Urban Climate 37 (2021) 100829

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Urban Climate
journal homepage: www.elsevier.com/locate/uclim

Sponge City and social equity: Impact assessment of urban

stormwater management in Baicheng City, China
Sisi Wang a, *, Elisa Palazzo b
a
Key Laboratory of Urban Stormwater System and Water Environment, Ministry of Education, Beijing University of Civil Engineering and
Architecture, No.1 Zhanlanguan Rd, Beijing 100044, China
b
School of Built Environment, UNSW Sydney, NSW 2052, Australia

A R T I C L E I N F O A B S T R A C T

Keywords: Cities around the world vulnerable to floods have developed new approaches to urban stormwater
Social equity management with the aim to increase urban resilience. However, flood risk responses often
Sponge City overlook a broader concept of “resilience” able to address environmental equity issues, including
Multi-criteria approach
the recognition and participation of communities in urban planning processes.
Indicators assessment
Stormwater management
To bridge the gap, this research aims at increasing understanding about the social effects
China produced by stormwater management projects by assessing how Sponge City programs in China
perform from a social equity perspective. Building on a tripartite framework which includes the
equitable access to services and opportunities, the acknowledgement of minorities and vulnerable
groups and the equitable participation in decision-making processes (distributional, recogni­
tional, and procedural equity), this paper develops an assessment methodology and related in­
dicators that are customized to the Sponge City program. This tripartite framework adapted to the
Chinese context also suggests a roadmap for achieving social equity objectives in future urban
development initiatives.
The results show that the Sponge City program in Baicheng has enhanced distributional equity
significantly. However, recognitional equity and procedural equity still need to be improved, and
mechanisms to support public participation enhanced.

1. Introduction

In recent years, increasing urbanization and more frequent torrential rains have caused waterlogging and floods in major cities in
China, with heavy social costs for cities and residents (Yu et al., 2015). The Chinese government has introduced a series of initiatives,
including the Sponge City program, to alleviate water issues and promote the transition to a more environmentally friendly urbani­
zation model.
The Sponge City program consists in a flexible control of rainwater to address waterlogging and flood by emphasizing the principle
of ecological sustainability in cities (Liu et al., 2017). It aims at achieving a city development model that allows the storage, permeation
and purification of rainwater and provides a range of ecosystem services for environmental, social, and economic purposes. Its main
objective is to restore the natural water cycle and its ecological functions by implementing both structural and non-structural measures
in a combination of green and grey infrastructures (The General Office of the State Council, 2015; Qiao et al., 2020). The Sponge City

* Corresponding author.
E-mail addresses: wangsisi@bucea.edu.cn (S. Wang), elisa.palazzo@unsw.edu.au (E. Palazzo).

https://doi.org/10.1016/j.uclim.2021.100829
Received 23 September 2020; Received in revised form 24 February 2021; Accepted 22 March 2021
Available online 13 April 2021
2212-0955/© 2021 Elsevier B.V. All rights reserved.
S. Wang and E. Palazzo Urban Climate 37 (2021) 100829

program is regarded as a nature-based initiative supporting low impact development techniques, such as green roofs, bioretention
facilities, vegetation swales, and constructed wetlands (Qiao et al., 2020). Its objectives are comparable to similar initiatives such as
Low Impact Development (LID) in the United States, Sustainable Urban Drainage System (SUDS) in the United Kingdom, Water
Sensitive Urban Design (WSUD) in Australia and Active, Beautiful, Clean (ABC) water in Singapore (Wong et al., 2020).
To promote the construction of Sponge City, 30 cities in China were selected in a nation-wide pilot project initiative that started in
2015 (Qiao et al., 2020). A series of national policies and regulations were issued to guide the program throughout the country and
institutional reforms were gradually undertaken at different governance levels to coordinate the implementation of Sponge City
initiatives (MHURD, 2014, 2015, 2016, 2019; The General Office of the State Council, 2015). The program was further supported by a
document released in February 2016 by the Central Committee of the Communist Party of China, strengthening the importance of
pursuing liveable urban environments (The Central Committee of the Communist Party of China and the State Council, 2016). Under
these new frameworks, the residents’ well-being became one of the main objectives of the Sponge City program (Baicheng City
Government, 2018b; Qiao et al., 2020), including the right for all to be protected from water-related risks (floods and water pollution)
and to have equal access to blue-green services and water supply. As a combination of green, blue, and grey infrastructures, the Sponge
City program was aimed at providing various ecosystem services, including provisioning, regulating, supporting, and cultural services
(Millennium Ecosystem Assessment, 2005). Besides the improvement of the urban built environment, the program was also intended to
generate multiple social benefits, such as public health, environmental education, increasing public awareness, reducing crime rates,
and creating city identity and attractiveness (Wang, 2017b; Baicheng City Government, 2018b; La Rosa and Pappalardo, 2020).
As in China, many countries have formulated stormwater management plans to deal with waterlogging, floods, and runoff pollution
at the urban level. However, the environmental and ecological benefits provided by these projects did not always represent equal
values to all citizens (Black and Richards, 2020). Vulnerable groups such as low-income residents and cultural minorities are often not
represented in planning decisions concerning urban development processes and infrastructural projects implementation. Even when
they do, it is not often clear whether plans and projects that claim to be resilient and sustainable do also avoid inequalities (Angue­
lovski et al., 2016). For instance, in the United States, a stronger focus on the relationship between flood responses and social equity
was placed after Hurricane Katrina in 2005. This experience has revealed that post-disaster alleviation measures and green infra­
structure construction can generate new types of injustice as these interventions negatively affect vulnerable communities, by dis­
placing them or by prioritizing elites at the expense of low-income groups (Anguelovski et al., 2016, 2019; Palazzo, 2019; Shokry et al.,
2020). The experience in New Orleans provided the momentum for more research on social equity in flood management policies and
practices. Now, we can extend the lessons learned worldwide to the outcomes of Sponge City programs in China, with the aim to
prevent possible future injustice deriving from large-scale top-down infrastructure projects, and to assess their social effects critically
(Wolch et al., 2014; Palazzo and Wan, 2017).
Current assessment of Sponge City outcomes focus on environmental performance and monitoring and it is often carried on with
model evaluation (Liu et al., 2017; Deng et al., 2019). Scholarly research addresses Sponge City projects policy review (Qiao et al.,
2020; Yin et al., 2020), public support and perceptions and their financial costs (Wang et al., 2017a; Wang et al., 2017b). However,
only a small number of studies explore the potential of social benefits deriving by extensive Sponge City interventions that include
public participation and an active role of the local communities (Wang, 2017b; Gong et al., 2018). In general, cross-disciplinary
research of Sponge City programs and social equity is still underrepresented. For instance, the current Assessment standards for
Sponge City implementation GB/T 51345–2018 does not contemplate a comprehensive range of indicators focusing on social equity
(MHURD, 2019).
To bridge the gap, this study aims at increasing understanding about the social effects produced by these innovative stormwater
management projects by assessing how they perform from a social equity perspective. Building on a tripartite framework which in­
cludes distributional, recognitional, and procedural equity (Meerow et al., 2019), this paper develops a methodology based on
assessment indicators customized to Sponge City programs in China. The tripartite framework adapted to the Chinese context also
clarifies and suggests a roadmap for achieving social equity objectives in future implementations.
Baicheng City in Jilin Province, one of the most notable examples of Sponge City implemented in China, is used as case study to
assess its social outcomes.

