocrystalline quartz (38.4%), polycrystalline quartz (23.9%) and
lithics (7.3%). Grains of polycrystalline quartz and lithic fragments of igneous
rocks were observed, which alterations such as oxidation. The principal minerals
in the sample(s) were amphibole (possibly hornblende), quartz, plagioclase,
pyroxene, carbonates, iron oxides, aluminum oxides and muscovite. Additionally,
through a point count the sample was composed of concrete (55.8% with average
particle size 84.2 µm), plaster (26.6% with average particle size 74.6 µm) and
brick (17.6% with average particle size 68 µm). The particle size of the constituent
elements in the concrete and brick samples was within the values corresponding
to silt and fine sand in the soil. The results confirmed that CDW has the potential
to be use as a nutrient source in degraded soil since it can provide some of the
nutrients necessary for plant growth [33]. Degraded urban soil exhibits
compaction problems and a decrease in the essentially nutrients for plant growth,
thus impeding the establishment of plants [22]. The results showed that the CDW
samples contained a large percentage of quartz, an inert mineral that is useful for
improving physical properties such as texture and water filtration in soil [28].
Furthermore, the presence of calcite, wollastonite and anatase was evident. These
minerals can improve the chemical properties of soil [22], increase pH (in the case
of calcite and wollastonite), and provide essential nutrients such as Ca, P, Mg, Mn
and Fe, as well as others such as Na and Al, which are present in feldspar and
actinolite. These minerals were found in greater proportion in the concrete and
brick sample.
Although CDW may contain traces of elements toxic to plants, these are found
in low concentrations, and are unlikely to pose a risk to any plants that ultimately
establish in degraded soils. These elements are, in fact, necessary in small
concentrations for the development of many biochemical processes of soil and
plant microorganisms [34]. However, it is worth noting that a posterior study
should be performed to measure the impact on bioavailability and the potential
phytotoxicity of these elements following their application in soils degraded by
urban mining.
3.2 CDW bioacidulation
In vitro CDW bioacidulation tests showed the production of acids by both fungi,
evidenced by decrease in the pH values of the solution (Figure 4). The control
presented a pH of 8, while the pH of the inoculated samples fell to 6.0 with
Mortierella sp. and 3.6 with A. niger. The production of acid by A. niger was
statistically significant with respect to the control. These results indicate that
fungus acidification could be to neutralize the dissolution of carbonates and
hydrate calcium aluminosilicates to increase the pH. Their dissolution reactions in
an acidic environment are thermodynamically favorable as illustrated by [35] in
equations 1–4 for albite, chlorite, quartz and calcite:
4 4 ↔ 3
° °
2.74, ∆ 887.41 (1)
16 ↔2 3 6
° °
60.30, ∆ 1975.56 ) (2)
° °
2 ↔ 10.41, ∆ 203.51 (3)
2 ↔
° °
9.74, ∆ 270.18 (4)
Based on the minerals contained in CDW, the potential to solubilize P and Ca

can be highlighted, which is very important because these two elements are
necessary nutrients for plant establishment. The levels of P in solution after
bioacidulation (Figure 5) did not present significant differences with respect to the
control. This may be because CDW contains small quantities of this element
(<2%). However, the amount that fungi can immobilize, which could be
significant, was not measured.
The concentration of Ca significantly increased in A. niger (262.6 mg L-1) and
Mortierella sp. (275.37 mg L-1) with respect to the white (141.25 mg L-1) (Figure
5).
Figure 4: Changes in pH values in solutions inoculated with the fungi. Each bar
represents the average of the four repetitions. Standard deviations are
represented at top of each bar. Different lowercase letters indicate
significant differences among the treatments according to the Duncan
test (p≤0.05).
Figure 5: Calcium concentration in solution (mg.L-1) of the solution as a

function of inoculation with the fungi.
Each column represents the average of four repetitions. The bars indicate
standard deviation. Columns with different lowercase letters indicate significant -
differences in the treatments according to the Duncan test (p≤0.05).
Both fungi produced acids in the medium. A. niger produced citric acid in a
greater quantity [36] and Mortierella sp. produced oxalic acid [37] in a greater
quantity. Both acids caused comparable reactions in terms of dissolving CDW.

This was evidenced by a decrease in pH and the release of Ca.
Both other researchers’ results [38, 39] and the results of this study show the
apparent existence of a proportional inverse relationship between medium pH and
nutrient concentration in solution as a result of CDW dissolution.
From the results obtained, it can be inferred that despite the fact that CDW is
stable in natural conditions in accordance with the mineralogy found, upon being
exposed to mediums with microorganisms that exude organic acids, it undergoes
changes to its physical, chemical and mineralogical properties. This favors the
dissolution of elements such as calcium, which is comparable to the results that
have been found [40, 41] in the case of urban structures and sculptures.
The deterioration, or degradation, of CDW is caused by the organic acids
produced by the fungi Mortierella sp. and A. niger, leading to instability and the
dissolution of minerals like carbonates, calcium silicates, and phosphates, among
others [42], thus releasing Ca and P in solution. In studies carried out by other
authors, one of the predominant factors in the dissolution processes of rocks,
minerals, and urban structures is microbial activity. This is supported by the
findings of the present study [43].
4 Conclusions
This study has shown how CDW can potentially be used in the remediation of soils
degraded by urban mining, since it contains elements needed for plant nutrition
and soil microorganisms that can be left in solution after a bioacidulation process.
Although these elements are present in insoluble minerals in the most cases, they
can be solubilized by the actions of fungi. Furthermore, due to the size of CDW
particles, it can change the physical properties of the soil, thus improving texture,
filtration, drainage, aeration and other properties.
Although CDW presents traces of elements that in high quantities can be toxic,
these are found in very low levels, and are thus not expected to generate phytotoxic
effects; to the contrary, they may benefit biochemical processes of plants and
microorganisms.
The concrete and brick sample is that which may provide the greatest
contribution of nutrients to the soil. This is due to its high Ca and P content, as
well as the absence of petroleum-based materials present in the pavement, which
can be harmful to plants.
Acknowledgements
The authors gratefully acknowledge the financial support provided by the
Universidad San Buenaventura, and Institución Universitaria Pascual Bravo,
Universidad Nacional de Colombia at Medellín for the technical support provided
by was also fundamental for the development of this research, and the authors
recognize its significance. Finally, the author grateful to the Colciencias National
Doctorate Program, summons 567.
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Section 9
Case studies
Tarlabaşı, Istanbul: a case study of

unsustainable urban transformation
M. L. Turanalp Uysal1 & N. Korostoff 2
1
Independent Researcher, Boston, USA
2
Department of Landscape Architecture, Penn State University, USA
Abstract
The purpose of this paper is to examine a municipally sponsored urban
transformation project in the Tarlabaşı neighbourhood of central Istanbul,
Republic of Turkey, the first modern urban area of the city, for its effects on the
historic, social, cultural and economic sustainability of the city. The study
examines the 300-year history of the neighbourhood and its most recent social and
physical conditions prior to the transformation project (which is currently under
way). Historic records, maps, plan and photographs will be utilized in the study.
The results of the study demonstrate that the urban renewal project imposed upon
the Tarlabaşı community by the municipality and allied agencies is not sustainable.
To the contrary, the project has destroyed a culturally rich and socially diverse
community with deep roots in the historic urban texture of Istanbul and
destabilized adjacent communities. It has displaced over 4,000 people; added to
the homeless population of central Istanbul; and created additional pressure on
impoverished areas nearby. The physical transformation of the area will destroy
all but the facades of over 210 (of 278) historically registered buildings and
completely altered the spatial configuration from a 16th century neighbourhood of
two and three story buildings on narrow streets and alleys to a 21st century zone of
gleaming glass and steel condominiums. From a socially diverse community
providing refuge and employment for minorities and those with alternative
lifestyles, Tarlabaşı will become a bedroom zone for the newly rich of Istanbul. In
the conclusion of the study the authors will discuss the impact of several similar
urban transformation projects upon the sustainability of historic central Istanbul.
Keywords: sustainability, gentrification, urbanization, urban health.
doi:10.2495/SC150361
1 Introduction
The world’s population living in the cities has been increasing dramatically in the
last few decades. Today, the population of the world is more than seven billion. It
is estimated that 54% of the world’s population is currently living in urban areas
where more than one billion people have been added since 2000 [1–3]. This large
influx of population resulted in unplanned urbanization, which does not provide a
sustainable life for urban dwellers due to social, economic, ecological, and public
health problems.
On one hand, there is a significant increase of the global population causing
serious problems affecting urban and public health. On the other hand, there are
continuing discussions about the solutions to this rapid population growth and the
provision of sustainable. The number of urban residents is growing by nearly 60
million every year. This demographic transition from rural to urban, or
urbanization, has far-reaching consequences. Because so many new urban
residents are drawn from the rural poor, many speak about the “urbanization of
poverty” in the 21st century [1–3].
Urbanization has been connected with overall shifts in the economy especially
towards mass industry, technology and service and away from agricultural and
manufacturing [4]. High urban densities have reduced transaction costs, made
public spending on infrastructure and services more economically practical, and
enabled production and circulation of information, all of which have encouraged
growth strategies with a specific focus on the service and knowledge economies
[3].
One widely promoted solution to the perceived need for economic growth is
the creation “mega cities” – super-large urban areas that supposedly answer the
need for growth through size alone [5]. Istanbul could be a case study to analyse
and understand the challenges of rapid population growth and consumption in
spontaneously urbanized areas. For instance, as seen in the figure 1, after the
construction of second Bosporus Bridge in 1988, urbanization spread dramatically
towards north, a formerly preserved ecological area protecting the city’s important
watersheds. After the first Bosporus Bridge, 1973, the population was around 2.5
million, after the second one the population dramatically increased to 6.5 million.
Finally, the third Bosporus Bridge is current being constructed and the population
is over 15 million [6].
With a population nearing 16 million and a total land area of approximately
1,930 square miles, it has been estimated that, at current growth rates, the city
could have as many as 17 million inhabitants by 2023 [7]. Istanbul has been a
centre of art, design, architecture, trade, and business for an emerging creative
class of young artists for the last few decades that make city even more desirable
for construction companies as well as developers and government itself.
These cultural and economic conditions attract developers and government to
build a more modern urban environment for the urban elites, which has resulted in
extensive destruction of historic neighbourhoods of Istanbul during the last two
decades. The tools for changing the city are “urban renewal projects” and “large
urban scale developments” supported by national and municipal policies [8].
Figure 1: Istanbul growth.
Urban renewal projects that facilitate automobile ownership and displace poor
urban residents, such as Tarlabaşı and Sulukule Renewal Projects, are widely
known for their social, cultural and architectural transformations at enormous
scale. The Tarlabaşı Urban Renewal Project is an important case study of this
global problem of government and private developer sponsored urban
transformations that benefit the wealthy urban elite and further disadvantage the
city’s massive impoverished population.
2 Tarlabaşı
Tarlabaşı is a neighbourhood that located in the northern part of İstanbul, right
next to Taksim Square and Gezi Park in Central Istanbul, Turkey.
As you see in the figure 2, Tarlabaşı is located in the centre of Istanbul, where
the real estate is very highly valued.
2.1 History of Tarlabaşı
Tarlabaşı was a Muslim cemetery during the 17th century. At the beginning of 18th
century, due to the growing population of Istanbul, Tarlabaşı became a new trade
centre for non-Muslim citizens as it was outside of the historic centre of the old
city. The old city or Holy City, the site of royal mosques and the Caliphate in the
Ottoman Period (1453–1910) and the earlier Byzantine Empire of Constantinople
on the far side of the Golden Horn waterway, excluded non-Muslims from
residence. Following the tragic city fire of 1870, Tarlabaşı became a first planned
portion of Istanbul. It became the centre of European urbanization in the city
including hotels, theatres, wide roads and even a town square. In the second half
of 19th century, Tarlabaşı became a new residential area for the middle income and
low-income class, while the other neighbourhoods around Tarlabaşı were the high-
Figure 2: Istanbul and Tarlabaşı’s location map.
class residential area. Tarlabaşı was a place of non-Muslim people including Jews,
Armenians and Greeks excluded from the Holy City or historic area [9]. During
World War I the Ottoman Empire allied itself with Germany and the Austro-
Hungarian Empire and following its defeat the Ottoman Empire ceased to exist. In
1923 the new Republic of Turkey was created in the Anatolian heartland of the
Turkish people but the cosmopolitan city of Istanbul fell from favour as Kemalist
nationalism emphasized the new Republican capitol of Ankara.
In 1940s, under the influence of German racial ideology, the Republican
government imposed wealth taxes upon non-Muslim citizens concentrated in
urban enclaves such as Tarlabaşı. Non-Muslims who could or would not pay the
wealth tax (60% of all property) were deported to labour camps in the interior of
the country. Though the wealth tax was later reversed, many of the residents of
Tarlabaşı either sold their properties or low value or gave a power of attorney to
local Turkish lawyers for renting these units and emigrated from Turkey during
the 1950s [10].
Between 1960 and 1990 many of these housing units in Tarlabaşı were rented
to students and low-income workers. The residential units were over-populated
due to illegal rental practices and deteriorated rapidly due of excessive use and
lack of maintenance and investment [10]. During the 1990s, Kurdish citizens of
eastern Turkey, seeking greater freedom and autonomy, were persecuted and
attacked by the central government in a secret campaign that amounted to a form
of civil warfare. Over 40,000 Turks and Kurds perished tragically during this
period. Many Kurdish citizens of eastern Turkey moved to Tarlabaşı and other
urban enclaves to escape violence in the rural areas and seek better opportunities
in the city. Conditions deteriorated as more Kurds and other marginalized social
groups crowded into the semi-feral neighbourhoods such as Tarlabaşı where gangs
controlled the streets and even the police were afraid to venture at night.
2.2 Social and economical structure
In the 20th century, Tarlabaşı became a new mixed-use area for different ethnic
groups such as Greeks, Armenians, nomads, Kurds, and Assyrians. Many
domestic and international students rented cheap accommodations in the
neighbourhood and it was known to harbour marginalized groups such as
homosexuals, drug addicts and dealers and others who leaved on the fringes of
society [11]. Towards the end of the century aftermath of non-Muslim ethnic
groups being forced out and forced migration of Kurdish into the neighbourhood,
the composition of the neighbourhood became more heavily Kurdish and nomads.
Most of these people were low-income groups such as low-paid service workers,
paper collectors, students, construction workers, and street hawkers. Families
relied heavily upon their children’s labour for income, the source of living for the
57% of families were their working children. 90% of women were illiterate and
unemployed while the rest were working as housekeepers [12].
Tarlabaşı has been denounced publicly by the government as a criminal area,
the centre of prostitution and drug trade in 2000s.
3 Tarlabaşı project
Tarlabaşı Renewal Project is the first of its kind in Turkey that is being processed
by public-private sector cooperation with the ostensible goal of restoring the
historical buildings and renovating the other buildings around in a modern
architecture style [13]. The locally governing Beyoglu municipality announced the
renewal project at February 2006 by publishing the project details quickly without
the required public comment period. According to the municipality, though
Tarlabaşı was a culturally rich neighbourhood, it was also not a safe zone in which
to live. Strangely, Beyoglu municipality focused on a restoration project plan that
promised to protect the original facades of the unique historical buildings by
giving them a contemporary and modern appearance [14, 15]. Beyoglu
Municipality’s partner company, the Gap Insaat developer and construction
company, is an important financial supporter of the ruling AKP political party.
Gap Insaat articulated the goal of turning Tarlabaşı into a contemporarily designed
modern exemplar of private sector construction. Their goal of a mixed-used urban
development, with ground floor retail and commercial space and high-end
residences on upper floors, mirrors contemporary urbanism in cities in Western
Europe and the US. However both the architectural style and the type of urban
development are totally foreign to the historic architectural and social context of
Istanbul, Tarlabaşı and the Turkey [16].
In the figures 3–5, you can see that the characteristics of the historic buildings
are mainly covered by modern architectural style as exemplified below.
3.1 Project objectives and details
The overall project area contains 21 blocks in the 20,000 m2 of the neighbourhood.
The first part of the project is focused on renovations of 210 of 278 buildings in
the 9 blocks [12].
Figure 3: Tarlabaşı project drawings.
This renovation project specifically focused on protecting the historical identity

of the buildings.
Figure 6: The goals of the Tarlabaşı renovation project.
Some of the main goals of the project as articulated by the municipality and the
development company are outlined below [12]:
 Integrate Tarlabaşı with Istanbul by changing it into a safer and healthier
neighbourhood;
 Protect the architectural, cultural, environmental and historical values of
the neighbourhood;
 Provide a financial support from private sector in this public and private
sector partnership;
 Improve transportation and infrastructure of the neighbourhood;

