PROCEEDINGS MESSAGE FROM THE TU RECTOR Greeings from Thammasat University and a warm welcome to all paricipants in the 3rd Internaional Academic Consorium for Sustainable Ciies (IACSC) Symposium. It is a great pleasure to have such a diverse range of researchers and praciioners paricipaing in this exciing event. Since its foundaion in 1934, Thammasat University has been recognized as one of Thailand’s most inluenial academic insituions. Importantly, we not only emphasize the highest standards of educaional atainment, but also a broader commitment to social wellbeing and community – not only in Bangkok and across Thailand, but also throughout Asia and the world. This is why, together with Yokohama City University and the World Bank, it is our pleasure to provide a plaform for thinkers and doers in a variety of ields to share their perspecives on the issues confroning us in the twenty-irst century. High quality research on urban sustainability has the power to transform our ciies, but to do this close cooperaion and efecive communicaion to a wider audience are essenial. With this symposium, we hope to bring the collaboraive vision of the IACSC a litle closer to realizaion. I would like to end by thanking Yokohama City University, the World Bank, IGES and all the members of the IACSC for organizing this exciing event, as well as the Faculies of Architecture and Planning, Public Health and Sociology and Anthropology and the Insitute of East Asian Studies at Thammasat for their important role. Pathum Thani government has also been a great source of support over the years and during this conference. But most of all, I would like to thanks all the presenters and general paricipants here today. This event would not be possible without their dedicaion and enthusiasm. Sincerely, Professor Dr. Somkit Lertpaithoon Rector, Thammasat University One of our faculty’s central aims is the development and promoion of a more holisic and cross-disciplinary approach to city making. In this regard, the conference has been an excellent opportunity to liaise and collaborate with an extraordinary range of specialists and students in diferent ields. As ciies and their associated problems become increasingly complex, the most efecive soluions will be those that integrate the tools and experise of urban planning, sociology, environmental protecion and public health into a combined approach. We are now more aware than ever that true sustainability for our ciies must be wide as well as deep – nurturing society, the environment and economic well-being together. The Internaional Academic Consorium for Sustainable Ciies is a compelling vision of how in future such an approach might be achieved. I trust that, ater this conference is over, we will come away with a beter understanding of the great potenial that cooperaion could bring us all. Sincerely, Assistant Professor Sanirak Prasertsuk Dean, Faculty of Architecture and Planning, Thammasat University MESSAGE FROM AP. TU. DEAN It is a great honor for the Faculty of Architecture and Planning (APTU), Thammasat, to host this conference in partnership with Yokohama City University, the World Bank and the Faculty of Public Health, the Faculty of Sociology and Anthropology and the Insitute of East Asian Studies. ABOUT IACSC 2012 Mission and Ideals The Internaional Academic Consorium for Sustainable Ciies (IACSC) was established in 2009 with the express purpose of fostering closer cooperaion between academic insituions and their ciies. Its holisic focus spans three main areas of study – ‘Urban Planning/Urban Studies’, ‘Public Health’ and ‘Environment’. Through dialogues, discussions, research partnerships and other projects, IACSC members have been able to engage fruifully among themselves and with other organizaions across Asia and beyond. IACSC’s annual symposium also ofers a plaform for specialists to interact