2. Methodology

2.1. Theoretical framework

This study is aimed at developing and applying a theoretical framework to assess the environmental and social equity benefits of
urban stormwater and flood management plans and programs in China.
The definition of social equity has evolved over time, from a sole focus on equal access to resources and capital to a broader concept
of “resilience”, including also the recognition and participation of communities in the decision-making processes (Schlosberg, 2004).
An expanded and widely accepted definition of environmental justice includes three dimensions:
“Equity in the distribution of environmental risk, recognition of the diversity of the participants and experiences in affected
communities, and participation in the political processes which create and manage environmental policy” (Schlosberg, 2004
p.517).
On the base of this definition, Meerow et al. (2019) developed a tripartite framework to analyse the goals, priorities, and strategies
of urban resilience plans. This model is based on three levels of social equity, namely distributional, recognitional, and procedural

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S. Wang and E. Palazzo Urban Climate 37 (2021) 100829

Fig. 1. Conceptualizing social equity in the context of urban resilience plans (Meerow et al., 2019).

equity, which are used to analyse the social imbalance generated by urban resilience plans (Fig.1). Distributional equity refers to
equitable access to goods and infrastructure, environmental amenities, services, and economic opportunities. Recognitional equity
includes the identification of the diversity of community members, such as per cultural minority, gender, class, and age, and the
acknowledgment that some of these identities have been historically more exposed to injustice and are more vulnerable to shocks and
pressures. It also implies the promotion of diversity and the right to access customized approaches for all these different groups.
Procedural equity refers to the institutional processes, including public participation in the development of plans and programs,
participation in urban governance, and specific outreach initiatives to marginalized groups who are often underrepresented in decision
making (Meerow et al., 2019).
Scholars argue that the lack of recognitional equity is the foundation of distributional injustice. Within environmental management
research, Lecuyer et al. (2018) point out that the distribution of costs and benefits is not the only trigger of environmental conflicts,
which are also caused by a generalised failure to recognize local communities’ identity and knowledge of the natural environment. A
lack of recognition would also cause a decline in people participation in decision-making which is also an essential element of, and a
condition for social justice (Schlosberg, 2004).
Distributional equity has been often used as the main evaluation criteria in quantitative research to assess the sustainability of
urban drainage systems (La Rosa and Pappalardo, 2020) and green infrastructure (Heckert and Rosan, 2016; Zhu et al., 2019).
However, the dimensions of recognitional and procedural equity, which are more difficult to measure, are less represented in water
management research. Their interdependence in achieving social equity in water resilience should be given more consideration
(Lecuyer et al., 2018; Meerow et al., 2019). The tripartite framework has been also applied in the assessment of benefits generated by
blue-green infrastructures in the urban environment (Kronenberg et al., 2020) and the management of protected areas (Zafra-Calvo
et al., 2017; Lecuyer et al., 2018). Meerow et al. (2019) adopts this definition of equity and applies it to analyse goals, priorities, and
strategies of plans aimed at achieving urban resilience.

2.2. Social equity assessment indicators for the Sponge City program in China

Scholars have developed and trialled assessment indicators to carry on research based on the tripartite social equity framework.
Zafra-Calvo et al. (2017) developed a set of ten indicators to measure the progression towards a more equitable management of natural
reserves. Meerow et al. (2019) introduced nine indicators for the assessment of urban resilience plans across the world. Indicators used
to assess the specific dimensions of equity can also be used as a reference. For example, Luh et al. (2013) developed an equity index
system for water and sanitation rights. In Australia, four equity indicators for essential water services were used to assess water
sensitive urban design performance (Wong et al., 2020). Zhu et al. (2019) adapted the Green Infrastructure Equity Index to Guangzhou
City, China, by comparing the demand of green infrastructure with its potential supply. In addition, current national regulations and
standards in China are also important references to the definition of suitable indicators (MHURD, 2014, 2015, 2016, 2019).
Nevertheless, despite several studies in different regions, there are currently no well-verified and widely accepted standards and
indicators to support a systematic evaluation of social equity in stormwater management programs. Therefore, this study has identified
and developed specific indicators for each one of the distributional, recognitional and procedural dimensions of equity based on the
following principles: 1) highly relevant to each dimension; 2) clearly defined and easy to understand; 3) supporting information and
data available. The in-depth literature review was cross referenced with urban practices in China to define a comprehensive assessment

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S. Wang and E. Palazzo Urban Climate 37 (2021) 100829

Table 1
Sponge City and social equity assessment indicators.
Assessment indicators Sub-indicators and descriptors Assessment methods References and data
sources