 Increase the social well-being and the quality of life within the city.
4 Today’s Tarlabaşı
The Cultural and Natural Properties Preservation Committee of Istanbul registered
the historical buildings of Tarlabaşı a second time as culturally significant 2005,
though they were already registered as such in 1978. Following this decision,
Beyoglu municipality announced Tarlabaşı as the first Renewal Project of Turkey
under the law 5633, the Renovation Law, in 2006, which declared that Tarlabaşı’s
historical buildings could be renovated and demolished if needed. Based upon the
1978 and 2005 registration process, those historic buildings should have been
under the law’s protection, which means that nothing could be changed in, around
and on them without any permission. In the years following 2006, 18 out of 20
historic buildings on the main Tarlabaşı Boulevard were completely demolished.
As for the rest of 210 historical buildings in the neighbourhood, only their facades
were protected while the main part of the structures were demolished in order to
be rebuilt as multi-use residences with five to six times the volume of the original
buildings [14, 17].
Although the project was originally planned to be completed in 2010, it is
currently still be constructed with completion scheduled for 2017. There is no clear
information published about the project by the leading company or the Beyoglu
municipality. The streets are now empty of people in Tarlabaşı’s Renewal Project
Area. The metal shields cover all the streets entrances like a neighbourhood under
siege.
The because most of the local population of Tarlabaşı did not own the
properties they lacked rights and were forced to leave, either paid off with
negligible monies, of less than fair value, or evicted by the local police forces. This
once a multicultural neighbourhood lost its ethnic composition, diversity and
population.
The leading construction company, Calik Holding-Gap Insaat, did not keep
their promises to locals to provide replacement housing nearby. Thus, hundreds of
families were forced to leave for far distant neighbourhoods though they were
employed in the service sector in the city’s centre.
5 Conclusion
Due to population growth and migration into cities, everyday local governments
face the difficult management challenges of unplanned urbanization and the
urbanization of poverty [18, 19]. Municipalities and even national governments
lack sufficient resources and organizational capacity to construct the necessary
infrastructure and public services to provide safe and healthy living systems to
their populations. It is often the case that poverty is concentrated in unplanned
neighbourhoods as the rural poor flood into the urban periphery and remaining
open spaces [18]. Today more than one billion people are live in urban slums.
Most of them lack access to public health services, experience social and
economical inequalities, and are marginalized in various ways [2, 18]. This is an
unhealthy and unsustainable situation of global dimensions. Though
municipalities and national governments are aware of this many of the urban
renewal or development projects they use to address the issues are problematically
ineffective. Indeed, some of these urban renewal projects are poorly designed
worsen the seriously unsustainable conditions [20]. Tarlabaşı project is a prime
example for this type of faulty renewal projects. One can only conclude that the
Tarlabaşı Urban Renewal Project, despite its claims, was never intended to benefit
the poor and ethnic minority population of the neighbourhood. The actual intention
of the project was to evict the poor and powerless and claim choice real estate for
the wealthy global elites.
In contradiction to its original objectives, the renewal project did not deliver an
ecological, economical, cultural, social and healthier living model for its original
citizens. As defined in the renewal mission, social interaction within the
community did not increase but actually disappeared as the locals were forced out
of the neighbourhood. Another goal of the project was to create a safe and healthy
environment for the locals, Tarlabaşı renewal project was meant to create such
improved neighbourhood not for the original local population but for the new
incoming wealthy class. The dramatic jump in house prices was a clear evidence
for that. The housing prices increased over 40 fold, which clearly meant that the
original poor locals would not be able to afford and thus would not be able to call
Tarlabaşı their home anymore. And the worst is what happened to the ethnic and
cultural diversity, which was heavily advertised by the project as the
neighbourhood’s unique character and selling point. This rich diversity was
destroyed as the original local population was forced to sell their homes or literally
forced out of the neighbourhood.
References
[1] WHO-UN-Habitat, Global Forum on Urbanization and Health: 2010
Annual Report, Japan, 2010.
[2] WHO-Metropolis, Cities for Health, Hyderabad, India, 2014.
[3] World Health Organization Website: www.who.int
[4] Bauman, Z. Küreselleşme, Toplumsal Sonuçları, Istanbul, 1999.
[5] Soja, E. W., Six Discourses on the Postmetropolis, Sallie Williams & John
Williams (eds): Imagining Cities, London & NY 1997.
[6] Turkish Ministry of Environment and Urbanization Website:
www.csb.gov.tr
[7] Turkish Statistical Institute Website: www.turkstat.gov.tr
[8] Küçük, A.A., Küreselleşme ve Tarihi Alanlarda Dönüşüm: İstanbul-
Tarlabaşı örneği, Istanbul, 2010.
[9] Kortun, V., 19. yy Pera ve Galata’daki Sosyal ve Kültürel Yaşam Dergisi
93/1, Istanbul, pp. 21-22, 1993.
[10] Savaşan, D., Kentsel Yarılmanın Kent Kimliğine Etkisi: Tarlabaşı Orneği,
Istanbul, 2007.
[11] Mimarist, www.mimarist.org
[12] Tarlabaşı 360, http://www.tarlabasi360.com.tr

[13] Beyoglu Municipality Website: www.beyoglu.bel.tr
[14] Yapi, www.yapidergisi.com
[15] Arkitera, www.arkitera.com
[16] Çelikkol A.H., İstanbul Beyoğlu Tarlabaşı Yöresi Konutları Üzerine Bir
Araştırma, Istanbul, 2009.
[17] Mimarizm, www.mimarizm.com
[18] Harvey, D., Class Structure and the Theory of Residential Differentiation:
The Urban Experience, Blackwell, UK, 1992.
[19] De Certaue M., Walking in the City: The Practice of Everyday Life, France,
1980.
[20] Brebbia, C.A., Ozcevik, O., Sener, S.M., Sustainable Development and
Planning, UK, 2015.
Sustainable intraurban cities: the Moema

Tinoco Project in the city of Natal, Brazil
D. Cunha Lima Neto1, P. Italo dos Santos Galvão2 & K. Brandão3
1
Legal and Urban Planning Department of
Professor Diogenes da Cunha Lima, Brasil
2
Federal University of Rio Grande do Norte, Brasil
3
Dcasa Urbanism, Brasil
Abstract
The present work consists of demonstrating, through a project located in an area
of 121.67 hectares, Environmental Protection Zone-9 in Natal, Brazil, the building
of sustainable social housing. In addition to this, the project also involves
improvements in infrastructure, through the implementation of urban equipment
and community, aimed at social, economic and environmental urbanization. The
architectural project shows us the possibility of building social housing seeking an
integration with the surrounding population, respecting sustainable ideas. The
project was explained in Public Hearing for the purpose of the regulations of the
Environmental Protection Zone-9 in Natal, Brazil, still pending. Furthermore,
there was a meeting with the regional manager of Civil Construction of the Caixa
Economica Federal (CEF) in RN, Ivonaldo Henrique de Souza, at which he
showed considerable interest in the proposal. Marcelo Rosado, Municipal
Secretary of Environment and Urbanism, in turn, considered that it is necessary to
raise awareness of the importance of sustainability. As a partial result had also a
meeting with Homer Grec, Housing Secretary, Project and Land Regularization
Structuring, when he made alarming data about the housing deficit in Natal and
claimed that in the north there is no urban voids with sufficient capacity for social
housing in the range 1, although there are CEF resources for this purpose through
the Casa Azul Seal CEF.
Keywords: sustainable, social housing, urban strategies, quality of life, urban
poor, development, technology, environment, project, intraurban.
doi:10.2495/SC150371
1 Introduction
The social housing is associated directly to the need to provide urban housing for
the disadvantaged sectors of the population. Such housing can be provided by the
public or private sector, for sale or rent to its residents.
In this sense, this paper aims to demonstrate how a sustainable social housing
project in Natal, Brazil, can contribute and benefit low-income populations.
One of the issues surrounding the project are local practices, since it is intended
to introduce new values to management, such as participation, planning, strategy,
followed by the appreciation of local traditions, which help to strengthen regional
identity and such facts is not common in Brazil, mainly in the northeast.
So the paper in the first part tries to bring a general notion of planning and
sustainable neighborhoods in order to give birth to the Moema Tinoco Project
wants to apply in Natal. In the second part, we will contextualize and discuss the
North Zone of Natal, where the project will be executed. Finally, the third part will
be treated on the Sustainable Social Housing mentioning its benefits and
challenges for the region.
2 Auto sustainable and planning neighborhood

The concept of planned neighborhood came up with the growing demand for more
orderly cities, aiming to provide a better infrastructure to residents, joining the
efficiency factors, quality of life and sustainability.
This type of sprawling cities results in big displacements, often encouraging
use of cars. This model is a contradiction efficiency, low cost, quality and negative
impacts on the environment. On the other hand, the efficient city is compact city
that combines a diversified occupation in use, covering horizontal housing,
vertical, commerce, service, offices, common spaces for leisure and integration
with green areas. In addition to this diversity of use, diversity of residents is also
essential for the neighborhood to be auto sustainable in the economic and social
aspects.
In order to consider this diversity of use and occupation, the planned
neighborhoods, in general, are based on large areas (over 500 000 m2) integrated
the consolidated urban fabric and offer a wide variety of products: horizontal and
vertical residential, trade , industry, services and leisure, surrounded by parks and
green areas. Their projects must provide a proper road hierarchy, which includes
the car, public transport, bicycle paths and pedestrian routes.
The urban concept of planned neighborhood has been widely reported by the
New Urbanism, a movement that emerged in the United States during the 1990s
as a counterpoint to American cities developed so far in more sprawling models
where the car is privileged instead of pedestrian.
Speaking of new urbanism, by itself, would give another article, but it is
important to highlight some important aspects that coincide with the proposal of a
planned neighborhood self-sustainable and in harmony with the environment and
quality of life.
Diversity of use, diversity of classes, democratization of public spaces,

construction planning allowing its integration with pedestrian scale, encouraging
the use of bicycles and privilege to pedestrians in urban design that includes the
lease of community facilities such as schools, parks, health centers and security in
order to integrate the community, are some aspects of new urbanism aimed, in
short, offer better quality of life for the final and current population of planned
neighborhoods.
One of the key factors for success of planned neighborhoods, of course, is the
establishment of rules and management of their occupation. Despite the relevance
of the urban concept with regard to urban design, the use of each building will
define the dynamics and the organization of life of this community.
Since the concept of “Planned” defines the neighborhood, ensure the main
aspects that underlie this concept, and, live, work, study and have fun in a
harmonized and integrated space to the environment, it is essential to achieve the
success in this deployment.
Thus, some planned neighborhoods deployed in Brazil are prime examples of
this management, as care of this was one of the pillars of its support. Pedra Branca
in the city of Palhoça; Riviera de São Lourenço, in the city of Bertioga and Jurerê
International in the city of Santa Catarina, are examples that careful management
in the occupation results in the success of its implementation. Highlighting,
however, that in all these cases the entrepreneur’s management was present since
the initial deployment time to the consolidation of these neighborhoods, that is,
for more than a decade.
This is a point of consideration, as are models that require a significant
management structure and constant, and often mismatched with the profitability
of the business, despite its great benefits.
Another model with examples in Brazil are planned neighborhoods of Cia City,
deployed in the 1940s, which sought this order through the implementation of
restrictions on the use of the Real Estate Registration, dismissing the management
structures and the presence of the entrepreneur after deployment urban
infrastructure.
Are distinct and positive and negative aspects models in each of them, but both
emphasize the importance of this matter to the success of planned neighborhoods,
namely the establishment of rules of occupation and community management.
The economic and financial structuring of planned neighborhoods can be
considered as one of the main challenges in its implementation. Aspects such as
the occupancy rate, growth velocity of Brazilian cities, Brazilian legislation, the
profile of the housing construction industry, among others, significantly impact
the quality of economic and financial developments.
The occupation rate is an important factor for economic and financial
equilibrium of projects planned neighborhoods. On the one hand, the structure
necessary to deploy a planned neighborhood in general is robust and high demand
degree of investment in time, human and financial resources on the other hand,
these usually take years to start the process of consolidation.
Generally, consolidation and acceleration of the implementation process of
these projects takes between ten and 20 years to win a consolidated neighborhood
setting, trade and services supported by own demand and the consecration of a
new vector of development.
Thus, the enterprising must be prepared for a long-term planning, but mainly
overcome the challenges of having a balanced economic and financial project for
each stage of development to be sustainable under these aspects. This is the big
challenge, how to make ensure a balance of profitability since the start of this
operation, which requires high levels of investment, mainly in urban
infrastructure, with prices that are still in the early levels and high risk?
This aspect gets worse when these entrepreneurs are bound to a capital structure
with short and medium-term visions, as is the case of companies with publicly
traded and they need to demonstrate their returns each year. So make every launch
stage presents its results in the levels of each company becomes even more
challenging, since the beginning of the implementation of these neighborhoods
will require high investments with initial selling prices, as explained above.
Another aspect that directly affects the occupancy speeds linked to rates of
population and economic growth of cities. For a new neighborhood project can be
consolidated, it must be associated with a city’s growth capacity to which it
belongs. Projects such as these can easily reach 40 thousand inhabitants, it is
necessary that the city has this offer absorptive capacity so there is a good
relationship between supply x demand in order to maintain an adequate level of
continuous appreciation of each product offered, as well as its implementation
within a reasonable time.
It is true that we are experiencing a very promising period in our country with
significant volumes of public and private investments that are generating high
growth expectations in several Brazilian cities and projections of sustained
economic growth in the coming years. This is a great opportunity for these new
projects.
Brazilian law directly affects the development of planned neighborhoods.
Some aspects, such as the maximum execution time of infrastructure, constant in
the law 6.766/1979 parceling of urban land, of two years, renewable for another
two years, since the municipality permits, imposes on the enterprising the
challenge of properly scale the size each stage of the project for the execution of
the infrastructure to track your sales velocity. An error at this design, sometimes
by unpredictable factors, may cause a major financial imbalance in the venture.
Another important aspect related to the Brazilian legislation that can impact the
project’s occupancy velocity is the fact that there are two processes for creating
these projects. The first parceling is tied to the soil, which aims to generate
urbanized lot, and the second to the real estate development aimed at generating
unit built for marketing, whether for housing, commerce, service or business.
In some cases, the second stage can only occur after the first, with the necessity
of run all the infrastructure and obtaining Construction Verification Agreement
(TVO). In this case, the start of the distribution process of the units through real
estate development will occur after all the investment infrastructure, causing a
large mismatch of investment revenue.
The profile industry of the Brazilian real estate construction still has some
features that make the consolidation of planned neighborhoods to occur in the
medium and long term.
Regarding verticalized products, long production cycles associated with these
products make the occupation began is after the beginning of the marketing year
and can easily reach four years, considering that after the delivery of the units there
is still the internal adjustment period these units, since it is not common in our
industry the units are delivered completely furnished for quick occupation.
In speaking of horizontal units, the Brazilian culture of autoconstruction is still
very strong, especially in medium and high standard products. Thus, when
finalizing a subdivision, generally after two years of its launch, it begins the
process of construction of the units; it is not uncommon that these subdivisions
take around three years to achieve an occupancy of 50%.
Surely, if our industry was consolidated in industrial processes and low
production cycles, whether for upright products as well as for horizontal units in
the segments of medium and high standard, we would watch occupation processes
and training of planned neighborhoods at a higher pace.
Obviously, the transformation industry is something that has been occurring
and should be accelerated with a shortage of manpower requiring on the one hand,
construction with shorter production cycles by dry processing and construction
and, on the other hand, will inhibit the autoconstruction that will not be attractive
in its cost x benefit ratio, as already occurred in other markets such as the US and
Mexico.
At the same time as a planned neighborhood project earns major risks
proportional to its complexity undoubtedly they are also great opportunities. In
this sense, the next chapter we will contextualize the northern zone of Natal and
then approach the Moema Tinoco Project through the federal government
Sustainable Program “My House, My Life” working the idea of a planned
neighborhood.
3 Environmental Protection Zone-9 in Natal, Brazil:

context and reality
In the state of Rio Grande do Norte, 43% of the population is located in the Greater
Natal [1]. This high concentration of population and their growth contributes in
the production of alarming situations, such as the occupation of improper areas
(Permanent Preservation Area, swamps, river banks, dunes etc.) which is
aggravated by the absence of a basic sanitation system, covering the collection,
treatment and proper disposal to the sanitary sewer.
The Environmental Protection Zone-9 is located between the municipal
boundaries of Natal/RN and Extremoz/RN, eastern coastal state of Rio Grande do
Norte, in northeastern Brazil, as shown in Figure 1.
It also includes part of the Lagoa Azul and Pajussara neighborhoods, located in
the north of the city of Natal/RN. Important to clarify that the neighborhood of
Redinha presents a small part located within the ZPA-9 limits. Today, however,
the limits of this neighborhood are still being discussed between the managers of
Figure 1: Localization of ZPA-9.
the cities of Natal/RN and Extremoz/RN. For this reason, coupled with the small
population density checked, we will not consider it as belonging to the study area.
The article 19th of the Director Plan of Natal, in turn, points to the regulation
of each of Environmental Protection Zone and guides for them to be regulated by
observing the characteristics of their physical environment and according to three
levels of zoning, as defined: subzone preservation, subzone conservation and
restricted use sub-area. Such legislation constitutes an important instrument in
urban and environmental management, in that it sets out the conditions (limits and
potential) use and occupation of these spaces, which, once established, must be
strictly observed.
In this reasoning, a technical study (Expert Report) has been prepared in order
to meet a request of the 45th Prosecutor’s Office of Natal District of
Environmental Defense to the Federal University of Rio Grande do Norte, through
the Northern Rio-grandense Foundation Research and Culture – FUNPEC [2], and
was aimed at evaluating the proposed regulations ZPA-9, prepared by the
Brazilian Institute of Municipal Administration – IBAM in partnership with the
Municipal Secretary of Environment and Urbanism – SEMURB, proponent

agency [3], as photo below that shows the area of Environmental-9 Protection
Zone can be part of the occupation and land use:
Figure 2: Location of the Moema Tinoco Project.
The urban fabric of Natal is marked by large spatial disparities. The city has a
huge housing deficit in areas where there are jobs (and vice versa), needs quality
public spaces, its sidewalks are inadequate, and the ugliness dominates the
cityscape. As a result of this (un)territorial organization, the sub city takes
advantage of its potential to generate social and economic value, and aggravates
their mobility problems and social and territorial injustice. The urban chaos
deepens with the growing supply of social housing in outlying areas of the city,
and the consolidation of ghettos – gated communities of poor or rich. Natal faces
crime problems, low social cohesion and economic inefficiency – an environment
that does not boost innovation, creativity, entrepreneurship, or attracting global
talent.
In northern Natal, 40% of the North Zone Natal population population live in
neighborhoods where the ZPA-9 is inserted and in the neighborhoods of Lagoa
Azul and Pajuçara average of residents per household is higher than the average
for the capital and other districts in Natal/Brazil [4]. With regard to education:
80% of the population is literate, but most householders have a maximum of up to
7 years of study. (IBGE, 2000). Income: 60% of the residents of Lagoa Azul
neighborhoods and Pajuçara earn up to three minimum salaries. In Lagoa Azul
26.57% earns up to 1 minimum wage. The average monthly income is lower than
the city of Natal/RN and the North Zone [1]. Sanitation: North Zone has only
4.10% of sewage connection, practically does not exist in the neighborhoods
mentioned herein. 20% of Lagoa Azul streets and 30% Pajuçara have drainage
system [4].
Finally, specifically the North of Natal area where the project will be located,
in Chapter 4 we will understand the details of the project and because sustainable
as a case study.
4 The Moema Tinoco Project in the ‘My House, My Life’

sustainable Brazilian program
Public policies in the area of social housing focus in its guidelines, as a priority,
combating quantitative housing deficit, a situation that affects 90% of families
with monthly income between 0–3 minimum wages.
Linked to this factor, the government initiatives aimed at reducing the deficit
that stimulate come, in addition to the production of social housing, the
mobilization of public investments for the development of the construction sector,
generating jobs and income. The housing package launched by the Brazilian
Federal Government, “My House, My Life” has the objective of reducing the
housing deficit. The land regularization, rules of urban land use in urban centers,
infrastructure and transformation policies of slums in neighborhoods are essential
measures in this process.
It is also observed that aspects of economic, environmental and social order are
treated sometimes in social housing projects in a timely manner, disregarding the
integration of the guiding elements of sustainability. The above scenario requires
deepening the discussion on the impact of real estate projects of social interest in
the living conditions of the population and in the conception of urban planning of
cities.
In this context, it highlights the importance of the proposed topic of significant
relevance to society and the challenge of contributing to the implementation of
sustainable social housing in Brazil.
The construction of large housing estates didn’t prove to be a good solution and
has generated other impacts: the absence of nearby jobs, away from institutions,
trade and services, high infrastructure costs, real estate speculation in the areas
between sets and urban sprawl, spatial segregation urban and other social costs.
On the other hand, the Moema Tinoco Project covers an area of
1,244,078.92m2, and part of the area will be donated to the city of Natal for
building purposes for a Natural Park and the rest will be built sustainable social
housing. The project initiative provides an average of 20,000 inhabitants,
considering that the project contained 4,000 housing and the assumption that each
house will be 4 or 5 people, as figure 3.
The greatest challenge of this project were attempts to regulate the area and
consider it as an area of social interest, but still remains this debate. Another
challenge is related to the project that the search for a logical and rational solution
able to show that the characteristic of a housing not satisfy the economic pattern
of an appointed social class, but the technical notions, breaking an ancient and
Figure 3: Details of the Moema Tinoco Project.
dominant paradigm that affordable housing should be marked by the simplicity of

its buildings. The city of Natal need to awake a greater sense of urbanity.
As for legal aspects, Law no. 10.257/2001 instituted the City Statute, regulating
articles 182 and 183 of the Brazilian Federal Constitution, was the essential
guiding framework of the current urban policy. The Brazilian government has
been creating other inventive policies, such as in March 2009 created the “My
House, My Life”.
The “Blue House Seal” of Caixa Econômica Federal (CEF) is also another
element that aims to encourage the construction of sustainable housing
developments. At the municipal level is the Director Plan of Natal which regulates
benefits for housing.
The innovative elements are based on the search for balance of environmental
protection, social justice and economic viability. This means that the sustainable
housing project is an innovative way many Brazil’s problems, especially Natal:
the huge deficit of housing, the marginalization of low-income families, lack of
social integration and a growing concern for the environment. Innovative also
covered by the construction of 4,000 sustainable housing, say, on a large scale.
This is important for the region of Natal, in front of mentioned problems.
Among the elements of architecture and urban project includes bike rack, place
for selective collection and storage of recyclable materials, leisure areas and green
areas, water-saving systems and energy processes to reduce and control the quality
of construction materials and in the concept of the project, measures were taken to
improve the thermal performance of the building, the surrounding community

participation, tangible changes in access to opportunities, given that the project
has an impact and potential large scale in the poorest region of Natal.
The Caixa Econômica Federal through “Blue House Seal”, the company
recognizes the rational use of water and natural resources, reduces maintenance
costs of the buildings and the monthly expenses of its members, and also promotes
awareness of entrepreneurs and residents about the benefits of sustainable
buildings. Aiming to all these benefits, the Federal Savings Bank provides low-
interest rates for builders. So, it is this sustainable funding model that meets 0
income classes to 3 minimum wages within an available and affordable budget.
The following figures in generally shows the project, see:
Figure 4: Distant view of Moema Tinoco Project.
The outlined architectural project shows us the possibility of building social

housing (0–3 minimum wages), seeking an integration with the surrounding
population, respecting sustainable ideas. The project was explained in Public
Hearing for the purpose of the regulations of the Environmental Protection
Zone-9 in Natal-RN, still pending. In addition, there was a meeting with the
regional manager of Construction Federal Savings Bank (CEF) in RN, Ivonaldo
Henrique de Souza, at which time this has shown considerable interest in the
proposal. Marcelo Rosado, Municipal Secretary of Environment and Urbanism, in
turn, did not think differently and considered that it is necessary to raise awareness
of the importance of sustainability, as shown below:
Figure 5: Moema Tinoco Project with approximate view.
Partly as a result there was also a meeting with Homero Grec, Secretary of
Housing, Projects and Land Regularization Structuring – SEHARP – Natal, when
it made alarming data weightings about the housing deficit in Natal and claimed
that in the north there is no empty urban sufficient capacity for social housing in
the range 1 as the area in question, although there resources of CEF for this
purpose. Thus, the preliminary design studies developed complies with the
requirements of the Blue House Seal of CEF in the silver level, but it is believed
in the possibility of adding other optional criteria.
5 Conclusions
Sustainable housing production is a complex challenge for contemporary societies.
It is not just to consider the preservation of environmental resources and the
environment but, mainly, to ensure decent living conditions for users of these
dwellings.
The axes of sustainable development in the contemporary city are based on the
following pillars: economic, social, political, environmental and cultural, which
must appear from the initial preparation of any project, that is, from the urban
interventions, including the scenic route, to the details of the architectural design
and monitoring the implementation of the building.
Thus, the citizen is the most important actor in the process to ensure the
multiple dimensions of sustainability and the city of Natal, during all meetings
with social and political actors, they have demonstrated the importance of the
project and desire to contribute in some way, although didn’t happen the regulation
of Environmental Protection Zone in North of Natal, where the project is located
to run, hinders progress. It was found that any viable and sustainable urban
development plan requires the convergence of three powers – the social power,
economic and political. Better city, more connected, more public spaces, mixed
use and mixed income neighborhoods with easy access to public transportation,
and less dependent on the car can only be achieved with the convergence of
government forces, market and civil society.
References
[1] IBGE. Instituto Brasileiro De Geografia, E Estatística. (2010). Sinopse dos
Resultados do Censo 2010. Available: http://www.censo2010.ibge.gov.br/
sinopse. April, 22 set. 2015.
[2] Rio Grande Do Norte. Ministério Público. Implicações ambientais e
urbanísticas decorrentes da proposta de regulamentação da Zona de
Proteção Ambiental 9 (ZPA 9), Município de Natal, RN. Laudo Pericial.
Natal: MPRN/UFRN, 2012. Disponível em: http://www.natal.rn.gov.br/
semurb/paginas/File/modernatal/zpa09/ZPA9-LaudoPericialMP.p
[3] Instituto Brasileiro De Administração Municipal Modernatal: Projeto de
modernização e gestão administrativa e fiscal do Município de Natal.
Relatório Fase II. Módulo 3 – Urbanístico. Produto 4. Subprojeto 2:
atualização e consolidação da legislação. PL8: Versão final da Zona de
Proteção Ambiental 9 – ZPA 9. Natal: IBAM, 2010.
[4] Azevedo, P. G. Vulnerabilidades socioambientais na zona de proteção
ambiental-9, Natal/RN/2010.
Climate action plan for the city of

La Paz, Baja California Sur, Mexico:
a tool for sustainability
A. Ivanova, A. Bermudez & A. Martinez
Universidad Autonoma de Baja California Sur, Mexico
Abstract
As a result of its coastal location and severe water scarcity condition, the city of
La Paz, Baja California Sur, Mexico, is extremely vulnerable to the impacts of
climate change. The purpose of this paper is to present the main findings of the
Climate Change Action Plan for the City of La Paz and Neighbouring Areas
(PACCLAP): first, the vulnerability to climate change and the adaptation
measures suggested; and second, the local greenhouse gas emissions inventory and
the recommended mitigation measures. In this study the methodology specified in
UNEP (2008) was applied, Methodology for Assessment: GEO Cities. Manual for
Application, Version 3; UNEP (2009), Training Manual on Vulnerability and
Adaptation to Climate Change for Geo Cities, UN-Habitat (2010), Planning for
Climate Change: A Resource Guide for Urban Planners and UNEP (2011) IEA
Training Manual, Climate Change Vulnerability and Impact Assessment in Cities.
The greenhouse gas emissions inventory (LGHGEI) was carried out following the
revised 1996 Intergovernmental Panel on Climate Change’s guidelines for
greenhouse gas inventories (IPCC, 1997a; IPCC, 1997b; IPCC, 1997c). The main
results show that the water scarcity is the principal vulnerability for the city,
followed by the sea level rise; and that the transport sector must be the priority in
the mitigation strategy. The proposed climate actions (e.g. catch of surface water
in dams, reduce leakage losses in the water system; efficient fuel use; and,
emissions mitigation trough grid connected systems) are directly related to the
Municipality Development Plan, thus making the PACCLAP a valuable
instrument to support current and future decision makers in the formulation of
public policies to foster the sustainability and improve the wellbeing of the local
society.
Keywords: climate action, adaptation, mitigation, sustainability, Mexico.
doi:10.2495/SC150381
1 Introduction
The Climate Action Plan for the city of La Paz originates as a complementary
study to the Emerging and Sustainable Cities Initiative (ESCI) of the Inter-
American Development Bank in which the city of La Paz, Mexico takes part. The
ESCI seeks to help participating cities to identify the main challenges and the
actions of short and medium term that allow guide their development towards
greater sustainability. One of these challenges is the climate change in the first
place, since the city is a main source of greenhouse gas emissions, which inventory
allows to outline the actions to their mitigation, and, in the second place, due to
the vulnerability to climate impacts on the key economic sectors and society of the
city of La Paz (temperature variation, change of the coastline, saline intrusion into
groundwater aquifers, hydro-meteorological hazards, severity and redistribution
of rainfall and drought, streambeds change, desertification, reduced availability of
water for human and productive use, impacts on human, animal and plant health).
2 Context of La Paz city

La Paz city is the capital of BCS and is the seat of the municipality with the same
name. The municipality has a population of 253,077 inhabitants and the 93.6% is
concentrated in the towns along the coast. To the city of La Paz and surrounding
areas the coasts of the Sea of Cortez are of great importance for the development,
given that the activities that support the local people include maritime trade,
fishing, tourism and services. However, agricultural activities are also developed
in the valleys [1, 2].
The city concentrates most of the government agencies, educational institutions
and health centers in the state of Baja California Sur. From 1950 to 2010 the
population of La Paz has steadily increased on average 4.5% annually [3], which
shows a community in motion by migration but also represents a challenge to
achieve planning urban growth that promotes sustainable development.
The rapid population growth has led to a change in the city environment due
primarily to the generation of waste, growth of the vehicle pool and deforestation
[4]. Likewise, poor urban planning has caused several pollution problems and
increased greenhouse gas emissions (GEI).
The boundaries of the study area of this Plan of Action on Climate Change are
shown in the map in Figure 1. Surrounding areas were included because of their
influence on economic and social life of the city, as are particularly relevant in
sectors such as transport and farming and fishing activities.
In the context of this study, the city is considered as an “urban ecosystem” [1,
5, 6]. It is studied from the perspective of natural resources management, and
includes, therefore, surrounding areas that have a relation of mutual dependence
with the city. The characteristics of the city of La Paz are the following: desert
climate, coastal area, semi-arid zone, medium economic potential (most of the
economic growth is on account of services, while the development of industry and
agriculture is facing the strong constraint of water scarcity), high social
development, medium size and medium population growth rate (4.5% annual).
Figure 1: Map of La Paz city and surrounding areas: area of study.
3 Research process and results