and knowledge share with NGOs, businesses and city policy makers, as well as fellow researchers. Together, these aciviies serve to bring the gap between research and pracice, expanding the opportuniies for posiive cross-sectoral collaboraions in response to the challenging realiies of ciies in the 21st century. History Aug. 2010: The 1st General Meeing With reference to the core principles of the Eco2 iniiaive, the framework of the IACSC charter and the Consorium’s future aciviies were developed through member discussions. Oct. 2010: Memorandum of Understanding between IACSC and the World Bank Mme. Inger Andersen, Deputy President of the World Bank, and Professor Tsutomu Fuse, President of Yokohama City University (YCU), represening IACSC, concluded the MoU at the 1st Eco2 Conference in Yokohama. Sep. 2011: The 2nd General Meeing The 2nd IACSC Meeing, ‘Towards a Sustainable Future: A Collaboraion of Higher Educaion Insituion and Local Society’, was hosted by Universii Sains Malaysia in Penang, Malaysia. Sep. 2012: The 3rd General Meeing The 3rd IACSC Meeing, ‘Reimagining Sustainable Ciies’, is hosted by Thammasat University in Thailand. Prof. Dr. Somkit Lertpaithoon Rector, Thammasat University, Thailand Prof. Tsutomu Fuse President of Yokohama City University (YCU) Takashi Kondo Manager of Internaional Technical Cooperaion, City of Yokohama, Japan Prof. Dato’ Dr. Omar Osman Vice-Chancellor of the Universii Sains Malaysia (USM) Prof. Dr. Nina Gloriani Dean, College of Public Health, University of the Philippines Prof. Dr. Manuel Agulto Chancellor, University of the Philippines, Manila Hiroaki Suzuki Lead Urban Specialist, World Bank Mozaharul Alam UNEP, Bangkok, Thailand VIP Prasit Boonlikit Deputy Governor of Pathumthani Province, Thailand ORGANIZING COMMITTEE Advisor Prof. Dr. Somkit Lertpaithoon Rector, Thammasat University Asst. Prof. Jirapa Worasiangsuk Dean, Faculty of Sociology and Anthropology, TU (SoAn) Dr. Chaiyuth Chavalitniikul Dean, Faculty of Public Health, TU (FPH) Assoc. Prof. Dr. Manyat Ruchiwit Director, Insitute of East Asian Studies, TU (IEAS) Chairman Assistant Professor Sanirak Prasertsuk Dean, Faculty of Architecture and Planning, TU (APTU) Vice-Chairman Dr. Wijitbusaba Ann Marome Associate Dean of Internaional Afairs, APTU Commitee member Asst. Prof. Dr. Kaysorn Sumpowthong Asst. Prof. Dr. Pawinee Iamtrakul Dr. Jaturong Pokaratsiri Dr. Thipsuree Kornboonraksa Dr. Nopparat Plucktaveesak Dr. Anusorn Unno Thrissawan Ponglamjeak Payap Pakdeelao Secretariat Athitaya Ruangrungchaikul Peter Grant Panudda Rodsatru Apinya Hemmawangoon Rewadee Prasankan Yokohama City University (YCU) Secretariat Yusaku Hanyu Ayako Moriya FPH APTU APTU FPH IEAS SoAn APTU APTU Time Planned Items 08.30 Registraion 09.00 Welcome Speech Prof. Dr. Somkit Lertpaithoon, Rector, Thammasat University, Thailand 09.10 Opening Ceremony Mr. Prasit Boonlikit, Deputy Governor of Pathumthani Province, Thailand 09.20 Presentaion: ‘Transforming Ciies with Transit: Transit and Land-Use Integraion toward Sustainable Urban Development' Mr. Hiroaki Suzuki, Lead Urban Specialist, World Bank 09.40 1st Keynote Speech: ‘Urban Vulnerability and Adaptaion to Climate Change: Beyond Spaial Boundary‘ Mozaharul Alam, UNEP, Bangkok, Thailand 10.00 2nd Keynote Speech: ‘City of Yokohama - The History and Challenges’ Takashi Kondo, Manager of Internaional Technical Cooperaion, City of Yokohama, Japan 10.20 Cofee break 10.30 Symposium (parallel session) Room 314 UP Room 415 US 12.20 Lunch Break 13.20 Symposium (parallel session) Room 314 UP Room 415 US 15.10 Cofee break 15.20 Symposium (parallel session) Room 314 UP Room 415 UP Room 514 UH Room 614 UE Room 514 UP Room 614 UE Room 514 City Report Room 614 UE 17.10 Poster Presentaion 18.30 Recepion Party at IEAS, TU, Rangsit campus SCHEDULE, September 8, 2012 The Faculty of Architecture and Planning, Thammasat