Dimension 1: Distributional equity

Urban flood risk (water security). Capacity of urban drainage network. Waterlogging
Non-traditional water resource
utilization (water resource).
Water environmental quality
(water environment).
Urban water ecology (water
ecology).
Dimension 2: Recognitional equity
Government’s understanding of
vulnerable groups and
minorities’ needs.
Vulnerable groups and
minorities’ understanding
and perceptions of Sponge
city.
Dimension 3: Procedural equity
Transparency of policymaking
and community
consultation.
Residents’ participation in
Sponge City governance and
planning.
Residents’ participation in
Sponge City implementation
and management.
Model simulation. Monitoring data. MHURD, 2014, 2015,
vulnerability 2016, 2019; Yin et al.,
Rainwater resource utilization rate. Reclaimed Model simulation or calculation of the 2020
water utilization. amount of rainwater utilization.
Monitoring data.
Reduction of pollutant discharge from stormwater Model simulation for reduction of
runoff. Environmental quality of surface water. pollutant discharge. Monitoring data.
Residents’ satisfaction degree with water quality. Public survey for satisfaction.
Water and wetland area ratio. Length of shorelines. Land use change statistics. Analysis of
Groundwater level (if applicable). aerial photographs. Field investigation.
Monitoring data of groundwater level.
Acknowledgment of different needs (low-income, Search and analysis of government Meerow et al., 2019; Luh
minorities, residents of shantytowns and old urban documents. et al., 2013; Anguelovski
areas) in policy formulation and planning. et al., 2016
Different groups’ understanding, perceptions, and Interview. Analysis of questionnaire Meerow et al., 2019;
views on Sponge City initiative. survey results. Zafra-Calvo et al., 2017
Disclosure of policy documents, planning Search and analysis of government Zafra-Calvo et al., 2017
consultation, and environmental information. documents.
Form and extent of public participation in planning Search and analysis of government Zafra-Calvo et al., 2017;
and policy formulation. documents and other literature. Meerow et al., 2019;
Gong et al., 2018
Form and extent of public participation in Search and analysis of government Meerow et al., 2019;
implementation and management. documents and other literature. Gong et al., 2018; Zafra-
Calvo et al., 2017

indicator system tailored to the Sponge City program (Table 1).

Distributional equity focuses on main environmental services and benefits directly provided by Sponge City programs to the local
communities. According to Chinese national guidelines, Sponge City planning objectives, implemented measures, and their effec­
tiveness are evaluated by assessing four criteria: water resource, water environment, water ecology, and water security (MHURD,
2016). Thus, the study has adopted this classification to align the research with the current implementation system and guarantee data
availability. Corresponding assessment indicators were identified, including urban floods reduction, rainwater utilization and
wastewater reclamation, water quality improvement, and urban water ecology. Ten sub-indicators were also identified through the
review of scholarly literature. For instance, urban flood risk is measured by assessing the overall drainage capacity of the urban
pipeline network and the extent of waterlogging vulnerability (MHURD, 2019). These sub-indicators measure the spatial distribution
of ecosystem services and the related direct benefits provided to residents after the implementation of the Sponge City project
(Table 1).
Recognitional equity acknowledges the role of cultural minorities, disadvantaged and vulnerable groups. Meerow et al. model has
been extended and adapted to the social context of China. Vulnerable and low-income groups in China are less likely to receive an
adequate share of resources, opportunities and services (Yan, 2018). In Baicheng, disadvantaged communities mainly live in shan­
tytowns and outdated urban areas. This study has evaluated whether those urban conditions have improved after the implementation
of Sponge City initiatives. On one level, the study has examined how different needs of disadvantaged communities were addressed by
local government policies and regulatory frameworks. On the other, the study has examined how the disadvantaged communities
perceive and understand the ongoing Sponge City initiatives (Lecuyer et al., 2018). Accordingly, two indicators have been developed
to assess recognitional equity (Table 1).
Procedural equity refers to the process of public participation in urban transformation processes. Increasing public awareness,
promotion of bottom-up initiatives, and public transparency are the foundation of public participation in analogous research (Her­
ringshaw et al., 2010; Zafra-Calvo et al., 2017; Gong et al., 2018; Lecuyer et al., 2018). This study examined the forms, extent, and
degree of public participation in Sponge City programs urban governance, planning, and management. The study also reviewed the
transparency of government policy and planning processes, such as the availability of public documents and information on Sponge
City transformations and whether environmental impact assessments are conducted and disclosed. Three indicators were selected
accordingly, to measure the performance of the different processes (Table 1).

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2.3. Study area

Baicheng city is one of the first national projects developed in the frame of the Sponge City program in China. The city is located
northwest of Jilin Province in a cold semi-arid monsoon climatic zone. With a built-up area of 42 km2 the central urban district houses
a population of about 244 thousand in 2014 (Baicheng City Government, 2018b). Two national nature reserves provide important
ecosystem services to the urban areas and pursue objectives of nature conservation including the protection of wetland fauna.
Affected by severe stormwater issues, Baicheng city was selected to take part in the first round of Sponge City pilot projects, aimed
at systematically upgrade the water infrastructure in urban areas. Urban development, Sponge City initiatives and old city renewal
were implemented simultaneously (Baicheng City Government, 2018b). Since then, a total of 279 multifunctional stormwater control
projects based on water sensitive principles have been constructed, including rainwater pollution reduction, runoff channelling, CSOs
(Combined Sewer Overflows) treatment facilities, water ecosystem restorations and pollution interception wetlands. In 2019, the
Baicheng Sponge City project was rated as ‘excellent’ in the first round of national Sponge Cities performance assessment (Baicheng
City Government, 2020).
As a successful pilot project, Baicheng has been identified as an ideal case study of Sponge City implementation to support the
application of the theoretical framework and the evaluation system to assess social equity proposed by this study.