The research was conducted in two main modules: adaptation and mitigation, to
cover the most important aspects for the city of La Paz related to the climate
change. The components developed along the process were the following: 1)
Vulnerability and adaptation; 2) Mitigation.
In this study was applied, in a general manner, the methodology specified in
UNEP [5–7] and UN-Habitat [8].
The methodology assumes that sustainable development creates new demands
regarding the impact assessment and structuring of response measures. In this
regard, it is considered of importance: recognize the interaction between
environmental conditions and human activities; take into account gender and
intergenerational equity; promote the participation of the inhabitants of La Paz in
decision-making.
3.1 Vulnerability and adaptation
3.1.1 Current situation and impacts of climate change on the environment

and social welfare in La Paz
The extreme vulnerability of the city of La Paz resulting from its geographic
location and specific conditions, with main real and potential impacts of climate
change, is recognized in the plan. By threatening water resources, causing stronger
cyclones and floods, accelerating desertification, and negatively impacting
biodiversity and marine and terrestrial natural populations, global warming
increases the costs to maintain levels of comfort and security that allow
undertaking productive activities and everyday life. These impacts have negative
consequences on society and economy of the city: productive activities such as
tourism, services, fishery and agriculture have to spend an increasing portion of
its budget to counteract them; while other sectors such as livestock face higher
production costs due to the lack of fodder because of water stress. Meanwhile, the
population is affected by increased electricity costs, greater risks to public health
and in extreme cases; and the local government faces greater pressure on its
functions of attention to the inhabitants and economic sectors.
It should be noted that water stress is the greatest vulnerability for the city of
La Paz. Nowadays the total amount of groundwater concession exceeds the sum
of the water that is recharged annually to the two main aquifers of the study area
(La Paz y Los Planes). The overexploitation of the aquifer of La Paz is recognized
since the 1970s [9, 10], and the demand is increasing two times in the next 23
years due to population growth. The water consumption analysis in relation to
temperature changes indicates that daily consumption rises 5.4 liters per person
per each degree centigrade over the maximum temperature [11].
Besides this threat, climate study shows potential increases in average sea
temperature of about 1°C in the medium term as well as the extension of the
summer (average temperatures of 27°C) to the months of October and November
[4, 12]. These phenomena will foster the intensification of cyclones and, in
addition, its season could be extended, as it occurs during El Niño phenomenon,
and generate more natural disasters [13]. The rise in sea level, according to data
reported in this study between 5.4–17.7 cm minimum and maximum respectively
in 2030, and between 9–29.5 cm in 2050; is added and interacts with the magnitude
of the storm surge, which may influence toward increasing these dimensions. The
effects of this interaction in the long term will be of consideration for the city of
La Paz and its surrounding areas, where the vulnerability index is high and the
return period of hurricanes is small. This is because of the location of the poorest
and most vulnerable populations, critical infrastructure [14] and main economic
activities.
A deforestation rate of 1,939 hectares of sarcocaule scrub, 7.57 hectares of
mangroves and 11 hectares of vegetation in marshes and coastal dunes, was
estimated for the period 2005–2012, increasing the degree of unsustainability [15].
Deforestation in the region of La Paz has been caused primarily by the
development of agricultural activities and residential uses.
In agriculture, the increase in temperature and decrease in rainfall [16] will
result immediately in increased water demand for each crop because of greater
levels of evapotranspiration and soil salinization. Similarly, the increase in water
demand would imply a higher energy cost. Moreover, in times of drought yields
of some crops may decrease [17], for example, 14% in corn and 9% in sorghum.
Also in periods of abnormal rainfall affectations of crops can be expected: 23% in
corn and 15% in sorghum.
Tertiary activities generate the greatest contribution to the State GDP,
representing 69.50% in 2009 [18]. By itself, the trade sector represents the sector
with the greatest contribution to State GDP, with 19.1%. Slightly less than a half
of the employed population is employed in the retail trade sector, construction,
hotels and restaurants. Climate change may affect some of the commercial
establishments located in areas at risk of flooding because of a rise in sea level and
streambeds change due to higher rainfall. Also disruption of roads by heavy floods
can affect the flow of supplies for a harmonious functioning of the trade sector.
In La Paz there are 347 establishments directly or indirectly devoted to tourism
[19]. From 2008 to 2012 there was an average of 20,762 tourist arrivals. From the
total of tourists received in La Paz 79% are national, while the remaining 21% are
foreigners [20]. It is of importance to mention the influx of foreigners for full or
part time residence, as well as the construction of marinas [21]. Tourism is the
economic activity that although it belongs to the tertiary sector is highly vulnerable
to climate impacts. This activity can be affected by the increase in average
temperatures, which would make little attractive to tourists a greater period of the
year (low season). On the other hand, some beaches could be affected by the rise
in average sea levels.
3.1.2 Adaptation responses

To face the growing water scarcity there are a lot of technical methods to increase
the supply, three of which have greater importance for the area of study:
desalinization, reuse of treated wastewater and surface water catch in dams and
reservoirs. These three alternative sources currently increase the supply of natural
water in only about 20%. In this connection, the following may be anticipated: (a)
the reuse of treated wastewater is not a viable option for a substantial increase in
water due to its relatively low volume and, in addition, most of this resource is
already given in concession for irrigation; (b) due to their high costs, desalination
of brackish or salt water cannot replace the deficit expected in the near future; (c)
the catch of surface water in dams, reservoirs or infiltration ponds represents the
most viable option for La Paz, because of cost and efficiency; (d) for the city of
La Paz there is also great potential for saving water by reducing leakage losses in
the water system and through a more efficient consumption.
It is important to limit by legal means the human use of soil, water and
vegetation, and animal resources present in areas of high diversity and high
susceptibility to climate change.
It is also essential to promote actions and campaigns to minimize loss of
vegetation cover in the region, working together the various levels of government,
civil society organizations, media and schools. The disappearance of woody
vegetation and scrub not only modifies the composition of the resident animals
communities, but local biogeochemical cycles, altering soil water retention and
the recycling of nutrients essential for the functioning of ecosystems.
It will be necessary to promote adaptability of agricultural crops, seeking
transformation towards those that are more resistant to sudden temperature
changes, have a short life period, demand less water volume and are more
profitable.
In the fisheries sector is relevant to open formal programs supported by
scientific and technological information, which can diversify or change the capture
of target species through the replacement of some existing procedures of artisanal
commercial fishing, as well as investing municipal and private enterprise
resources to carry out monitoring of the levels of catch and effort conducted in
capturing sports-worthy fish species.
It is important to plan for future tourism development projects taking into
account the average elevation of sea level and the potential flood areas because of
high rainfall in hurricane season, as well as to plan the construction of new health
and education institutions in areas not threatened by sea-level rise. The Urban
Development Plan (UDP) must take into account, related to the growth of the city,
the possible involvement of deforestation and affectation of groundwater recharge
areas.
3.2 Mitigation
As a first step to formulate recommendations aimed at reducing the greenhouse

gas emissions (GHGE) of the study area, an inventory was carried out for years
2005 through to 2010. On this basis, the emissions in a business-as-usual (BUA)
scenario for GHGE were calculated covering a period up to year 2030. This
scenario provided a reference baseline to compare the effects of the GHGE
mitigation recommendations. The results obtained in this process are presented
next.
3.2.1 Inventory and baseline

The local greenhouse gas emissions inventory was carried out following the
revised 1996 Intergovernmental Panel on Climate Change’s guidelines for
greenhouse gas inventories [22–24]. These guidelines cover six categories:
Energy, industrial processes, solvent and other product use, agriculture, land-use
change and forestry, and waste.
In the estimation of the city’s emissions, the best resolution data available were
used (state, municipal, local). For cases where available data did not correspond
to the city itself, proxy indicators were calculated to enable an estimation of the
actual city data.
The results of the inventory show that the emissions are dominated by the
Energy category with more than 90% of the combined total.
The 2030 baseline under the BAU scenario was generated considering the
official population growth projections from CONAPO (Mexico’s National
Population Council) for the whole state. This assumed a scenario where emissions
increase proportionally to population growth only. Likewise, it was assumed that
the city’s population growth is proportional to the state’s population. With this in
mind, the emissions baseline was estimated using a per capita emissions factor
resulting from averaging the per capita emissions for years 2005–2010. The
baseline obtained is presented in Figure 2.
3.2.2 Mitigation recommendations

The largest share of emissions for La Paz and surrounding areas corresponds first,
to transport, and second, to electricity generation. It was then these categories that
mitigation recommendations were primarily focused on.
Figure 2: Greenhouse gas emissions baseline to 2030.
3.2.2.1 Transport As of 2010, transport infrastructure in the municipality of La

Paz comprised 1,704 km of highways and roads, 1,019 km of which are actually
paved or have some kind of seal. There are also three mayor ports and one of the
three international airports in the state.
Regarding the vehicle fleet, BCS is the state with the largest number of motor
vehicles per person in Mexico. This number has grown rapidly in the last decade
and for 2008 this number equalled 78 vehicles per 100 inhabitants, considerably
higher than the national mean of 26.5 vehicles for 100 inhabitant [25]. It is not
surprising then that between 2005 and 2010 approximately 75% of transport fuels
consumed in the state correspond to gasoline and diesel fuel. This impacts on the
state’s and local transport emissions, which are dominated by these two fuels.
Japan has shown a clear improvement [26, p. 124]. A fleet renovation program
to achieve fuel efficiency improvements similar to those found in the countries
mentioned above (1.2% annual improvement) could have an important effect on
terrestrial transport GHGE (gasoline and diesel fuel accounted for 79% of
transport GHGE during 2010). This program should not only consider old-for-new
replacements but also provide incentives to replace internal combustion engine
vehicles with different technologies such as plug-in hybrids and electric ones,
especially in light of the large local potential for renewable electricity generation.
If the program started in 2015, a 20% emissions reduction from terrestrial transport
could be achieved by 2030.
However, in this proposal it is of utter importance not to overlook the great ease
that prevails in the region to purchase and import into Mexico second hand
vehicles coming from the United States without undergoing a proper road
worthiness inspection that guarantees good environmental and mechanical
performance of the vehicles entering the country. Consequently, if implemented,

this program should be very carefully devised so as to avoid substitution of current
vehicles with others in similar conditions. It seems therefore necessary to find a
suitable procedure that ties up the vehicle fleet renovation with fuel efficiency
goals and controls as well as with operation condition of the replacement vehicles.
This may require reforms to the actual Transport Law to enforce a strict
mechanical, road worthiness and vehicle emissions inspection for people to
maintain their vehicle registration and be allowed to circulate on the roads,
especially for imported, second hand vehicles.
Local culture also plays a very important role in the use of motor vehicles,
particularly regarding private vehicles and the (low) use of public transport. In this
area, environmental education and direct work with people can have large
contributions to change current local transport paradigms and, in turn, translate
into GHGE reductions.
In addition, the development of new residential areas located along the city’s
access roads (radial growth) increases transport distances and encourages the use
of private motor vehicles. This also results in higher emissions. An alternative
urban growth model could also aid in the reduction of transport GHGE.
Finally, one more option to reduce local transport emissions (with the
associated benefits for public health and life quality in general) is the use of
alternative ways of transport like cycling or walking.
3.2.2.2 Electricity Electricity generation in LAPSA had the second largest

emissions volume after transport with an average of 0.89 kg CO2 equivalent per
kWh of electricity consumed (average for 2005–2010). This factor is significantly
above the national average for 2010 (0.58 kg CO2 equivalent per kWh [27, p. 271].
The high emission factors found locally are explained by the fuels used in
electricity generation, heavy fuel oil no. 6 (bunker fuel) and diesel oil, which result
in greater emissions than other fuels (e.g. natural gas, low-sulphur diesel fuel) or
non-combustion generation technologies used elsewhere in the country (hydro,
geothermal, nuclear).
Amongst the options to mitigate the electricity generation GHGE in La Paz
three categories can be identified: improve the efficiency of the technology
currently in use to achieve a lower carbon intensity of the electricity generated;
introduce other fossil-fuel-based generation technologies with cleaner fuels than
those currently in use; and introduce generation technologies based on renewable
energy that do not result in GHGE during operation.
Regarding the first category, the combined average efficiency of all power
stations in BCS (mostly internal combustion engines and steam turbines) for 2010
was estimated at 38%. Given the technologies used, significant efficiency
improvements are not viable.
Regarding the second category, combined cycle gas turbines could
significantly improve generation efficiency. These plants have efficiencies in the
range of 55%, which would undoubtedly contribute to reduce the electricity
generation emissions due to both, using a cleaner fuel and a more efficient process.
However, natural gas is not currently available in the state nor is there any
infrastructure in place to handle it. Present plans and program [28] consider
starting generation with natural gas in the mid-term future. Likewise, an electrical
connection with the rest of the country (the state grid is at present isolated from
the national grid) is also under consideration. However, both these options are very
capital intensive and their results regarding GHGE reductions would be available
in the mid and long-term future.
From the GHGE mitigation standpoint in the short term, an option with higher
potential to achieve significant reductions is through the generation based on
clean, local and renewable energy sources. For La Paz, solar energy has the largest
potential.
4 Final remarks
Due to its geographical location and coastal and arid conditions, the city of La Paz,
Baja California Sur is extremely vulnerable to the adverse effects of global climate
change on the use of natural resources, as well as on their productive activity and
social and economic dynamics. Among the main potential impacts of climate
change in the state are included the warming that threatens water resources and
generates damage associated with coastal flooding; the presence of stronger
cyclones; change in the course of streams; the loss of vegetation and soils leading
to accelerated desertification; adverse impacts on biodiversity; negative impact in
major economic sectors (fishery, tourism and agriculture); and increasing human
vulnerability (disadvantaged social groups, employment, housing and health).
Nevertheless, the city of La Paz has great potential to enhance its sustainability,
reduce its vulnerability and improve the welfare of the population. Evidence of
this are the advances in conservation actions, high public awareness and the
existence of specialized human capital.
It is very important to note that both, mitigation and adaptation actions, have
significant side effects directly related to the sustainable development of the city:
to establish effective policies for the management of scarce water resources; to
improve public transport (routes and vehicle fleet); to protect vulnerable groups
(because of their geographical location as well as because of their economic
activities); to ensure a continued development in changing conditions of the main
economic activities (fisheries and tourism), as well as to reduce dependence on
these highly vulnerable to climate variability activities; to optimize the human,
animal and plant health, among others.
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[17] SAGARPA. Secretaría de Agricultura, Ganadería, Desarrollo Rural, Pesca
y Alimentación. Datos Básicos de Baja California Sur, Subdelegación de
Pesca, 2012.
[18] INEGI. Instituto Nacional de Estadística y Geografía. “Anuario Estadístico,
Baja California Sur, México”. 2010, http://cuentame.inegi.org.mx/
monografias/informacion/bcs/economia/infraestructura.aspx?tema=me&e
=03.
[19] SECTUR. Secretaría de Turismo. Directorio elaborado por el sistema de
Información Turística Estatal (SITE), 2013.
[20] Kiy, R. & McEnany, A. Tendencias sobre la jubilación de estadounidenses
en las comunidades costeras de México, datos demográficos y prioridades
en los estilos de vida. International Community Foundation, 2010.
[21] IPCC. Intergovernmental Panel on Climate Change “Revised 1996
guidelines for national greenhouse gas inventories – Reference manual
(volume 1)”, 1997a. www.ipcc-nggip.iges.or.jp/public/gl/invs4.html
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guidelines for national greenhouse gas inventories – Reporting instructions
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[23] IPCC. Intergovernmental Panel on Climate Change. “Revised 1996
guidelines for national greenhouse gas inventories – Workbook (volume
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[24] World Bank. Motor vehicles (per 1,000 people). 2013. Available at:
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Unidas sobre el Cambio Climático, México, 2012.
A rural intervention in the urban context:

an urban-poor neighbourhood agricultural
project in Küçük Armutlu, Istanbul
S. Doyduk1, B. Orbey2 & N. Gurel2
1
Deparment of Architecture, Sakarya University, Turkey
2
Deparment of Architecture, Dogus University, Turkey
Abstract
Activities and locations inhabited create distinctions between rural and urban
living. Today some cases start to deconstruct these distinctions. The case study
of Küçük Armutlu, which this paper will delve into, is located in the heart of
Istanbul with strong ties to urban daily life. This paper will investigate how a
recent agricultural regeneration project, Community Garden, within the urban
context acts as a tool to maintain a sustainable community with a rural character.
An unofficial civic organization called “People’s Engineers and Architects”
had initiated a dynamic sustainable project called Community Garden Project.
This project aims to fulfill the low-income resident’s vital vegetation needs.
However, this is not the sole intention of the garden. It stands out as a place of
struggle and solidarity for a sustainable community where the neighbourhood is
under the threat of urban transformation attempts by the government.
The issue is investigated through observations and in depth interviews with
the habitants of Küçük Armutlu, people taking part in the garden project and
members of People’s Engineers and Architects group as well as People’s
Committee.
Keywords: sustainable community, community garden, urban-rural boundaries,
solidarity stance, Küçük Armutlu, Istanbul.
1 Introduction
The world became increasingly urbanized. Therefore, the boundaries between
rural and urban are deconstructed. Urban agriculture practices blur this urban-
rural distinction by relocating traditional ‘rural’ practices into urban life. Küçük
doi:10.2495/SC150391
Armutlu (K. Armutlu) is a unique neighbourhood as it spends an effort and

achieves to preserve rural traditions in an urban setting through its relation to
green, social organization and social interaction. K. Armutlu differs from other
neighbourhoods by means of organization through a revolutionist group standing
up for their rights to dwell, against the attempts of the government to gain
economic value over the urban lots of K. Armutlu through urban transformation.
The control mechanism established through the appearance of the neighbourhood
is what makes sure the neighbourhood keeps its rural character in an urban
setting. Preservation of private gardens as well as establishment of a Community
Garden is a tactical move against the government. The interactive nature of the
Community Garden is a representative of the neighbourhood culture achieved.
The aim of this garden is not sustainable ecology but a stronger solidarity stance
in the neighbourhood for a sustainable community.
2 Blurred boundaries between urban and rural character