University (Rangsit Center) URBAN PLANNING RISK OF COASTAL POPULATION TO CLIMATE CHANGE: RISK ASSESSMENT FOR DEVELOPMENT PLANNING Ajay K Katuri and Prerak Shah IDENTIFYING THE POTENTIAL OF TRANSIT-ORIENTED DEVELOPMENT AROUND EXISTING RAILWAY STATIONS: STUDY OF YOGYAKARTA, INDONESIA Alyas Abibawa Widita CONSERVATION AND REVITALIZATION OF A HISTORICAL INNER CITY: THE CASE OF GEORGE TOWN WORLD HERITAGE SITE Badaruddin Mohamed, Gelareh Abooali, and Shida Irwana Omar QUANTIFYING SUSTAINABILITY IN ARCHITECTURE AND PLANNING-THE INDIAN CONTEXT Dipanwita Chakravarty COURTYARD TRANSFORMATION TO BLOCK PERIMETER MORPHOGENESIS– CREATING NEW URBAN SPACE WITH SMALL SCALE. CASE STUDY: OLD CITY OF GORGAN, IRAN Hadi Pendar QUANTITATIVE DESIGN PRINCIPLES OF URBAN MASSING FOR BETTER VENTILATION – COMPUTATIONAL FLUID DYNAMICS (CFD) ANALYSIS USING A SUSTAINABLE MASTER PLAN IN TROPICAL REGION AS A CASE STUDY Tang Yu Tin, Lam Siu Kei Kenneth, and Ho Ching Yin THE IMPORTANCE OF NEIGHBOURHOODS IN THE CONTEXT OF SUSTAINABILITY: THE OTTOMAN NEIGHBOURHOOD ADMINISTRATIVE SYSTEM I. Bâkir KANLI THE ROLES OF A SOCIOLOGIST IN URBAN PLANNING PROCESSES: A CASE STUDY OF THE PLANNING OF TACHANG – TAPRACHAN, AN OLD AREA OF INNER BANGKOK Jirapa Warasiangsuk A “WORLD-CLASS CITY” IN THE MAKING: HERITAGE, PLANNING, AND MARGINAL SPACES IN THE CITY OF TAJ, AGRA (INDIA) Kapil Kumar Gavsker and Sheela Prasad RECOVERING HISTORICAL CLIMATE BASED INFLUENCES FOR HERITAGE AND CONSERVATION PLANNING Lee A. Fithian and Catherine Montgomery 1 REDEFINING HOUSING PRODUCTION SYSTEMS IN DEVELOPING COUNTRIES: A COMPARATIVE STUDY OF HOUSING STRATEGIES IN SOUTH AFRICA AND ZIMBABWE Lovemore Chipungu and Hope Magidimisha DEVELOPMENT CONTROL GUIDELINES WITH A PHYSICAL VULNERABILITY PERSPECTIVE IN A HILL AREA Ajay K Katuri and Pragya Sharma SURVIVAL STRATEGIES OF THE PAST HUMAN UNDERGROUND HISTORICAL CITIES: CASE STUDY RESEARCH ON NOOSH-ABAD OF IRAN UNDERGROUND CITY Reza Najai Sayyar, Aboozar Shoara, and Bahram Izadi CONSTRUCTING PLACE-IDENTITY: TRANSIT-ORIENTED CONDOMINIUM DEVELOPMENTS IN BANGKOK Russell Moore THE FACTORS IMPACTING ON THE TRAVEL DEMAND OF INBOUND TOURIST ARRIVALS TO LAO PDR 1990 -2007 Saithong Phommavong A NEW APPROACH TO ASSESSING RISKS IN URBAN REGENERATION PROJECTS Sukulpat Khumpaisal, Zhen Chen and Emma Mulliner ANALYZING THE STATUS OF MINING WASTE LAND REGENERATION IN CHINA – ILLUSTRATED BY THE CASE OF DALIAN LIMESTONE MINES Yu Zhang, Jie Zhao, and Yue Fan ECO-PARTICIPATORY DESIGN: A REVIEW ABOUT SUSTAINABILITY CONCEPTS IN THE DESIGN PROCESS Yusfan Adeputera Yusran SUSTAINING INFRASTRUCTURE DEVELOPMENT AT MUNICIPAL LEVEL: FROM TOWN DEVELOPMENT FUND’S PERSPECTIVE Bijaya K. Shrestha 2 RISK OF COASTAL POPULATION TO CLIMATE CHANGE: RISK ASSESSMENT FOR DEVELOPMENT PLANNING Ajay K Katuri1 and Prerak Shah2 1 Faculty of Planning and Public Policy, CEPT University, Ahmedabad, India E-mail: ajay.katuri@cept.ac.in 2 Faculty of Planning and Public Policy, CEPT University, Ahmedabad, India E-mail: ar.prerak.shah@gmail.com ABSTRACT A recent report from McKinsey (McKinsey, 2012) highlights the increase in the contribuion of ciies in the global economy. Indian ciies are also bustling with economic aciviies following the government’s iniiaive to set up Special Investment Region (SIR) under the Special Economic Zone (SEZ). One of the SIRs is coming in Gujarat’s coast with an investment of $ 7,617.25 million. In addiion to the 40 million people living in the 7517km of coastline, an addiional 2 million is expected to add to this new SIR in Gujarat, western India. This paper looks at how much of this populaion and investments are at stake when a sea level rise scenario is simulated (Brenkert & Malone, 2005). Vulnerability of Indian coast had been worked out by Katuri and Shah (2011) where they analysed the vulnerability of 72 peripheral districts and derived amount of populaion and