2.4. Materials and methods

This study adopts multi-criteria analysis and assessment based on the identification of qualitative and quantitative indicators across
scholarly literature and a wide range of governmental documents.
An extensive review was carried on of relevant documents and secondary data collected from various records and database issued
by the Baicheng local government. The research has collected a total of 43 documents including 6 regulations, 23 supporting
mechanisms and measures, 2 plans, 5 technical guidelines and 7 assessment reports which were compiled and/or issued by Baicheng
Municipal Government (Table 2). These documents are highly reliable official records containing primary data. For example, the Self-
assessment report on the pilot projects of sponge city construction (Baicheng City Government, 2018b) is one of the core documents
used by three Ministries in the assessment process of National Sponge City pilot program. In addition, 2 national policies and 4 national
technique standards/guidelines were also collected and analysed (MHURD, 2014, 2015, 2016, 2019; The General Office of the State
Council, 2015; The Central Committee of the Communist Party of China and the State Council, 2016).
Besides local government’s documents at different level of governance, the research examined additional data from scholarly
literature and other relevant studies to support results. In analysing these data, particular attention was paid to consistency between
information extracted and relevant findings, to avoid conflicting results and justify conclusions on the base of diversified sources. An
extensive review of these documents was carried out and data were extracted and summarized. In particular, documents were
examined by using search terms such as “poverty”, “poverty alleviation”, “shantytown”, “old urban district”, “public”, “participation”,
“equity”, “justice”, “disadvantaged”, “vulnerable”, “transparency” to retrieve information relevant to the research aim and analyse it.
Quotes extracted from documents were successively analysed to assess corresponding equity dimensions. For example, data on resi­
dents’ satisfaction, public participation, and other information were obtained from local government reports, news reports as well
other sources, and were used to validate the research results for sections 3.2 and 3.3.
Several secondary data sources were also examined. Relevant quantitative data, about the effects of waterlogging elimination,
rainwater resource utilization, and water quality improvement in Baicheng were derived from government’s reports, namely the Self-
assessment report on the pilot project of sponge city construction (Baicheng City Government, 2018b), and the Construction effect monitoring

Table 2
Relevant documents issued by Baicheng municipality.
Type of Documents Amount The level of governance

Baicheng City Rainwater Runoff Discharge 1 Issued by Baicheng City Government

Management Regulation
Planning and construction control regulations
related to Sponge City
Organization guarantee mechanisms
Investment and financing mechanisms
Supporting measures
Sponge City special plan and implementation
plan
Local design standard and technical guidelines
Operation and maintenance, and supervision
mechanism
Performance assessment and reward measures
Post-construction assessment reports
5 Issued by Baicheng City Government Office and other government departments
6 Issued by Baicheng Municipal Committee, Baicheng City Government and/or other government
departments
4 Issued by Baicheng City Government Office and/or Baicheng Finance Bureau
10 Issued by Baicheng City Government and other government departments
2 Issued by Baicheng Housing and Urban-Rural Development Bureau
5 Issued by Baicheng Housing and Urban-Rural Development Bureau and/or Baicheng City Sponge City
Construction (Comprehensive Upgrading and Renovation of Old Urban District) Headquarters Office
1 Issued by Baicheng City Sponge City Construction (Comprehensive Upgrading and Renovation of Old
Urban District) Headquarters Office
2 Issued by Baicheng City Government Office and/or Baicheng City Performance Management Work
Leading Group
7 Prepared by Baicheng City Government

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& evaluation and model simulation report (Baicheng City Government, 2018a). These two reports provide extensive data on waterlogging
risk and drainage capacity generated by a range of methods including: Infoworks Integrated Catchment Management simulations; on-
field monitoring to assess waterlogging points, surface water environmental quality, and groundwater levels; hydrological calculations
to measure rainwater utilization rate and pollutant discharge reduction from stormwater runoff; available statistics about reclaimed
water supply, water and wetland areas, and length of shorelines (Baicheng City Government, 2018a).

3. Results

This section presents the assessment of social equity through the analysis of Distributional, Recognitional, and Procedural per­
spectives in an application of Sponge City initiatives in Baicheng. Each perspective is discussed according to different indicators as
defined by the theoretical framework (Table 1).

3.1. Distributional equity

3.1.1. Urban flood risk

Baicheng urban district has been historically affected by serious waterlogging and floods problems.
Water management simulation model shows that 93.0% of the drainage network was not sufficient to deal with the 0.33-year
rainfall (Baicheng City Government, 2018b). After the implementation of Sponge City projects, monitoring tests showed the capac­
ity of the old city drainage network had increased by 15%. All the 14 existing waterlogging sites were eliminated, the high-risk flooding
area had been reduced by 56.4%, and the drainage system had reached the standard to cope with 20-year rainfall event (Baicheng City
Government, 2018b). Flood prevention measures reduced the exposure to risk of a large number of residents especially in the degraded
and densely populated districts (Table 3).

Table 3
Indicators assessment for urban flood risk.
Indicator - Urban flood risk Before Sponge City After Sponge City

Capacity of the degraded urban
drainage system
Numbers of waterlogging points
High-risk flooding area in the central
urban district
93% of stormwater drainage system failed to meet the Stormwater drainage system met the standard and increased
standard (0.33-year rainfall) by 60% (0.33-year rainfall)
14 0
140.9 ha Decreased by 56.4%

Sources: summarized from Baicheng City Government, 2018b.

3.1.2. Non-traditional water resource utilization

Before the implementation of Sponge City initiatives, Baicheng water demand greatly exceeded supply, and groundwater was
overexploited. In 2016, the supply in the central city was mainly extracted from the groundwater, reaching 33.12 million m3 and
accounting for 92% of water consumption. A total of 2.8 million m3 of water for agricultural irrigation and industrial uses had to be
drawn from surrounding watersheds (Baicheng City Government, 2018b).
After the completion of Sponge City projects including 16 storage tanks, sprinkler irrigation systems, and runoff treatment plants,
water supplies have seen a significant increase. The annual available amount of water from rainfall had reached 942,000 m3 from
direct harvesting and utilization that accounted for 10.9% of total stormwater. The upgrade of the water treatment plant brought its
capacity to 20,000 t per day of reclaimed water, which can be used for both industrial and ecological purposes (Baicheng City Gov­
ernment, 2018b). Water shortage was mainly targeted by improving the balance between supply and demand with the introduction of
a rainwater reuse and wastewater reclamation scheme. The diversification of urban water sources determined a generalised reduction
of groundwater consumption to benefit the local community (Table 4).