25 years ago, half the world’s workforce was farmers. However, in recent years
the world’s urban population has just passed 50%, implying this is a permanent
trend [1]. The world is increasingly urbanized, almost half of the world’s
populations living in the cities. Turkey has also witnessed rapid industrialization
and urbanization in the second half of the 20th century; through modernization
of agriculture as rural to urban population movements emerged. In 1950–1980s,
the power of labour has urbanized [2].
The daily life commons defined as urban and rural living appears from the
locations and daily activities. Rural and urban areas are usually defined by a
certain size and population; agriculture is considered to be the main practice of
rural populations. Urban populations are assumed to engage mainly in industry
and service [3]. Through urbanization, the boundaries between rural and urban
are deconstructed. Urban agriculture practices blur this urban-rural distinction by
relocating traditional “rural” practices into urban life. This paper’s focus is the
case of K. Armutlu neighbourhood where these urban – rural boundaries are
blurred with its location, local history and the local projects of an organization.
3 An extraordinary slum neighbourhood in between

urban-rural life in İstanbul: Küçük Armutlu
Küçük Armutlu is a unique neighbourhood as it spends an effort and achieves to
preserve rural traditions in an urban setting through its relation to green, social
organization and social interaction. It has achieved to maintain an Anatolian
characteristic in the urban setting of Istanbul in spite of the more than 35 years
inhabited here. K. Armutlu is a neighbourhood where it ties to urban life strongly
with its location, surrounded by TEM highway, and central business districts
Levent and Maslak, located in the border of Sarıyer Municipality.
Figure 1: Location.
K. Armutlu neighbourhood settled in the early 1980s just like many others in
the city of Istanbul as simple one floored slum houses. This neighbourhood had a
different development history from the other settlements as the rest of the slum
houses had turned into apartment blocks while this place kept its original and
rural character. The neighbourhood has been established through the help of a
revolutionist organization who have shared the parcels of the neighbourhood
among a group of urban poor family. The neighbourhood has struggled –
including a deadly battle- against demolition managed by the government since
the day it was established. Up to 1989, the story of K. Armutlu was not different
from similar settlements in Istanbul until the big demolitions in the
neighbourhood and the entry of a revolutionist organization affected the way the
neighbourhood was politically and structurally developed. This organization
played a leading role in the collective organization of construction sites in K.
Armutlu where there was a vast area of public land [4]. The most determining
effect on this preserving history is its relations with the revolutionist
organization.
K. Armutlu differs from other neighbourhoods by means of organization.
“People’s Committee” (Halk Meclisi) initiated by the residents and rules the
neighbourhood, is one of the reasons why this neighbourhood has survived
attempts of demolition for so long. The neighbourhood is directed through the
decisions taken by “People’s Committee” It makes sure that the physical
appearance of the settlement does not change or change through minor
alterations. For instance, no additional stories to one or two story buildings are
allowed and this rule is controlled regularly. The control mechanism established
through the appearance of the neighbourhood is what makes sure it keeps its
rural character in an urban setting. The prevention established in the vertical
direction also applies in the horizontal. The houses with a small garden are not
allowed to enlarge so that it shrinks the garden space unless a necessary vital
reason exists. These are very small gardens (5–10 m2 approx.) that grow
vegetables or fruit trees.
Figure 2: Neighbourhood.
Small residential gardens are important for their role in establishing a rural
character for the neighbourhood. This is a point that should not be undermined
since it’s not a feature that appears frequently in slum neighbourhoods in
Istanbul. Establishing a rural character through gardens is important for ecologic
sustainability and for allowing the residents to be in touch with the green through
the day out. The focus of this paper however, is not these small gardens but the
Community Garden Project, which plays a role in giving the neighbourhood its
rural character. The Community Garden has a significant role in the
neighbourhood through the way it is established, managed, and how it distributes
the harvest. Contrary to small residential gardens, the Community Garden is
prepared for planting and planted through a common effort. The Community
Garden is not operated as a hobby garden and this is how it distinguishes among
other types of urban gardens in Istanbul such as copse (koruluk), public garden
(mahalle bahçesi) and vegetable garden (bostan) from the Byzantium times.
There are also other gardens in Istanbul that is initiated and run by various civil
groups in order to establish a social interaction in the neighbourhood. The
Community Garden differs from those ones just mentioned through how it is run
by the residents of the neighbourhood rather than civil groups and how it gives
back to the neighbourhood just as the Community Market or Community Bakery
does. Contrary to the situation that of in the Community Garden in K. Armutlu,
Lyson [5] states that “The urban agriculture movement in particular has reached
a key moment in which activists are avidly promoting the growth of local food
production in cities around the country” where the whole garden project is
structured through a bourgeois sensitivity rather than local initiation and effort.
The fact that the Community Garden is not an urban event but it is a rural
practice; a routine part of the everyday life in K. Armutlu is what makes it
unique.
Stocker and Barnett [6] and Holland [7] identify community gardens as
providing a model for promoting sustainable urban living. However this case in
K. Armutlu does not quite fit in this description since it presents a rural way of
living rather than an urban way of living although it is located in an urban
location. K. Armutlu stands in a cross-section where it’s neither an urban garden
since it’s not executed as leisure nor a rural garden since their economy doesn’t
depend on agricultural practices. Stocker and Barnett [6] continue with a
peaceful statement arguing that “such community-based sustainability projects
provide physical expressions to local governments of where community groups

are ‘coming from’: what the community group want in their lives; what they
understand by ‘sustainability’; what skills they have; and how they wish to
represent their culture(s) in relation to the environment”. Addition to those
peaceful statements, one of the reasons why the neighbourhood has initiated the
Community Garden in K. Armutlu is a stance against the government.
Left-wing politic traditions habit to oppose, organize, work in collaboration,
and stand against power affects emergence of fast and solid reactions [8].
Oppositional saying in Turkey tends to develop a discourse through environment
and green. Gezi Park protests in 2013, is a turning point for the citizens to raise
their voice for their rights to the city as well as their personal rights in everyday
life. Since the movement, it has been a tactical move to reclaim the green as a
means of struggle just as it has been adopted in K. Armutlu. The government
seeks to create value from urban public land and aims to reshape the urban space.
The Community Garden project can be propounded as a tactical response to
governmental agenda.
Holland [7] argues, community gardens may appear in different forms and
may serve different needs, many community gardens have developed as a
response to such issues as social exclusion and poverty, environmental
degradation and a lack of local facilities for play and recreation. Milbourne [9]
focuses on community gardening in disadvantaged urban spaces also provides a
different perspective on the relationship between creativity and regeneration in
the city. Community gardening in places of poverty is producing different, but
equally important, vernacular forms of creativity that are contributing to the
reinvention and, in some cases, the regeneration of these places. He highlights
how community gardening projects are able to transform the social and cultural,
as well as physical, attributes of space and, in so doing, remake place and create
new forms of sociality and conviviality [9]. As Crouch notes the garden has been
an informing metaphor for geographical thought for sometime and as an
affective material object and gardening as a process in the figuring and refiguring
of space. The significance of the garden in world religions is pervasive,
demonstrating its power to define space [10]. The Community Garden in K.
Armutlu can be alleged as a hidden tactical response that establishes a solidarity
stance.
In this section we attempted to present how the Community Garden in K.
Armutlu both comply and differ from the generalizations that have been made so
far about community gardens. The next section intends to give further insight
about the garden so that its role as a tactical act is better understood.
4 Küçük Armutlu Community Garden

Küçük Armutlu Community Garden was established in 2014. In its second year
it has spread to Çayan and Gazi districts in Istanbul and Hüseyingazi District in
Ankara. These districts that the Community Garden has spread to are all urban
poor neighbourhoods that are ruled by left organizations. Here we see that the
garden project in K. Armutlu is taken as a model and started spreading in other

neighbourhoods as well.
The Community Garden in K. Armutlu refuses to use seeds from multi-
national seed industries. According to seed law constituted in 2006 [11], they are
not allowed to use local seeds either. Therefore, they place call over Anatolia to
participate in establishing a seed bank. Most commonly they plant vegetable.
The aim of this garden is not harvest but establishing a stronger solidarity stance
in the neighbourhood. Annual events in the garden take place in the form of a
festival that is, seeding and harvest festival. Harvest festival in particular is
announced across the country and the content of the festival consists of songs,
folk dance and plays in addition to harvesting.
Figure 3: Community Garden.
Community Garden in K. Armutlu is run through an integration of

community science, innovative technologies and horticultural techniques that
consists of traditional sustainability techniques inherited from Anatolian rural
which are not one but several. This integration and variety of techniques
stemming from experience gives rise to social interaction through conflicts,
discussions and dialogues. In the interviews conducted with agricultural
engineers in People’s Engineers and Architects organization, they state that they
have things to learn from the community; and that execution is an amalgam of
engineering knowledge and traditional agricultural heuristics. Every person
working in the garden has a say in how to proceed and what not to do. The
interactive nature of the garden is a representative of the neighbourhood culture
and that the garden is not run in a positive but in a community science approach.
The garden is nourished by the volunteered residents of the neighbourhood
and the unofficial organization, People’s Engineers and Architects (PEA). PEA
still has a leading role in the garden due to its recent establishment. The number
of people working in the garden and visiting the seeding fest has showed an
insignificant increase this year. One of the reasons for not marking a significant
increase in participants is related to this neighbourhood being labelled as an
urban transformation site. The residents refuse to move from their homes and
they stand in solidarity against the government. Therefore, the government aims
to weaken the solidarity in the neighbourhood through applying arbitrary
detention to those people who take place in PEA projects and establish an
uncanny feeling in the neighbourhood yielding people to hesitate to take part in
the PEA projects. However, congruent official pressure does not bring the garden
project to a halt.
5 Interviews
In depth interviews with members of its coordinating group, discussions with
residents, participant observations at the events in the festivals are conducted.
Drawing on observations from this work, this section discusses the roots of the
project, the spaces within which it operates and cultures and creativities bound
up with its activities in urban-rural context. Questions regarding their experience
of the Community Garden and their past rural experience were asked. The
responses are evaluated under creation of community place and opportunity for
social cultural interaction through which the garden becomes a tool of struggle.
Opportunity for social cultural interaction: The Community Garden acts as a
piazza/courtyard/public square where a social network emerges through a
community place experience. This puts forth the issue of establishment of socio-
cultural sustainability rather than an ecologic sustainability. This effect can be
understood through how the neighbourhood had been established with a
solidarity stance and supported with the ties to an organization. It represents the
sustainability of socio-cultural interaction through a variety of projects and the
Community Garden is one of these. Lyson [5] classifies a similar case as “urban
agriculture” but observes similar effects:
“…they conflated the creation of community through urban food
growing with inclusivity. Fostering trust, increasing awareness,
and connecting people with each other and the land were all
espoused as benefits of the creation of community through urban
agriculture…. Many respondents expressed the idea of building
and sustaining a sense of community through urban agriculture as
a central motive for participation.”
One of the residents who lives in one of the houses that the harvest is
distributed among but does not actively work in the garden (age around 58,
female) states that she is too old to work in the garden but she serves tea to those
working there and warns them if she sees that they are doing something wrong.
She says that they used to farm in her hometown but she could not do it in the
city. She says that her garden is too small to plant but she still feels like in her
hometown whenever she passes by the Community Garden and sees those
eggplants grow.
One of the residents who is also a member of People’s Committee (age 65,
male) tells the story on how the garden was established: there was a house on
this parcel and its residents started selling drugs. They were warned many times,
they were caught red-handed selling drugs to young people and denounced in the
neighbourhood. But they did not listen. In the end, People’s Committee decided
to expel them from the neighbourhood and demolish the house. After the
demolition, the remains of the house were left there intentionally as a lesson.
Then we turned it into a garden that would serve the whole neighbourhood. The
same story repeats for another house. Its remains have not been removed yet but
it will too turn into a community garden after a while. People’s Committee,
consisting of a group of members who live in this neighbourhood, looks out for
the rules set by the habitants in this neighbourhood; they warn any one not
complying with the rules then, they denounce them if they persist they demolish
the house. In literature, “community gardening projects largely occupy the
mundane or everyday spaces that have been neglected or abandoned by the local
state or private landlords – what Whitehead, drawing on the work of Lefebvre,
has referred to as “remaindered” spaces. However the abandonment of these
spaces does not mean that they represent empty spaces as they are often
awarded a significant meaning by local residents – as sites of neglect, waste,
crime and anti-social behaviour and as powerful symbols of urban
disadvantage”. Similar to the case in K. Armutlu, “community gardening
projects have sought to alter the meanings of these spaces, with the physical
transformation of land also producing new spaces of identity, sociality and
empowerment. In addition, Schmeizkopf states that “it is claimed that community
gardening activities are producing new hybrid or “third spaces” that intersect
public and private worlds and which are “part of the public domain and are the
sites of many functions conventionally equated with the private sphere” [12].
A 25 year old female agriculture engineer, a member of PEA states that what
they wanted to do is to show the residents that they have power to change things.
What is possible? At first, they did not believe that they could grow their own
food. First, we started planting then they got involved. After the first harvest in
this garden, they started to grow food in their own gardens that they did not use
before. Similar to Lyson [5], PEA member states that they showed the residents
of the neighbourhood that they are not without alternative. “The urban
agriculture… premised on promoting local, environmentally sustainable, healthy,
and socially inclusive alternatives to the industrialized food system.”
6 Conclusion
Gezi Park protests in 2013, is a turning point for the citizens to raise their voice
for their rights to the city as well as their personal rights in everyday life. Since
the movement, it has been a tactical move to reclaim the green as a means of
struggle just as it has been adopted in Küçük Armutlu. The government seeks to
create value from urban public land and aims to reshape the urban space there.
The Community Garden project is a tactical response to this governmental
agenda. It seeks to establish a stronger solidarity stance in the neighbourhood
through creating social interaction and a community place while maintaining the
Community Garden.
References
[1] Atkinson, A., Readjusting to Reality. An Urban and Peri-Urban
Agriculture to Ease the Downward Passage, City, Vol.17, no. 1, pp. 85-96,
2013.
[2] Şengül, T., Kentsel Çelişki ve Siyaset, İmge Kitabevi, Ankara, 2009.
[3] Tacoli, S., Rural-Urban Interactions: A Guide to the Literature,

Environment and Urbanization, Vol. 10, No. 1, April, 1998.
[4] Gönül, E., Cörüt, I., From Almus to Küçükarmutlu: An Ethnographic
Study of the Rural and Sub-Urban Space in Relation to State and Market
Intrusions, Journal of Historical Studies, (5), pp. 33-67, 2007.
[5] Lyson, H.C.; Social Structural Location and Vocabularies of Participation:
Fostering a Collective Identity in Urban Agriculture Activism. Rural
Sociology, 79 (3), pp. 310-335, 2014.
[6] Stocker, L. & Barnett, K., The Significance And Praxis of Community-
Based Sustainability Projects: Community Gardens in Western Australia,
Local Environment: The International Journal of Justice and
Sustainability, 3:2, pp. 179-189, 1998.
[7] Holland, L., Diversity and connections in community gardens: a
contribution to local sustainability, Local Environment: The International
Journal of Justice and Sustainability, 9:3, pp. 285-305, 2004.
[8] Yücel, H., Aksümer, G. Kentsel Dönüşüme Karşi Kent hakki Mücadelesi:
Kazim Karabekir Mahallesi’nde Mekânsal Kimlik Ve Dayanişma
Örüntüleri, Eğitim, Bilim, Toplum, 9(36), pp. 117-139, 2011.
[9] P. Milbourne, “Growing places: Community gardening, ordinary
creatives and place-based regeneration in a northern English city” in
Eds.Tim Edensor, Deborah Leslie, Steve Millington and Norma Rantisi
“Spaces of Vernacular Creativity: Rethinking the cultural economy”
Routledge, London, pp. 141-154, 2010.
[10] Crouch, D.,“Gardens and Gardening” in Ed. Rob Kitchin & Nigel Thrift
“International Encyclopaedia of Human Geography” Vol. 4, pp. 289-293,
Elsevier, Oxford, 2009.
[11] http://www.resmigazete.gov.tr/eskiler/2006/11/20061108-1.htm
[12] P. Milbourne, Everyday (in)justices and ordinary environmentalisms:
community gardening in disadvantaged urban neighbourhoods, Local
Environment Vol. 17, No. 9, October 2012, 943-957. 2012.
Cohabitation between Cartagena