GDP at risk due to diferent SLR scenarios considering both intrinsic and extrinsic vulnerability indicators. This vulnerability analysis is carried out for the whole Indian coast at a scale of 1x1 km grid to simulate the human life and economy at risk. It was analysed that 5.74% populaion of coastal districts would be at risk with a 1 meter SLR to 24.27% populaion of coastal districts at risk with a 6 meter SLR. The projecions for year 2100 states that 65 million people would be at risk due to 1 meter SLR in 2100. Since the study highlights major disrupion that may occur due to sea level rise (SLR), a need arises to assess future development scenarios and aciviies at ground level to carry out risk assessment and to provide risk control and risk reducion measures. Therefore, the research focuses on an investment-region at village level in a taluka1 of Gujarat state where proposed investments are high and populaion is likely to increase at a faster rate. This study analyses risk posed to human life, housing stock and economy (investments, GDP and livelihood) due to inundaion through SLR and helps to form adaptaion strategies for coastal development aciviies. This research can direct the policy makers to beter investment and development strategy. KEYWORDS: Risk assessment, Vulnerability assessment, Sea level rise, Climate change, SIR, Dholera-Gujarat 1. INTRODUCTION India is one of the most vulnerable countries to projected climate change (IFRC, 2010) due to its long coastline and having most people exposed to climate-related risks [Unnikrishnan et al., 2006; Parasuraman, 2000]. Climate change is expected to increase the frequency and intensity of current hazards and the probability of extreme events, and Copy right: Permission to make digital or hard copies of all or part of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for proit or commercial advantage and that copies bear this noice and the full citaion on the irst page. To copy otherwise, or republish, to post on servers or to redistribute to lists, requires prior speciic permission and/or a fee. 3 also to spur the emergence of new hazards (eg. sea level rise) and risks, hence spaial and socioeconomic impacts will emerge. Thus the rise in the sea level would ulimately degrade the resilience of the poor, make communiies more vulnerable and migrate to higher lands, which make up from a quarter to half of the populaion of Indian ciies. In contrast to (Birkmann, 2008), this study argues that the risk assessment of an area prior to a hazardous event provides needed ime to the local authority to prepare and improve the resilience. It will also enable the awareness and preparedness of the community. In India 12% of land is vulnerable to looding, both luvial and coastal (Building Material and Technology Promoion Council, 1997). The Indian coastal areas are expected to grow dramaically in terms of populaion, infrastructure and industrial investment in the next decades, which implies a non-linear increase in coastal sea level rise risks and threats. It is established by (Westen, 2006) that for carrying out a risk assessment, the prerequisite steps involved are: vulnerability and hazard assessment. Scholten et al. in (Scholten, Fruijter, Dilo & Borkulo, 2008) argue that apart from policies, an organizaion should also have a well deined decision-making process. Authors (Naional Research Council, 2007; Taleai et al., 2005; EPA & NOAA, 2007; Zlatanova & Templi, 2000; Kheirkhah Zarkesh et al., 2005 ) emphasize the importance of spaial database for emergency management. This exercise is aimed at providing a start point for researchers and analysts in the ield of climate change. 