Table 4
Indicators assessment for non-traditional water source utilization.
Indicator - Non-traditional water sources utilization Before Sponge City After Sponge City

Rainwater utilization rate 0% 10.9%

Reclaimed water utilization No data 20,000 t/d

Sources: summarized from Baicheng City Government, 2018b.

3.1.3. Water environmental quality

Before the implementation of Sponge City projects, urban runoff pollution and poor surface water quality had a direct negative
impact on living conditions of the degraded urban area of Baicheng. Low water quality levels were mainly caused by the mix of
stormwater and wastewater in the urban drainage system (Baicheng City Government, 2018b).
A new treatment scheme for interception and storage of urban runoff was introduced, based on Combined Sewer Overflow tanks at

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Table 5
Indicators assessment for water environmental quality.
Indicator - Water environmental quality Before Sponge City After Sponge City

Reduction of pollutant discharge from
stormwater runoff
Environmental quality of surface water
urban residents’ satisfaction degree with water
quality
SS 1512.4 t/a, COD 432.5 t/a Reduced SS 1054.9 t/a, reduced COD 294.9 t/a
Some indicators of Heming Lake exceeded the class Heming lake and other water bodies fully met the class
IV Standard IV Standard
No data available 31% very satisfied, and 68% generally satisfied

Sources: summarized from Baicheng City Government, 2018b.

the end of the drainage network and artificial wetlands. This new system was able to improve the environmental quality of surface
water by eliminating the sources of runoff pollution. Pre- and post-implementation analysis on the waters of Heming Lake show that
the total amount of suspended solids (SS) in discharged water decreased by about 485.8 t per year. The direct discharge of sewage in
the drainage system was reduced to zero. Before implementation, water quality indicators in Heming Lake exceeded the class IV of
“Environmental quality standards for surface water”. Relevant standard employed in the measurements was GB 3838–2002 (pH 6–9,
COD (chemical oxygen demand) ≤ 30 mg/L, BOD5 (biochemical oxygen demand during 5 days) ≤ 6 mg/L, NH3-N ≤ 1.5 mg/L, TN
(total nitrogen) ≤ 6 mg/L, TP (total phosphorus) ≤ 0.1 mg/L). However, after construction, the lake was fully meeting the standards
(Baicheng City Government, 2018b).
The overall improvement of water quality is summarized in Table 5. This contributed to an overall increase in satisfaction about
water quality, as 31% of residents were very satisfied and 68% of generally satisfied (Baicheng City Government, 2018b).

3.1.4. Urban water ecology

Before the implementation of Sponge City initiatives, the provision of blue infrastructures was 0.38% of Baicheng urban central
areas, while green infrastructures and parks were 2.58 m2 per capita (Baicheng City Government, 2018b).
A network of green retention ponds, ecological corridors, and riverbanks regeneration projects was implemented to increase the
urban blue-green land cover ratio. Green stormwater infrastructures such as bioretention basins, bioswales, and rain gardens were also
built along roads and within parks to increase the infiltration of rainwater and to replenish the aquifers.
After the completion of these projects, the urban ecological system improved significantly. 86.5% of the shoreline was ecologically
regenerated. Green spaces increased to 3% from 2014 to 2017. The total combined area of rivers, lakes, and wetlands increased to 3.2%
of the whole pilot area, and the groundwater level rose about 3 m between 2012 and 2018 (Baicheng City Government, 2018b).
Table 6 summarizes the overall improvements in urban water ecology. Sponge City initiatives increased the quantity and con­
nectivity of the water systems, besides its quality. The ecosystem services supplied by blue and green spaces also increased and were
more equitably distributed, providing accessible leisure and recreational spaces to a higher number of residents. A government survey
assessing the improvement of living conditions after Sponge City implementations reports that 80% of respondents were very satisfied
and 17% were satisfied, acknowledging the enhancements of blue-green infrastructures overall (Baicheng City Government, 2018b).

3.2. Recognitional equity

In Baicheng, obsolete water networks and infrastructures were mainly located in degraded and low-income districts, further
aggravating the living conditions in these vulnerable neighbourhoods.

3.2.1. Government’s understanding of vulnerable groups and minorities’ needs

In 2016 a national policy was issued in China to promote a comprehensive renewal of degraded neighbourhoods and bridge the gap
with modern urban development (The Central Committee of the Communist Party of China and the State Council, 2016). Within this
policy framework, a new urban regeneration model was defined for Baicheng by integrating the Sponge City project with a
comprehensive approach including renovations and coordinated interventions (Baicheng City Government, 2018b). Initially, Sponge
City pilot projects were affecting an area of 22 km2, including 12.4 km2 of old urban districts. With the implementation of the new
policy, another 16 km2 of old urban districts was added to the project, up to 75% of the total area (Wang, 2017a). In between 2014 and
2018, Baicheng’s local government invested over 6.8 billion yuan to support the transformation and upgrade of these areas, with a
comprehensive reconstruction of shantytowns and the simultaneous implementation of Sponge City initiatives. The overall project was
primarily addressing poor living conditions in the area, where lack of facilities and low quality of public space was aggravating flood

Table 6
Indicator assessment for urban water ecology.
Indicator - Urban water ecology Before Sponge City After Sponge City

Water and wetland area 53.6 ha Added 70.9 ha, accounting for 3.2% of the pilot area
Length of hardened shoreline 2100 m Decreased to 900 m, account for 6.8% of the total length
Groundwater level Depth 8–11 m Increased slightly year by year to 7–9 m

Sources: summarized from Baicheng City Government, 2018b.

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risk (Wang, 2017a).