and Cartago Nova (Spain)
F. Segado Vázquez1 & J. M. Maciá Albendín2

1
Department of Architectural Constructions,
Polytechnic University of Cartagena, Spain
2
Polytechnic University of Cartagena, Spain
Abstract
When cities with great archaeological remains in their subsoil tend to grow and
spread, there are a lot of factors which are forgotten to the detriment of the society.
The way to deal with overlapped cities is not one of the abilities of archaeologists,
who try to discover our origins but are not concerned about how these remains can
be linked to the rest of city. Understanding how to combine old and new cities is
a new growing problem that prevents the adequate development of cities. Urban
developers work as hard as possible to find new solutions to combine history and
modernity.
One of the most important figures is Pedro A. San Martín (1921–2013,
Cartagena, Spain), who tried to develop new concepts and ideas about the
valorization of the heritage. As an architect (a member of the Department of Fine
Arts of the Ministry of Culture, Local Commissioner of Archaeological
Excavations and Director of the Municipal Archaeological Museum of Cartagena),
he promoted a multi-layered approach (technical and urban) in the pursuit of one
central objective: the revaluation of the city in its entirety. San Martín tried to be
an archaeologist among architects, explaining to them how they could coordinate
their discoveries in order to achieve a viable relationship between the old and the
new city in Cartagena. His subterranean works about the cohabitation of remains
and new buildings are a great example of how both disciplines should be
combined.
Keywords: archaeology, urbanism, Tarragona, Tarraco, Mérida, Émerita
Augusta, Cartagena, Cartago Nova, Pedro A. San Martín.
doi:10.2495/SC150401
1 Introduction
Much has been written over the last decades about the coexistence of overlapped
historical cities in the same urban fabric. Most of it seems to have focused on the
different social, economic and archaeological points of view, and tends to omit the
most important discipline which must link all of them, i.e. urban development, that
entails recovering the true essence of the composition and origin of the cities.
Archaeologists agree with architects about how this process must be planned
but Local Administrations have a different point of view. Current laws and
procedures tend to give importance to the evaluations, considerations and
assessments.
The way in which archaeology deals with the findings and the conditions to
which the findings are subjected make prediction and planning difficult in this
discipline, since the professionals in this field cannot always address the most
important tasks in the areas they would like, and do not even have the necessary
funding to carry them out with a comprehensive programming where different
potential socio-economic scenarios would not hinder their work.
In 1985, the Law 16/1985, of June 25, on the Historical Spanish Heritage [1]
was enacted in Spain in order to give answers to the new situation regarding the
procedures to preserve the archaeological remains. At the same time,
“Archaeology of modern cities superimposed on old ones; Zaragoza 1983” was
published; it is one of the first official studies about the conflicts that were starting
to take form regarding the way of recovering the origins. The fact that both of them
were published around the same time is not a mere coincidence and reveals a shift
in the way of addressing and highlighting recovery projects. The aforementioned
publication includes one of the first approaches of P. San Martín to the new urban
conflict.
Later, in 2000, in the city of Granada (Spain), the sensitivity of this question
was revealed in the course of the European Seminar on the Management of
Historical City Centers [2], through different presentations. The most important of
them develops the integration of heritage management in urban development [3],
focusing on the issues of the city of Bergen (Norway). It is also an important focus
how, in this conference, management in overlapped cities is shown taking the city
of Mérida (Spain) [4] as the main reference.
All the works in this field started to take relevance and, as a result of it, in 2004,
in the III International Congress about Exhibition of Archaeological Sites, a
presentation was published on the project APPEAR (Accessibility Projects
Sustainable Preservation and Enhancement of urban sub-soil Archaeological
Remains) [5], developed in the period 2003–2005.
The project “APPEAR” presented new proposals of standardization in urban
development action in order to highlight the heritage protected under different
coordinated and related disciplines. It was funded by the European Commission
(Contract EVK4-2002-00091) and included in the programme “The city of
tomorrow and the Cultural Heritage”. It was an innovative proposal aimed at a
specific goal, a global action, although it could be considered insufficient.
This project offered a guide on how to develop good urban practices regarding
the action on archaeological sites or heritage assets, but it is probably based on a
different point of view. Showing a catalogue of different sites or buildings of
historical interest in different cities, it proposed the steps to follow in the process
while forgetting the special characteristics of each city. A proposal aimed at
highlighting only specific elements instead of interlinking the overlapped cities.
All efforts have to be directed to generate a new model of city in which all the
elements of the heritage are interrelated and interlinked.
We need to understand what is failing in order to know how to correct it. The
present paper tries to analyze old methods and its consequences, in order to define
a modus operandi in dealing with archaeological remains.
Therefore, the key findings of this research must be:
 Define cities whose characteristics are similar to those of the Roman Age.
 Define patterns of urban projects and plans in cities of similar characteristics.
 Set out the legal and urban plans of action.
 Research the involvement of architects in archaeological excavations in the
studied cities.
 Draw conclusions regarding the results and consequences of the involvement
of architects in the archaeological works in the studied cities, especially in
Cartagena (Spain).
2 Analysis by comparison
To understand the layout of a Roman city by taking into account only the different
buildings seems to be impossible. All of them have to be considered from the
outset as an inseparable part of the whole to which it gives sense.
We have many significant examples of action aimed at highlighting the
archaeological heritage in Spain, although its final purpose moves away from the
objective of linking and integrating two cities into one.
Some examples of these proposals are Zaragoza (the Forum and the Theatre
Museums, the Museums of the Thermal Baths and the Fluvial Port) [6], Seville
(the Castle of San Jorge and the Incarnation) [7], Cadiz (the surroundings of the
Roman Theatre) [8] and Jaen (the Square of the Orphans and the Square of Martos
Door) [9].
All of them are examples of partial, and probably timid, action, where we can
detect a lack of urban development plans. Probably, the development of ideas in
Zaragoza and Seville has been more important, but this possibility justifies a lack
of global laws because it is easy to think that only bigger efforts are carried out in
bigger cities. Governments are giving importance depending on the size of new
cities instead of the importance of the heritage under the city.
If we make a comparative analysis of different Spanish cities we will be able
to understand the current situation that has led to such disparate actions under the
same regulatory framework. This fact reveals the lack of a standardized procedure
to highlight the historical heritage by linking it to the city development.
Let us take Tarragona and Mérida as elements of reflection and comparative
analysis, contemporary, distant and with different configurations at present, but
with meticulous museum work. The relationship between both cities is also
understood in military terms. While both were military cities in Roman times, the
colony of Tarraco was considered to be a billeting city and Emeritus Augustus
became a destination for retired soldiers. Similar history and characteristics are the
main factors to select them as comparative elements with the studied city,
Cartagena.
Understanding the valorization of the heritage of these three cities and the
relationship with urban plans, we will be able to conclude how new methods can
help our society to recover its origin.
2.1 Coexistence in Tarragona
Being one of the Spanish cities with the greatest legacy of the Roman times –
given its importance as a colony in the imperial epoch – we can use the
archaeological and urban development works carried out in this city to understand
the coexistence of both disciplines. Making a short historical introduction, we
should bear in mind a quote of J. Ruiz de Arbulo about this city: “Tarragona, in
Latin Tarraco, provides us with a memorable example of those cities that after
having astonished the universe with their brilliance, their expansion and their
power disappear in an instant and only preserve a famous name and a sterile
recollection of their past glory. This city, one of the most notable of the Roman
Empire, the first one of the Hispanic provinces, headquarters of the praetors,
center of power of the republic of Rome, is reduced today to an enclosure of three
scanty quarters of league of circumference and to a population from 9 to 10.000
souls, very simple buildings and a condition not far from poverty” [10].
Figure 1: Map of the city of Tarragona.
Making a simple analysis on a current map of this city, we can describe a well-
defined historical center surrounded by a clear enlargement structure, approved in
1857 under the project of the Engineer Commander Ángel del Romero [11]. It
consists of two plots, well defined from a town planning perspective, with a clear
pattern where the defining axes of the Roman can be gently distinguished, beyond
the delimiting of the walls.
Historically, the declaration of the whole city as Historical Artistic Set (D
652/1966, BOE 22/III/1966) takes place in 1966, defining three areas: the
historical center, entirely protected; a respected area, with archaeological plans
and control of heights and volumes of the buildings to preserve the urban
silhouette; and a few zones of enlargement just submitted to archaeological
control. The above mentioned gradation emphasizes the differentiation of zones
instead of pursuing global and joint action inside the whole city.
The declaration of 1966 was left in the hands of the Archaeological Provincial
Museum, the accomplishment of the excavations in those cases foreseen by the
Law. In 1967, P. M. Berges, took charge of the direction of the MAP until 1978.
Under Berges’ direction different reforms in the museum and important
excavations were carried out in the Villa dels Munts, the square of the Foro, the
Antiga Audiencia and the Roman Theatre. In these years, the MAP had limited
economic and human resources to carry out the archaeological interventions
imposed by the law. Furthermore, apart from a few exceptional findings, the
Museum lacked effective legal instruments of pressure against the private builders
or the different administrations. In spite of it, they managed to achieve diverse and
very meritorious interventions, but certainly there did not exist any foreseen
relationship between the urban development studies of the archaeological heritage
and the planning and development of the city and of its environment.
Although the aforementioned declaration allowed the city to start new works
in these disciplines, the real recognition was made in 2000, when the Roman ruins
of Tarraco was designated a World Heritage Site by UNESCO.
Some of the most important Roman buildings included in the declaration of the
city by UNESCO are the Roman walls, the capitol, or citadel, the Amphitheatre,
the Roman Circus, the Pretorium – Tower, the Forum, the Necropolis, the Palace
of Augustus, the Arch of Sura, and the Aurelian Way.
In a deep analysis, we can appreciate in detail how an effort was made to reveal
the old city, though a cautious one in some areas.
From this perspective, old remains seem to make no sense and the valorization
disappears as a real option.
The old urban plan can be distinguished near the walls, in the old city where
the new and orthogonal urban plans tend to copy or assimilate old remains. Due
to this, the remains appear in different places without an apparent and logical
connection and have to be interpreted by an archaeologist who cannot do anything
to integrate them in a whole.
Clearly, the urban development approaches of the city are older than the
archaeological ones, which date back to only a few decades ago. However it is
strange to see how archaeology has removed the concept of urban development
instead of trying to integrate it. Attention is paid to small spots in the city rather
than to the whole city; some parts of it acquire more importance than the whole.
Figure 2: Overlapped cities.
Many studies and works have to be done by the Local Administration if they
really want to recover and interrelate the old city. Making itineraries in which the
visitors can be involved in a different age is not enough to give the city the entire
heritage that its subsoil has.
2.2 Coexistence in Mérida
Once we have analyzed the most similar city in Spain during the Roman Empire,
it could be accurate making a study about how another city, even more important
than Cartago Nova, has carried out the valorization of its heritage and has
interlinked – if it has done – the old and new cities through urban plans or urban
development.
As an introduction, the importance of the city can be shown by a quote of
archaeologist, J. M. Blázquez Martínez: “The Lusitania’s capital, Emeritus
Augusta, founded by emperor Augustus in 25 BC, a few years after the beginning
of the Cantabrian Wars as part of his legacy to settle the war veterans, is one of
the Hispanic cities that offers most information to study a topic that has become
fashionable in the research of the Ancient World today: that of the relationship
between town development and religion” [11]. In his “Studies on the
archaeological set of Emeritus Augusta” on the city of Mérida, he emphasizes the
importance he attaches to town development as a shaping element of the city.
UNESCO appoints that, “Mérida is symbolic of the process of Romanization in
a land that had hitherto not been influenced by the urban phenomenon. It contains
the substantial remains of a number of important elements of Roman town design,
considered to be one of the finest surviving examples of its type; the aqueducts and
other elements of Roman water management are also especially well preserved
and complete”.
The first works of archaeology and town development were carried out in
Mérida in the mid-seventies, last century. They set the foundations of what must
be the interaction between both disciplines to obtain, as result of the works, a
whole which interlinks the Roman city with the current one. It was a declaration
of intentions that acquired more relevance from 1984 with the transfer of
competences in this area from the Central Government to the Local
Administrations and the creation at the time of the City’s Historical-Artistic and
Archaeological Trust, supported by the Law 16/1985, of June 25, on the Historical
Spanish Heritage [1]. On the other hand, when this trust was created, there was
talk about the problem entailed by the fact that there were not enough
archaeologists. However, having more town planning architects, experts in
archaeology, that could add more accuracy to the project as a whole, did not seem
a problem.
In 1996, the Consortium of the Monumental Historical-Artistic and
Archaeological City of Mérida was born, with mainly an archaeological nature.
The Department of Culture, the Council of Culture of the Autonomous Region of
Extremadura, the County Council of Badajoz and the Town Hall of Mérida were
part of it. The Consortium set out the goals of preserving, supporting and revaluing
the monumental city as well as the study and assessment of its remains to integrate
them in the city, but did not address the external collaboration of any architects,
either through an architect’s association, an independent firm or even university
departments involved in the planned tasks.
In fact, there were many studies carried out on the original configuration of the
urban development but it was historian Álvaro Corrales Álvarez who indicated
that “In spite of abundant archaeological literature on some aspects relative to
decoration or morphology, to date, there is no global vision that integrates the
study of its architecture, its ornamental programme, its material culture and their
insertion in the urban plot, all of them explanatory factors of great interest at
present, due to the development that domestic architecture in Hispania has
experienced in the last decades” [12].
The Local Administration offers technical personnel to carry out these works,
which are mainly orientated to the review and control of the fulfilment of the initial
aims, eliminating the possibility of a continuous follow-up by a committee of
experts. In this way we can see how the aims set for the city are fading away due
to the absence of interdisciplinary workgroups in which expert town planners
support and guarantee the success of the initial approaches.
Among the most important remaining Roman monuments are Puente Romano;
remains of the Forum, including the Temple of Diana, and of the Roman Provincial
Forum, including the Arch of Trajan; the Circus Maximus (1st century BC), one
of the best preserved Roman circus buildings; Aqueduct of the Milagros, the
Amphitheatre, the Roman theatre, Morerías archaeological site.
The Roman remains of Mérida was designated a World Heritage Site by
UNESCO in 1993 under a natural and cultural vision.
A plan of Mérida where we could locate the different sites under study or
highlighted gives us a vision of seemingly unconnected elements spread around
this urban network, as if somebody had made a hole in order to avoid the image of
a degraded city instead of showing the relationship between each element found.
A large historical center can be seen, delimited by the walls of the city and
crossed by the river Guadiana. In the same way, a concentric growth of the city
around the historical center can be identified but we cannot recognize the
orthogonal pattern, mentioned in some studies on town planning of the Roman
times.
As we see in Tarragona, the old urban plan cannot be distinguished and well-
defined near the walls, in the old city where the new and orthogonal urban plans
tend to copy or assimilate old remains. Due to this, the remains appear in different
places without an apparent and logical connection and have to be interpreted by
archaeologist who cannot do anything to integrate them in a whole.
Figure 3: Overlapped urban plans in Mérida.
Without the particular knowledge of every discipline, it turns out impossible to

determine why each city is in the site in which it is located and which is the
relationship and proportion between them; in the same way, it is impossible to
identify the road network of the Roman city. There are no links between both cities
nor any connecting element. Simply one city dwells over the other, so that the
plots opened in the current mapping seem to be windows on the past. Big windows,
that is, but windows that nonetheless give us the feeling of reading history in long
sentences that prevent us from contemplating the details that would have allowed
a better recreation of those times. Archaeology begins to lose the social nature that
it should have as a means of educating the city’s inhabitants on their history to
become a catalogue of real estate (at best) or mere remains of them.
Thus, we can see that archaeology does not consider town development as the
necessary companion for highlighting the archaeological heritage. Instead it
considers urban planning as the discipline that should link the punctual findings
omitting, from the start, a global vision that might simplify the study and give an
extra value to the different local systems of planning.
3 Cartagena over the foundations of Cartago Nova