According to the government’s report, over 110 residential properties in the old urban district were renovated since the beginning
of the program in. Public facilities were upgraded with new provision of green spaces, electric and heating supply systems. Poor
housing was reconstructed according to modern living standards to provide adequate accommodation and equal living opportunities to
all. Two large-scale wetland parks were built, and urban roads and existing green spaces were renovated concurrently. In 2017, the
green area of the old urban district reached 1.3 km2, and the greening rate increased by 3% compared with 2014 (Baicheng City
Government, 2018b).
However, notwithstanding an overall improvement of living conditions in low-income neighbourhoods, there are no data available
about the effects of this extensive regeneration program on the existing socio-cultural system and the vulnerable communities and
minorities in the area. The government documents examined do not report about community consultation activities or recognize the
specific needs of residents, especially when living in disadvantaged urban areas. Similarly, there is not information available on
whether and how residents were involved in the decision-making process, especially when critical choices about the future of these
neighbourhoods had to be made.

3.2.2. Vulnerable groups and minorities’ understanding and perceptions of Sponge City initiatives
Sponge City planning and design processes require complex activities entailing extended time frames and considerable financial
investment which directly affect the local community. To be implemented, these projects require the support and cooperation of
residents, in particular when the extensive regeneration of degraded neighbourhoods involves the demolition of housing.
Data shows that local people’s understanding about the importance of these programs has gradually increased over time. After two
years from the start of the project more residents were aware of the program’s objectives, than in the first round of implementations
(Gong et al., 2018). To improve residents’ understanding of the Sponge City concept, the local government of Baicheng developed a
range of activities directed to the local communities. Mass media, such as radio, television, newspapers and magazines, and the
internet, were employed for information and educational purposes (Wang, 2017a). Non-governmental organizations and volunteers
were engaged to present the program to the community and to schools students. After construction was completed, results were
promoted and disseminated nationally.
Studies carried on after the implementation of Sponge City initiatives report that Baicheng residents’ opinion about their own well-
being improved significantly. A third-party survey, commissioned by the Baicheng government of 410 residents selected across a broad
range of ages, genders, occupations, and educational levels, showed that 76% of respondents were aware of the Sponge City model,
98% supported its implementation and 97% recognised that it had enhanced their living conditions (Baicheng City Government,
2018b). These results indicate high levels of awareness and satisfaction among residents overall. However, a survey specifically
targeting vulnerable groups, such as low-income and minorities groups, was not carried on, to understand how residents were affected
by the extensive transformation process conducted in the urban environment.

Table 7
Baicheng’s government documents relating to transparency and public disclosure of project documentation.
Title of government documents Publishing department and Selection of quotes from referenced documents
released date

Baicheng City Government Information Disclosure
Work Assessment Implementation Rules (
Baicheng City Government Office, 2009)
Baicheng City Sponge City Construction PPP
Operation Method (Trial) (Baicheng City
Government Office, 2015)
Baicheng City Sponge City Construction
(Comprehensive Upgrading and Renovation of
Old City) Implementation Plan
Baicheng City Sponge City Construction Project
Reward Measures (Trial)
Implementation Plan of Action for Water Pollution
Control in Baicheng
Sources: summarized from Baicheng City Government, 2018b
Baicheng City Government
Office, Aug 2009
Baicheng City Government
Office, Feb 2015
Baicheng Municipal Committee
and Baicheng City Government,
Apr 2016
Baicheng City Government
Office, Jul 2016
Baicheng City Government
Office, Nov 2016
6. The criteria for the evaluation of government
information disclosure work are: a sound organization
and clear work responsibilities; disclosure content meets
regulations and updated in a timely manner; disclosure
forms are practical and effective and convenient for the
public.
Chapter 1, Article 3: Sponge city construction Public-Private
Partnership (PPP) operations should follow the principles of
openness, fairness, and integrity.
2. (2) Adhere to the principle of open, transparent operation. ...
Whether it is the overall project to be implemented or the detailed
operation of the specific project, fully open and transparent
operation will be implemented to openly promote fairness and
fairness, accept the supervision of the public and society.
Article 3: The use of funds adheres to the principle of “coordinated
arrangement, benefit priority, openness and fairness, and for this
project only”.
4. Safeguarding measures. (5) Strengthen publicity and
supervision. a. According to law to open environmental
information to the community. […] actively accept
public supervision. Study and release of industrial area
environment-friendly index, key industries pollutant
emission intensity, urban environment-friendly index,
and other information.

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S. Wang and E. Palazzo Urban Climate 37 (2021) 100829

3.3. Procedural equity

Procedural equity involves the engagement of the local communities in planning, construction, operation, and maintenance phases
of large urban transformation processes. Research on Sponge City post-implementations shows that insufficient attention has been paid
to public participation. The involvement of communities was usually limited to advertisement campaigns, feedback surveys, and
passive forms of engagement. These generally top-down initiatives, lacked specific support and were unable to raise public awareness
on social and environmental responsibilities (Wang et al., 2017a; Gong et al., 2018).

3.3.1. Policy-making transparency and community consultation

Five policy documents related to the Baicheng Sponge City program are explicitly referring to the process of projects’ public
disclosure and public consultation processes to be carried on in the frame of urban renewal projects. These documents were issued by
Baicheng Municipal Committee and City Government Office (Table 7). As they have a higher level of cogency they facilitate a
comprehensive coordination among the different technical departments in the local government. They also provide the framework for
regulating the public disclosure of planning information, the development of implementation plans, the investment and financing
operations and the procedure for incentives. For example, the document Baicheng City Sponge City Construction (Comprehensive
Upgrading and Renovation of Old City) Implementation Plan, introduces the principles for transparent operations and requirements aimed
at facilitating public participation in the supervision of projects in all its phases, from overall planning to construction operations
(Baicheng Municipal Committee and Baicheng City Government, 2016). More broadly, the Baicheng regulatory framework on Sponge
City endorses a transparent decision-making process as a principle for equity in planning and implementation (Wang, 2017a).
However, there are no specific operational guidelines available able to transfer the government policy’s intentions into explicit
requirements and enforcement directives. As discussed in other scholarly literature, transparency of policymaking in every stage of
Sponge City’s planning will require the establishment of supporting mechanisms and should be further promoted (Wang et al., 2017a;
Gong et al., 2018).