In the southeast end of the Iberian Peninsula, in an intermediate section of the Vía
Augusta, delimited by five hills/Arx Asdrubalis, current Hill of Molinete, and the
Mons Saturnii, Aletis, Vulcanii and Esculapii (the latter identified as the Mount of
the Concepcion), one finds the colony of Cartago Nova. Founded on the remains
of previous civilizations, its original morphology is the consequence of the
complex orography that prevents its access and expansion, facilitating its defense
and relevance in the epoch, a product of the mining wealth of the region.
Although other works about the valorization of the heritage were started in
previous centuries, the most important works are led during the middle of the 20th
century, in 1943, by Antonio Beltrán Martínez, assistant of the University of
Murcia (1945–1949). He started highlighting Cartagena’s local heritage by
formally proposing its Town Hall for the establishing of an Archaeological
Museum that would exhibit the numerous remains recovered in different
archaeological excavations in the city. Shortly afterwards, Antonio Beltrán,
Emeterio Cuadrado – Assistant Mayor and Town Councillor of Culture in the
Town Hall of Cartagena – and Mariano Pascual de Riquelme created a municipal
committee with the aim of creating the Museum of Municipal Archaeology.
The Urban Development Department of the city recognized the following: “The
urban development situation in Cartagena was really chaotic. Although the first
General Plan of Cartagena, drafted by the Ministry of Housing, had been
approved in 1961, the development of city paid no attention whatsoever to the
Plan, both in this decade and in the following one. In 1976, the Ministry of
Housing approved a modification of the General Plan, which regulates the heights
and the uses of buildings in the old part of town and in the area of the enlargement,
and classified as urban soil the settlements of the interior and the beaches, for
their development by means of PERI. Furthermore, in 1977, the “General Plan of
Beaches”, which regulates the coastal soil, is approved by means of positive
silence. Thus, Cartagena becomes a town regulated by two general, contradictory
Plans”.
The Law 16/1985, of June 25, on the Historical Spanish Heritage [1], can be
considered as a milestone in local town planning. However, in the case of
Cartagena is particularly relevant, since the approval of this Law coincides with
the drafting of the General Plan of Urban Regulation of Cartagena (1987).
The solution raised for the previous problem established the following: “In the
area of the Historical Set of Cartagena, the General Plan has the consideration of
a Special Plan of Arrangement and Protection (PEOP), since it contains the rules
for the protection of the Archaeological Heritage, as well as the historical-artistic
heritage, by means of the inclusion of aesthetic rules and the Catalogue of
protected buildings. These dispositions are replaced by the Special Plan of
Arrangement and Protection of the Historical Set, PEOP CH, partially approved
by Plenary Agreement of March 3, 2005, and in its entirety by the Agreement of
November 7, 2005, having taking notice of the Merged Text by means of the
Decree of the Vice-president of the Management Department of May 8, 2006”.
Among its most important remains, we can find its Forum, located in the
crossing between the Cardo and the Decumanus, which is established in the central
part of a city and presents a great variety of public and monumental buildings of
the epoch, as the Theatre, the Amphitheatre, and the Thermal Baths.
The old urban plan can be distinguished and well defined in the most important
axis of the city where the new and the orthogonal plan fight to be identified. Due
to this, the remains appear in different places without an apparent and logical
connection and have to be interpreted by archaeologist who cannot do anything to
integrate them in a whole.
Figure 4: Overlapping of urban plots in the city of Cartagena.
Solutions to isolated problems and solutions to global problems are perceived,

so that the proposed legislation tries to solve the issues previously raised but does
not define with clarity the future scenarios of coexistence between archaeology
and town development.
Understanding that it was impossible to destroy the new city, P. San Martín set
out how to create a new city next to the foundations of the old one, making new
itineraries and new ways to walk and know the city.
3.1 The role of Pedro A. San Martín
In 1954, Pedro A. San Martín, an architect, was transferred to the State Finance
Delegation in Cartagena. In the same year of his arrival in the city he was
designated local commissioner of Archaeological Excavations. In this capacity, he
started numerous projects, interventions and explorations, and continued Antonio
Beltrán’s works in the defense of the study and conservation of the archaeological
remains that had appeared across the numerous excavations carried out in the
historical centre.
In 1975, San Martín was considered one of the most important experts in the
archaeological possibilities of Cartagena and being aware of the issues regarding
the coexistence of superimposed cities and knowing the economic implications for
the real-estate sector, he considered that making large expropriations could lead to
the deterioration of the city and deter potential investors due to the difficulties of
initiating real-estate development projects.
Being a true expert of the findings in the city and convinced of the potential
that this particular one could have, he decided to apply new building techniques to
his projects that would allow preserving all the archaeological findings while
reducing the economic impact on building companies.
He then considered preserving the findings in the basements and ground floors
of the buildings, so that in a continuous way, it is possible to visit the remains of
the Roman city under the current urban development. Two articulated, readable
cities arranged in different strata. A new way of understanding and crossing a city
where its inhabitants or visitors can plunge into the ways of living experienced
2000 years ago.
In the General Plan of Urban Regulation of Cartagena (1987), Pedro San
Martín, as an architect and in a personal capacity, aimed at preserving the historical
heritage by means of proposing a more exhaustive catalogue than the one included
in the new Law for the new General Plan that, in his opinion, was contrary to the
environmental interest. He requested the inclusion of up to four protection degrees
in the General Plan Protection Catalogue, out of which three were finally
approved. The consequence of this delay resulted in the impossibility of
incorporating the PERI (Special Plans of Interior Reform) into the structure of the
finally approved document.
4 Conclusion
In spite of the fact that the Law 16/1985, of June 25, on the Historical Spanish
Heritage [1] constitutes the cornerstone in local town development, allowing
deeper awareness regarding exhibition and highlighting works, urban plans have
started to interlink old and new cities and only try to preserve the remains.
In the cities studied by comparison we cannot establish an original pattern from
Roman cities and only through recent works an old pattern can be established in
old cities.
By means of the proposed system of exhibition of the Heritage – which delimits
clearly the surface of the different archaeological sites – physical barriers are
created that only allow to cross and understand parts of the Roman city and not its
unitary structure.
In Cartagena, the above mentioned actions were carried out during the first
years under the direction of architect Pedro A. San Martin, in order to bring
together urban development, and archaeological and business projects.
When he had stopped his professional activity due to his age, his work was
continued by archaeologists whose aim was the preservation of the historical
wealth of the city but who forgot the need to interlink the archaeological findings
with the structure of the city.
In consequence, all the efforts made by Pedro San Martín during the second
half of the 20th century have not had continuity in the context of urban
development. This, in turn, has triggered a series of actions aimed at enriching the
historical-artistic heritage of the city while avoiding references to the original
fabric and losing a unique pioneering opportunity in the works for the recovery of
historical plots.
References
[1] Law 16/1985, of June 25 of the Historical Spanish Heritage. Published in
BOE of June 29, 1985.
[2] European Seminar of Management of Historical City Centres. Granada,
2000.
[3] Myrvoll, S. The city inside the city: the integration of the patrimonial
management in the modern urban development. European seminar of
Management of Historical City Centres. Granada, (2000).
[4] Mateos Cruz, P.: The patrimonial management in a city superposed to an
archaeological deposit: the model of Mérida. European Seminar of
Management of Historical City Centres. Granada, (2000).
[5] Asensio. M., Colomer. L., Ruiz J., & Sanz N. APPEAR Project: The city
and the valoritzacion of the European archaeological heritage. III
International Congress about Exhibition of Archaeological Sites, pp. 225-
228. Zaragoza, (2004).
[6] Aguarod. C., Erice. R. & Mostalac A., Caesaraugusta, four themes for a
single urban context. III International Congress about Exhibition of
Archaeological Sites, pp. 137-143. Zaragoza, (2004).
[7] Amores F., González D. & Jiménez A. The valoritzacion of the
archaeological remains of the incarnation and the emergence of a new
heritage stage in the city of Seville. III International Congress about
Exhibition of Archaeological Sites, pp. 235-238. Zaragoza, (2004).
[8] Esteban J.M., Muñoz A. & Blanco F.J. Brief history and criteria of
intervention in the urban area of the Roman theatre of Cadiz. Roman
theatres of Roman Spain, pp. 141-156. Notebooks of Roman Architecture,
Vol 2. (1993).
[9] Barba V., Alcalá F., Navarro M. & Arias F. Prospects for the creation of
new spaces Museum in the historic public places. III International Congress
about Exhibition of Archaeological Sites, pp. 25-29. Zaragoza, (2004).
[10] Ruiz J., Mar R. 1999: Archaeology and town planning in Tarragona.
Tradition historiográfica and current reality, to recover the urban memory.
The Archaeology in the rehabilitation of the historical cities (Tarragona
1997), URV/Fund. La Caixa, Tarragona.
[11] Blázquez J.M. Religion and Urbanism in Emeritus August. Antigua. History
and Archaeology of the civilizations. Spanish file of Archaeology, núm. 55,
pp. 89-106. Virtual library Miguel de Cervantes. (1982).
[12] Corrales, A. Religion and Urbanism in Emeritus August. Antigua. History
and Archaeology of the civilizations. Spanish file of Archaeology, núm. 55,
pp. 89-106. Virtual library Miguel de Cervantes. (1982).
Uncertainty in resistance models for

historic cast-iron columns
I. Brych, M. Holicky, K. Jung & M. Sykora
Klokner Institute, Czech Technical University in Prague,
Czech Republic
Abstract
Numerous processing and manufacturing mills, workshops, warehouses, bridges
and other industrial buildings belong to industrial heritage. Their origin dates back
to the 19th and 20th century when cast iron became a widely used construction
material. It has been recognised that existing structures including cast-iron
structures do not fulfil requirements of present codes of practice. A key step of
reliability assessment is modelling of resistance of load-bearing members made of
cast iron. The present paper investigates several empirical or physical models for
resistance of historic cast-iron columns. Outcomes of the models are critically
compared with experimental results obtained for solid and hollow cylindrical, and
square columns from English grey cast iron. Imprecision of the models is
expressed by means of model uncertainty for which appropriate probabilistic
models are proposed. As tensile strength of cast iron is considerably lower than
compressive strength, it dominates resistances of columns centrically loaded in
compression with slenderness ratio over 60. In such cases model uncertainty can
be described by a two-parameter lognormal distribution with the mean of 1.25 and
coefficient of variation of 0.15. For columns with lower slenderness ratios
compressive strength is decisive and the mean of model uncertainty decreases to
1.2.
Keywords: industrial heritage, cast-iron columns, reliability assessment,
probabilistic methods.
1 Introduction
Numerous processing and manufacturing mills, workshops, warehouses, bridges
and other industrial buildings belong to modern heritage, termed also as industrial
doi:10.2495/SC150411
heritage. Such structures are mostly of significant architectural, historic,

technological, social, or scientific value [1]. Their origin dates back to the 19th and
20th century when cast iron became a widely used construction material [2].
It has been recognised that existing structures including cast-iron structures do
not fulfil requirements of present codes of practice. Decisions about adequate
construction interventions should be based on the complex assessment of a
structure considering actual material properties, environmental influences and
satisfactory past performance [3]. A key step of this assessment is modelling of
resistance of load-bearing members made of cast iron [4].
That is why the present contribution investigates empirical or physical models
for resistance of historic cast-iron columns. Outcomes of the models are critically
compared with experimental results obtained for solid and hollow cylindrical, and
square columns from English grey cast iron. Imprecision of the models is
expressed by means of model uncertainty for which appropriate probabilistic
models are proposed.
2 Model uncertainty
The concept of the model uncertainty proposed in [5–7] is adopted here. The
uncertainties in resistance models are obtained from comparisons of physical tests
and model results; real structure-specific conditions need then to be taken into
account when they significantly deviate from test conditions. General framework
of the uncertainty assessment for models of cast-iron columns with examples of
influences affecting test and model results is given in Figure 1. Computational
options seem to be irrelevant in this study since simple analytical models are
considered.
Treatment of the test uncertainty was proposed in [6]. It was shown that
unbiased test results with coefficient of variation around 0.05 can be assumed for
tests of common reinforced concrete members. In the absence of statistical data
these indications are accepted for cast-iron columns. The test uncertainty was
proved to be of low significance and negligible when higher coefficient of
variation of model uncertainty (say, greater than 0.1) is observed [6]. As this is the
case in the present study, the test uncertainty is hereafter neglected.
If needed appropriate modifications of the model uncertainty such as increasing
variability and/or adjustments of the mean value should be accepted to reflect real
conditions of a structure (Figure 1). In most cases expert judgements are inevitable
and general quantification of the effect of structure-specific conditions is hardly
possible. Detailed discussion on structure-specific conditions is beyond the scope
of this study.
The model uncertainty θ is here treated as a random variable. The multiplicative
relationship for θ can be assumed [8]:
R(X,Y) = (X,Y) Rmodel(X) (1)
where R = response of a structure – real resistance estimated from test results;
Rmodel = model resistance – estimate of the resistance based on a model; X = vector
Test results Model results

- Uncertainty of test method (accuracy - Model simplifications (assumed
of gauges, errors in readings, friction, stress distributions, boundary
assembly stiffness, definition of conditions)
ultimate resistance etc.) - Description of input data
- Uncertainty in execution of (assumptions concerning variables
individual specimen/test (differences with unknown values – material
in strengths in test and control characteristics, internal dimensions)
specimens) - Computational options (boundary
- Other effects (not covered by tests conditions - simplifications made
such as time-variant effects) by analysts)
Comparison
Test uncertainty Observed uncertainty
MODEL
UNCERTAINTY
Structure-specific conditions
- Quality control of execution
- Boundary conditions (supports, continuous members, integral structures)
- Loading conditions (transfer)
- Size effect
Figure 1: General framework of the model uncertainty assessment and

examples of influencing factors for models considered in this study.
of basic (random) variables Xi included in the model; and Y = vector of variables

neglected in the model, but possibly affecting the resistance. Modulus of elasticity
is the example of a variable Y for some models for resistances of cast-iron
columns.
In this study the model uncertainty is assessed using the following procedure
[5, 7]:
(1) Compilation of a database of model uncertainty observations: – any design
bias is excluded from the calculation of Rmodel, for instance real cast-iron
strengths instead of characteristic values are applied – ranges of test
parameters such as a slenderness ratio are made available to represent the
sample space of experimental observations for which model uncertainty is
investigated.
(2) Statistical assessment of the dataset including tests of unbiased sampling,
outliers and goodness of fit of the probability distribution; in this study
Grubb’s test of outliers is performed to identify test results possibly affected
by errors, incorrect records, etc. considering a significance level of 0.05 [9,

10].
(3) Suitable probabilistic description of the model uncertainty; lognormal
distribution with the origin at zero is commonly an appropriate probabilistic
model [5, 7, 8] and is accepted in this study.
When generalising the model uncertainty beyond the scope of the database,
trends in its mean and dispersion should be carefully considered. Extrapolation
with respect to basic variables for which significant trends are observed may be
dubious.
3 Resistance models for cast-iron columns

The resistance models provided in EN 1993-1-1:2006 for design of steel structures
can hardly be directly applied for cast-iron columns due to:
- Different stress-strain relationship of cast iron and mild steel,
- Missing yield stress of cast iron, and
- Lower tensile strength of cast iron as compared to its compressive strength.
Stress-strain diagram of cast iron is similar to that of aluminium or stainless
steel.
Resistance of centrically loaded, cast-iron columns is primarily affected by
fragility and susceptibility to brittle fracture without development of plastic
deformation at higher slenderness ratios. Stability of columns with geometrical
and material imperfections in connection with compressive and tensile strengths
of cast iron should be adequately reflected in assessment of load-bearing capacity
of cast-iron columns.
The imperfections are mostly caused by unknown technology of casting such
as hand casting or forging. Due to casting in a horizontal position cross sections
have inner eccentricities and different wall thicknesses. Together with lack of
straightness these imperfections govern the stability of slender columns.
Model proposed in [11] determines strength σmodel of cast-iron columns exposed
to buckling as a minimal value of its compressive σc and tensile strength σt:
σmodel = min(σc; σt) (2)
Tensile strength becomes decisive for columns with a high slenderness ratio.
Two models, denoted hereafter as Approach 1 and Approach 2, can be used to
estimate compressive strength. Using Approach 1 [11], σc is obtained as:
Σc = χc × σ0.2 (3)
where σ0.2 = nominal strength based on the stress-strain curve proposed in [12];
and χc = slenderness reduction factor obtained similarly as recommended in
EN 1993-1-1:2006 with considerations for specific properties of cast iron. The
nominal strength of 375 MPa is recommended for cast iron [11]. For low
slenderness ratios, λ < 25, Approach 1 numerically fails as the reduction factor
exceeds unity. In such cases σc = σ0.2 is here taken into account. However, these
cases are of low practical significance.
Approach 2 [13] is valid for any slenderness ratio:
σc = 552 MPa / (1 + λ2 / 1600) (4)

The tensile strength is assessed as follows [11]:
σt = χt × ƒ × σ0.2 (5)
where χt = reduction factor accounting for slenderness ratio; and f = ratio between
tensile and compressive strength. Equation (5) apparently takes basis in Approach
1. The representative value f = 0.2 is accepted in [11] as a conservative value for
English grey iron. In practical cases it is recommended to derive a value of the
parameter f from tensile tests.
Assuming σ0,2 = 375 MPa, f = 0.2 and the reduction factors χc and χt according
to [11], it can be shown that:
- For λ ≤ 37, σc obtained by Approach 1 is negligibly lower (by about 2%) than
that based on Approach 2,
- For 37 < λ < 66.5 Approach 2 leads to σc-values lower than Approach 1; the
maximum difference of 10% is observed for λ ≈ 50; the difference vanishes
with increasing slenderness ratio,
- A limiting value of slenderness ratio above which tensile strength becomes
decisive for σmodel in Equation (2) is λlim = 55.7 for Approach 1 and λmin =
66.5 for Approach 2.
4 Database of experimental results