3.3.2. Residents’ participation in Sponge City governance and planning

Baicheng Sponge City policies endorse public consultation in planning and design stages. Regulations on Planning and Administration
of Baicheng Sponge City (Trial Implementation) states:
“Sponge City construction projects should include public participation programs” (Baicheng Planning Bureau, 2015, No.6, p5).
Moreover, the Water pollution prevention and control action plan requires:
“to establish a platform for regular communication, dialogue, and consultation between the government, enterprises, in­
stitutions, and the public; to extend the channels for the participation of the government, enterprises, the public and other
stakeholders in decision making, and to invite the public and social organizations to participate in urban planning and design; to
encourage non-profit and non-governmental environmental protection organizations to be part of an organized form of public
participation and supervision; to fully listen to public opinions on major decisions through public hearings and network so­
licitation” (Baicheng City Government Office, 2016, “No.2 Strengthen social supervision”, Part 4 Safeguard measures, (5)
Strengthen publicity and supervision).
Notwithstanding the policy’s statements, there are few known cases of public participation and engagement that have been re­
ported. Existing data suggest that systems supporting public participation and public assessment of Baicheng Sponge City imple­
mentations are either insufficient or lacking (Wang, 2017a). As in other Sponge City initiatives, public participation was often limited
to passive forms of engagement (Gong et al., 2018; Wang et al., 2020).

3.3.3. Residents’ participation in Sponge City implementation and management

Baicheng local government policies promote public participation in the implementation and post-implementation phases of Sponge
City initiatives. For instance, the Technical guidelines for Baicheng Sponge City Projects Operation Maintenance and Evaluation (Trial
Implementation) (Baicheng Housing and Urban-Rural Development Bureau and Beijing Jiangong Architectural Design and Research
Institute, 2016, p6 Article 3.0.4) points out that construction and maintenance operations of Sponge City projects should
“focus on strengthening publicity, education and guidance, and raise public awareness of the importance of rainwater control
and utilization in sponge city construction, low impact development, green buildings, urban water saving, water ecological
restoration, and waterlogging prevention, to encourage the public to actively participate in the construction, operation and
maintenance of Low Impact Development facilities”.
However, there are very few known cases of residents taking part in projects’ implementation and post-implementation phases.
Sometimes, forms of advertisement are organized by real estate developers ahead of construction, such as banners, open letters,
community’s forums, door-to-door campaigns (Capital Construction News, 2019).
Forms of public-private partnerships are also promoted in Baicheng Sponge City implementations, to guarantee the diversification
of investors and the equal participation of all stakeholders (Baicheng City Government, 2018b). The municipality employs also forms
of public competitive bidding to select professional, construction and maintenance services. Over 150 projects were implemented
according to this format attracting over 800 million yuan of social capital.
In general, even if policy guidelines are endorsing the participation of all stakeholders in the construction, operation, and main­
tenance of Sponge City, there are not sufficient data to understand the real extent of engagement activities. For instance, methods,

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S. Wang and E. Palazzo Urban Climate 37 (2021) 100829

results and processes of public participation are not described in the self-assessment report (Baicheng City Government, 2018b). These
will need to be constantly monitored and evaluated in the future to understand their impact on Sponge City implementations (Wang,
2017a).

4. Discussion

This paper argued that environmental enhancement agendas carried on in the frame of large urban renewal projects may not
always guarantee social equity. Thus, the study has proposed to examine closely whether the Sponge City program in Baicheng was
able to generate benefits to all residents and promote equity.
This research was based on the definitions proposed by Schlosberg (2004) and successive frameworks developed by Meerow et al.
(2019) and other scholars, to assess the impact of Sponge City on social equity. These frameworks include well-established distri­
butional/spatial equity indicators but also explore new ways to evaluate recognitional and procedural equity in large urban trans­
formations. These can be applied to comprehensive water management programs such as in Sponge City. By adapting the tripartite
framework to a Chinese context, the research was aimed at filling a gap in research to assess social equity in Sponge City imple­
mentations by considering a range of indicators, besides ecological ones. The research also provides a toolkit to monitor the social
outcomes of a project and re-align them to its environmental benefits. In addition, by exploring the possible interrelations between the
three dimensions of equity, the study ideally suggests a roadmap for achieving the sustainability and social equity goals. (See Fig. 2.)
Therefore, the application of the evaluation framework and its findings provide important implications for both theory and practice in
Sponge City research and similar urban environmental programs.

Fig. 2. The mutual influences of the three dimensions of equity.

The case study analysis has also shown that existing data and standards on Sponge City performance are mainly targeting water risk
and related structural response measures (MHURD, 2019). As Sponge City initiatives are generally assessed on the basis of water
performance and ecological indicators, no specific parameters have been yet developed to assess the relationship of these measures
with the socio-cultural composition of a city and its communities. As the residents are often not considered in the equation, it was
essential to define a new set of criteria to include relevant social aspects in the assessment of Sponge City implementations and
outcomes.
The Sponge City case study in Baicheng shows that a comprehensive and integrated plan can target different water problems in
urban development and achieve distributional equity. The implementation of green infrastructures providing new ecosystem services
greatly improved the residents’ satisfaction, as the project was able to enhance the living environment for 97% of the population. An
increased understanding of the Sponge City concept (76% of residents know about Sponge City project) was in part achieved to support
recognitional equity (Baicheng City Government, 2018b). However, it is not clear how vulnerable groups and minorities needs have
been represented in Government’s decisions.
Similarly, recognitional equity demonstrated by residents’ active participation in planning and implementation phases is not
evident. Transparent planning choices and open information were only in part achieved to promote Baicheng residents’ active role in
decision making. This in turn would have sustained procedural and distributional equity, as participation increases residents’
awareness of water-related issues and their understanding of the urban ecosystem (Herringshaw et al., 2010).
In summary, in Baicheng the relationship among the three dimensions of the framework can be justified only to a certain degree, as
components of recognitional equity and procedural equity are not yet fully represented and still need further exploration in the future.
This study has proposed nine new indicators, tailored to the specific Chinese context, subdivided into the three categories:

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S. Wang and E. Palazzo Urban Climate 37 (2021) 100829

Table 8
Multi-criteria assessment summary of Sponge City and Social Equity in Baicheng City, based on 9 qualitative and quantitative indicators analysis.
Indicators Values or descriptors