Uncertainty assessment for the considered models is based on comparison of test
and model outcomes. Database of experimental results includes 72 tests of cast-
iron columns with different slenderness ratios. The outcome of a test σtest
represents compressive stress corresponding to a force causing the failure of a
specimen. All columns have been made of English grey iron with the expected
content of carbon between 3.5–5% and small amount of additives. The content of
carbon is dependent on a manufacturing process. The database is divided into three
samples according to cross sections of the columns (Table 1).
Table 1: Database of experimental results.
Sample size Slenderness ratio Column strength

Cross section
n λ (MPa)
Solid cylindrical 50 26–242 14.8–537
Hollow cylindrical 18 50.8–242 31.9–186
Solid square 4 154–204 24.2–43.6
The database includes solid and hollow cylindrical columns with slenderness
ratios uniformly covering the range from 25 to 240 (Figures 2 and 3). The sample
for solid square columns is small (n = 4); only specimens with high slenderness
ratio are included. The database contains no information about cross-section
characteristics, eccentricities and imperfections.
σtest (MPa) 600

500
400
300
200
100
0
20 40 60 80 100 120 140 160 180 200 220 240 260
λ
Figure 2: Variation of σtest with λ for solid cylindrical columns.
600
σtest (MPa)
500
400
300
200
100
0
40 60 80 100 120 140 160 180
Figure 3: Variation of σtest with λ for hollow cylindrical columns.
5 Statistical evaluation of model uncertainty

Model uncertainty values are obtained using Equation (1), θi = σtest,i/σc(t),i.
Statistical parameters of model uncertainty based on the method of moments [10]
are given in Table 2. Note that tensile strength is dominating strength according to
Equation (2) for all hollow cylindrical and solid square columns as λ ≥ 50.8.
It follows from Table 2 that the model for tensile strength given in Equation (5)
is more conservative (μθ ≈ 1.12–1.43) than Approaches 1 and 2 for compressive
strength (μθ ≈ 1.11–1.18). This indicates that the considered value f = 0.2 be
inappropriate for the investigated database and should be revised. Dispersion of
model uncertainty as expressed by its coefficient of variation ranging mostly
between 0.1 and 0.15 corresponds well to buckling resistance of steel columns [14,
15]. However, the sample sizes for Approaches 1 and 2 and solid cylindrical
columns and for tensile strength and solid square columns are small and obtained
characteristics of model uncertainty should be considered as indicative only.
Table 2: Statistical characteristics of model uncertainty θ.
Sample Mean Coefficient of

Cross section Model λ
size μθ variation Vθ
Approach 1
7 26.5–55.7 1.18 0.13
(σc)
σt * 43 55.7–242.4 1.2 0.14
Solid cylindrical
Approach 2
12 26–66.5 1.11 0.13
(σc)
σt** 38 66.5–242.4 1.24 0.11
Hollow cylindrical σt 18 50.8–242.4 1.12 0.11
Solid square σt 4 153.8–204.1 1.43 0.08
*
Combined with Approach 1. **Combined with Approach 2.
Taking into account the limited amount of data, the following

recommendations are provided on the basis of the results given in Table 2:
- Model uncertainty characteristics µθ ≈ 1.2 and Vθ ≈ 0.15 should be considered
when compressive strength is decisive in Equation (2),
- µθ ≈ 1.25 and Vθ ≈ 0.15 should be considered when tensile strength is
governing resistance of a cast-iron column.
These characteristics can be directly applied when deriving model uncertainty
factor for assessments using the partial factor method as provided in
EN 1990:2002 for basis of structural design [16, 17].
Figure 4 shows variation of model uncertainty values with slenderness ratio for
solid cylindrical columns. Approaches 1 and 2 seem to be conservative
particularly for low slenderness ratios, λ < 30. However, these cases are rare in
practical situations. In most cases λ > 70 applies and the model for tensile strength
is decisive for resistance of columns. Figure 4 indicates that this model may be
also conservative with considerable dispersion of outcomes. The conservative bias
may be reduced by specifying an appropriate value of the ratio f. The dispersion is
attributed to varying effects of eccentricities and imperfections that seem to be
inadequately taken into account by the model for tensile strength. A more
advanced model is proposed in [18]. The considered models may overestimate real
resistances for 55.7 < λ < 66.5 when compressive and tensile strengths become
comparable.
6 Defects of cast-iron columns

Real conditions of cast-iron columns may be different from those included in the
test database. Ultrasonic methods are commonly applied to detect imperfections,
cracks or cavities in cast-iron columns. Particularly the phased-array method is an
efficient tool. Common defects of cast-iron columns include [19]:
- Shrinkage defects,
- Gas porosity comprising nitrogen blowholes or hydrogen pinholes,
- Pouring metal and metallurgical defects,
- Slag and sand inclusions.
Figure 4: Variation of model uncertainty with slenderness ratio for solid

cylindrical columns.
These defects should be then included in the assessment of load-bearing

capacity of a column. Typically, measures mitigating some of these defects have
caused the others insufficiencies. However, detailed discussion of defects and their
consideration in structural analysis is beyond the scope of this contribution.
7 Concluding remarks
Reliability assessments of historic cast-iron columns should be supported by
inspection including collection of appropriate data. Imperfections, cracks or
cavities of columns should be investigated and identified defects should be
adequately considered in reliability analysis. Uncertainties in resistance models
can become a crucial aspect of reliability verifications.
As the tensile strength of cast iron is considerably lower than compressive
strength, it is a variable dominating resistances of centrically loaded columns with
slenderness ratio over 60. In such cases model uncertainty can be described by a
two-parameter lognormal distribution with the mean of 1.25 and coefficient of
variation of 0.15. For columns with lower slenderness ratios compressive strength
is decisive and the mean of model uncertainty decreases to 1.2.
Further research should be focused on uncertainties in resistance of columns
exposed to eccentric forces and investigation of uncertainties related to advanced
numerical models (such as the Finite Element Methods).
Acknowledgement
This study is an outcome of the research project NAKI DF12P01OVV040
“Assessment of safety and working life of industrial heritage buildings”, supported
by the Ministry of Culture of the Czech Republic.
References
[1] TICCIH, The Nizhny Tagil Charter for the Industrial Heritage, The
International Committee for the Conservation of the Industrial Heritage:
Nizhny Tagil, p. 6, 2003.
[2] de Bouw, M., Wouters, I., Vereecken, J. & Lauriks, L., Iron and steel
varieties in building industry between 1860 and 1914 – A complex and
confusing situation resolved. Construction and Building Materials, 23(8),
pp. 2775-2787, 2009.
[3] Holicky, M. & Sykora, M., Reliability assessment of heritage architecture.
Proc. STREMAH 2013, eds. C.A. Brebbia, WIT Press: Ashurst Lodge, pp.
87-98, 2013.
[4] Markova, J., Holicky, M., Jung, K., Podstawka, A. & Bures, V., Reliability
assessment of cast-iron heritage structures. Proc. ESREL 2014, eds. T.
Nowakowski, M. Mlynczak, A. Jodejko-Pietruczuk & S. Werbinska-
Wojciechowska, Taylor and Francis/Balkema: Leiden, pp. 2201-2205,
2015.
[5] Holicky, M., Sykora, M. & Retief, J.V., General Approach to Model
Uncertainties. Proc. 12th Int. Probab. Workshop IPW 2014, Bauhaus-
Universitätsverlag: Weimar, pp. 311-321, 2014.
[6] Sykora, M., Holicky, M., Prieto, M. & Tanner, P., Uncertainties in
resistance models for sound and corrosion-damaged RC structures
according to EN 1992-1-1. Materials and Structures, DOI: 10.1617/s11527-
014-0409-1, 2014.
[7] Holicky, M., Sykora, M. & Retief, J.V., Assessment of Model Uncertainties
for Structural Resistance (invited paper for a special issue on model
uncertainty quantification, under review). Probabilistic Engineering
Mechanics, 2015.
[8] JCSS, JCSS Probabilistic Model Code, Joint Committee on Structural
Safety: 2001.
[9] Ang, A.H.S. & Tang, W.H., Probabilistic Concepts in Engineering
Emphasis on Applications to Civil and Environmental Engineering, John
Wiley & Sons: USA, p. 420, 2007.
[10] Holicky, M., Introduction to Probability and Statistics for Engineers,
Springer: Heidelberg, p. 181, 2013.
[11] Rondal, J. & Rasmussen, K.J.R., On the strength of cast iron columns.
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[12] Ramberg, W. & Osgood, W.R., Description of stress-strain curves by three
parameters (Report No. NACA-TN-902), National Advisory Committee for
Aeronautics: Washington, DC, United States, p. 29, 1943.
[13] Salmon, E., Columns (thesis), Oxford Technical Publications: Oxford,
1921.
[14] Nadolski, V. & Sykora, M., Uncertainty in Resistance Models for Steel
Members. Transactions of the VSB - Technical University of Ostrava, Civil
Engineering Series, 14(2), pp. 26-37, 2014.
[15] Nadolski, V. & Sykora, M., Model Uncertainties in Resistances of Steel

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Francis/Balkema: Leiden, 2015.
[16] Sykora, M., Holicky, M. & Markova, J., Verification of existing reinforced
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defektoskopie (Identification of cast iron type using of ultrasonic
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Author index
Ando R..................................... 361 García Flores C. R. .................. 119
Antonini E.................................. 23 Gaspari J. ................................... 23
Arango D. ................................ 179 Gianfrate V. ............................. 289
Gould E.................................... 349
Baas L. W. ............................... 227 Grindlay A. L........................... 373
Barelkowski R. ............................ 3 Grosvenor M. ........................... 131
Beceren Öztürk R. ..................... 59 Gurel N. ................................... 451
Bednar T. ................................. 107
Berger M. ................................... 11 Hjelm O. .................................. 227
Bermudez A. ............................ 439 Holicky M. ............................... 473
Betáková J........................ 251, 275
Bettine S. C. ............................. 143 Italo dos Santos Galvão P. ....... 427
Boeri A. ................................... 289 Ivanova A. ............................... 439
Boero A. J. ............................... 217
Boulanger S. O. M. .................... 23 Johnson C. ............................... 205
Brandão K. ............................... 427 Jung K...................................... 473
Brych I. .................................... 473
Buš P. ......................................... 11 Korostoff N. ............................. 417
Kumar A. ................................... 11
Çahantimur A. ........................... 59
Camacho D. ............................. 335 Leach M. .................................. 349
Carvalho H. ................................ 93 Leyva-Camacho O. .................. 119
Castro-Lacouture D. ................ 179 Lizárraga C. ............................. 373
Cerro C. ................................... 165 Longo D. .................................. 289
Cifuentes A. V. .......................... 79 Longo R. M. ............................ 143
Cioffi R. ................................... 239 Lufkin S. .................................... 79
Corona-Zambrano E. ............... 119
Maciá Albendín J. M. .............. 461
Cristie V. .................................... 11
Mahmoud A. .............................. 35
Cruz P. ....................................... 93
Martin U. ................................. 335
Cuevas S. C.............................. 263
Martinez A. .............................. 439
Cunha Lima Neto D. ................ 427
Mejía E. ................................... 399
Mejía-Dugand S....................... 227
Demanboro A. C. ..................... 143 Mimura Y. ............................... 361
Doyduk S. ................................ 451 Miralles i Garcia J. L. .............. 193
Duque-Rivera J. ....................... 217 Miralles-Guash C. .................... 373
Dvorský J. ........................ 251, 275 Mnyandu L. ............................. 173
Molero E. ................................. 373
Fandino J. F. ............................ 179 Morales-Matamoros O. .............. 47
Ferone C. ................................. 239 Moreira da Silva M. ................... 93
Forster J. .......................... 301, 313
Forte F...................................... 153 Oikonomou M. .......................... 69
Fritz S. ............................. 301, 313 Orbey B. .................................. 451
Osorio W.................................. 399 Rojas-Caldelas R. .................... 119

Osorno L. ................................. 399 Romero-García L. E. ................. 47
Salas D. A. ............................... 217

Palumbo E................................ 289 Segado Vázquez F. .................. 461
Patiño L. C. A. ......................... 193 Sevgi S. ...................................... 59
Pavlenko T. ...................... 251, 275 Sorrentino F. ............................ 239
Pena-Salmon C. ....................... 119 Spadaro I. ................................. 387
Perillo G. .................................. 239 Sykora M. ................................ 473
Petroche D. M. ......................... 217
Pirlone F. ................................. 387 Tejeida-Padilla R. ...................... 47
Tobón J. I. ................................ 399
Rab N. .............................. 301, 313 Turanalp Uysal M. L. .............. 417
Ramírez A. D. .......................... 217
Ramírez-Gutiérrez A. G. ............ 47 Veloso N. ................................... 93
Ranfla-González A. ................. 119 Waisman J. .............................. 325
Rey E. ........................................ 79 Wehrmeyer W.......................... 349
Ribeiro F. H. S. ........................ 143
Riera M. ..................................... 79 Zeman R. ......................... 251, 275
Rodríguez C. R. ....................... 217 Ziegler M. ................................ 107
...for scientists by scientists
Eco-Towers
Sustainable Cities in the Sky
K. AL-KODMANY, University of Illinois–Chicago, USA
Eco-Towers introduces readers to groundbreaking designs, progressive

projects, and innovative ways of thinking about a new generation of green
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The book elucidates how green skyscrapers better serve tenants, mitigate
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Subsequently, the book explores new designs that are employing cutting-edge
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ISBN: 978-1-78466-017-8 eISBN: 978-1-78466-018-5
Published 2015 / 500pp / £198.00

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The

WIT Press publishes leading books in Science and Technology.

International Scientific Advisory Committee

B Abersek University of Maribor, Slovenia C D Bertram The University of New South

British Library Cataloguing-in-Publication Data

ISSN: 1746-448X (print)

© WIT Press 2015

Printed in Great Britain by Lightning Source, UK.

This Sustainable City meeting follows a series of successful conferences which

Urban areas result in a series of environmental challenges varying from the

The Sustainable City Conference addresses the multidisciplinary components of

Section 1: Urban strategies

FAST Matrix: depicting the time-related aspect of

CAD integrated workflow with urban simulation-design

Multi-layered urban strategies to foster the Smart Cities

Urban sustainability challenges: democracy and spatial

A systemic model of the sustainable urban tourism insertion

Compact city and traditional housing areas for urban sustainability:

The urban block as a potential for sustainable urban design

Sustainability assessment of an urban neighbourhood

Section 2: Planning, development and management

A new approach to simulate buildings and their crucial

Regional-urban evolution of the metropolitan area of Mexicali

Can urban planning deliver sustainable outcomes:

Urban expansion evaluation from orbital images

The management of informal settlements for urban sustainability:

Low-income sustainable dwelling

Humanitarian development in Africa

Incorporation of LEED criteria into architectural design process:

Section 3: Landscape planning and design

Design and management of the metropolitan green belt of

Green networks: a solution to the Urban Heat Island effect

Life cycle assessment of residential buildings:

Urban imaginaries and the sustainable city

Application of hydrogels on highly polluted affluents:

Section 5: Planning for risk and natural hazards

An assessment of measures for the prevention of the origin

Linkages among the challenges in mainstreaming climate

Assessment of selected risks in the process of the creation and

Section 6: Sustainable energy and the city

Transition to sustainable city: an integrated design approach

Buildings’ energy demand modelling for sustainable

Spatial simulation environment for decision support

BRT in metropolitan regions: two examples in Brazil

An approach for the evaluation and implementation of mixed

Transition pathways of e-mobility services

Analysis on acceptance of elderly drivers for intelligent

Environmental impacts of everyday mobility in Andalusia (Spain):

Section 8: Waste management

The definition of an Urban Waste Management Plan:

Mineralogical characterization of urban construction and

Section 9: Case studies

Tarlabaşı, Istanbul: a case study of unsustainable urban

Sustainable intraurban cities: the Moema Tinoco Project in

Climate action plan for the city of La Paz, Baja California

Cohabitation between Cartagena and Cartago Nova (Spain)

Uncertainty in resistance models for historic cast-iron columns

Author index .................................................................................................. 483

FAST Matrix: depicting the time-related

2 Attempting to decrypt complexity: FAST Matrix

The research has been constructed with variety of supporting methods

The initial moment is determined by the formula:

where “A” corresponds to area size, “B” to the type of organization of

3 Risks and prospects