Distributional equity
Urban flood risk (water security)
Non-traditional water resource utilization (water
resource)
Water environmental quality (water environment)
Urban water ecology (water ecology)
Recognitional equity
Government’s understanding of vulnerable groups
and minorities needs
Vulnerable groups and minorities understanding and
perceptions of Sponge city
Procedural equity
Transparency of policymaking and community
consultation
Residents’ participation in Sponge City governance
and planning
Residents’ participation in Sponge City
implementation and management
• Drainage capacity of the pipeline network in the old urban district increased by 60% (0.33-
year rainfall).
• All 14 waterlogging points were eliminated.
• High-risk area in the central urban district reduced by 56.4%.
• The Utilization ratio of rainwater resources increased from 0% to 10.9%.
• Reclaimed water supply reached 20,000 t/d.
• Reduced runoff pollution of SS 1054.9 t/a, COD 294.9 t/a than before.
• Heming lake and other water bodies fully met the class IV standard.
• Increased 70.9 ha of rivers, lakes, and wetlands, accounting for 3.2% of the total pilot area.
• Hardened shoreline decreased from 2100 m to 900 m, accounting for only 6.8% of the total
length.
• From 2012 to 2018, the groundwater level rose about 3 m.
• Green space rate of the old urban district in 2017 was 3% higher than that in 2014.
• Targeted urban areas with inadequate infrastructure.
• Old urban district accounting for 75% of the total pilot area.
• The Government fully supported the transformation of shantytowns in policy, funds, and
other aspects.
• Lack of community consultation to define specific needs.
• The government used mass media and other methods for publicity and education.
• Survey shows that 76% of people were aware of Sponge City concept, 98% of people
supported the implementation of Sponge City; 97% of residents were satisfied with the
Sponge City implementation.
• Disclosure and transparency of information required in publishing documents.
• Lack of relevant mechanisms to enforce requirements.
• Government documents clearly stated that Sponge City projects should include a public
participation program.
• Plans publicized and community residents participated in the formulation of some plans.
• Degree and effect of participation were not clearly measured and assessed.
• The Government encouraged public participation in the construction, operation, and
maintenance stage.
• The Extent and effect of participation were not clearly measured and assessed.

distributional equity, recognitional equity, and procedural equity. The indicators are then used to assess the impact of Baicheng Sponge
City implementation on social equity. Secondary data analysis, both qualitative and quantitative, and related descriptions, have been
summarized in Table 8.
As for distributional equity, the drainage capacity of the city’s network was enhanced, as historical waterlogging points were
eliminated and flood risk area reduced. Rainwater reuse increased across the urban area while water environmental quality was
generally improved. Overall, the ecological conditions have been greatly improved. These outcomes have provided a significant
contribution in alleviating inequalities deriving from living in areas affected by flood and low water quality.
Within the dimension of recognitional equity, Sponge City implementations were promoted on different levels and generally this
was able to improve the residents’ opinion about the program. However, public communication was still based on a one-way top-down
approach, which was not able to improve the government awareness of real living conditions. Moreover, lack of statistical and spatial
distribution data about vulnerable groups, such as the elderly and children, was not available at the time of the planning phases of the
project which resulted in a generic understanding of the population specific needs. For these reasons, recognitional equity still needs
improvement.
Within procedural equity, government departments in Baicheng have been generally required to disclose information and consult
the public when issuing planning documents and decisions. However, a supporting system for public participation is still relatively
weak. Guidelines and provisions aimed at regulating public participation have been recently introduced within government policies,
nevertheless their actual implementation needs to be further investigated. How public participation is promoted and incentivized in
the practice also needs to be further monitored. As in other cities in China, public involvement in large scale development and
redevelopment plans in Baicheng is still at an inception phase, or at a bottom level of the “ladder of participation” (Gong et al., 2018).
The present study represents a first and partial tentative to define and apply an evaluation framework for social equity and related
indicators to a Sponge City project. Findings from the analysis of Baicheng Sponge City project shows the potential applications of this
methodology to similar urban policies and programs in other cities and regions. Nevertheless, due to the difficult access to relevant
information, the assessment of recognitional and procedural equity indicators is not comprehensive and relies mainly on incomplete or
non-systematic data. For example, data on vulnerable groups and minorities in the region, such as spatial distribution of demographic

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S. Wang and E. Palazzo Urban Climate 37 (2021) 100829

data, is not publicly available. Therefore, several questions still need to be answered that will require further investigations in the
future and the definition of appropriate methods, perhaps integrating qualitative and quantitative research. For instance, these include
how to measure the understandings and perceptions of different groups; how to effectively assess governance transparency and public
participation; and how to adjust the indicators to adapt to various social contexts.
Finally, Sponge City interventions have also brought some indirect social and economic benefits to Baicheng, including reduced
crime rates, raising housing price, and local economy improvement. The impact of these indirect benefits on social equity will also
require further research as well as a long-term monitoring of potential gentrification processes that could compromise its social
sustainability.

5. Conclusions

This study has extended the assessment of Sponge City programs beyond its technical and environmental aspects, to include social
equity from an institutional, procedural, and public perspective. The research has revealed that recognitional equity and procedural
equity are not sufficiently represented in current Sponge City programs planning. Lessons learned from the Baicheng case study can
indicate a way towards the definition of new policies aimed at social equity, targeting specifically Sponge City initiatives. By iden­
tifying equitable objectives, promoting a more transparent governance system in water management, as well as institutional reforms to
facilitate public participation, results could be extended to regulations, directives, and standards, also at a national level.

Funding

This work was funded by the National Natural Science Foundation of China [grant number 31870704] and supported by UNSW
Sydney School of Built Environment.

Declaration of Competing Interest

The authors declare that they have no known competing financial interests or personal relationships that could have appeared to
influence the work reported in this paper.

Acknowledgments

We thank Ms. Hou Shuang for her support in the development of the literature review, data interpretation and translations, and Dr.
Wang Wenliang who provided the data from public consultations and evaluation of Baicheng Sponge City program.

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