2. SEA LEVEL RISE IN CONTEXT TO INDIA India has a vast coast-line of 7517 km where more than 40 million people live. There are 13 coastal states and union territories suscepible to SLR in the country, with about 72 coastal districts afected by tropical cyclones (INCCA, 2010). Moreover, three of the 4 metro ciies i.e. Mumbai, Chennai and Kolkata lie along this coastline. Thus though the impacts of the SLR are local in nature, the causes of SLR are global (in Indian scale) and can be atributed to several disastrous events. Studies for regional sea level changes suggest values close to 2.0 mm/yr in the north Indian Ocean, except the north-eastern part of the Bay of Bengal, where values of more than 4 mm/yr are found. The mean sea-level rise along the Indian coasts is esimated to be about 1.3 mm/year but a larger trend of 5.74 mm/year was recorded at Diamond Harbour (Kolkata) (Brenkert & EMalone, 2005). Also India has the second largest (ater Bangladesh) LECZ populaion, with about 3 percent of the naional area at risk. Thus the risk assessment would help analyse diferent land use classes and associated populaions which are suscepible to impacts from the inundaion, which will be helpful for planners and decision-makers to devise coningency plans for combaing sea-level rise problems along the coast of India. 3. RISK ASSESSMENT CONCEPTS Risk assessment helps to analyse the probable elements at risk. Major elements at risk for disasters like SLR induced looding would be residenial buildings, infrastructure faciliies and lifeline faciliies. With the disrupion of buildings and human life, the economies associated with them also get afected. Building elements include people residing in them as well as business or trade aciviies that take place in them. Infrastructure elements include roads, water supply, sewerage network, power and transportaion services. Lifeline aciviies include hospital, schools, colleges, administraive setup, police and paramilitary, civil defence mechanism, etc. Risk (R) can be deined as shown in (1). R = H x V x A… (1) where, H is hazard and is expressed in probability of occurrence, V is vulnerability and is expressed as the exposure of the populaion/elements at risk, A is the amount of replacement cost and is expressed in monetary terms Hazard is represented by the hazard footprint of any disaster. Thus the hazard footprint of SLR would be the extent of inundaion in the region. Vulnerability would be the amount of people suscepible to inundaion and is calculated from 0 (no vulnerability) to 1 (complete vulnerability). Replacement cost would be the amount that 4 the local authority would have to spend in order to get back to ‘normal’ condiions. Based on the various socioeconomic condiions of the people, the efects of same hazard on a community will have diferent results in terms of risk. So risk assessment will result in a matrix of interacions between various hazards and vulnerabiliies. Quanitaive risk assessment provides a basis for raional decision making processes regarding risk. Risk management involves understanding and analyzing the risk producing aciviies. They can be divided into risk ideniicaion, risk analysis and risk reducion. The stages of risk management are: • Risk ideniicaion: This involves ideniicaion and analysis of types of hazards, vulnerability (both intrinsic and extrinsic) (Katuri, Sharii & van Westen, 2006) and the matrix of risk they result into; • Risk analysis: Understanding the resilience of the target populaion and local authority to cope with the situaion and bounce back to normalcy; • Risk control and risk reducion measures: Strategies and adaptaion measures provided to reduce the risk. 4. NEED OF THIS TYPE OF RESEARCH IN OTHER AREAS In India, a large amount of GDP contribuion and economic outputs is from coastal ciies. Also, a large amount of port related developments are taking place there. New ports are developed and thus trade aciviies are focussed on the Indian coast. The major share of Indian GDP is from foreign trade and exports. Mega-ciies like Mumbai, Chennai, and Kolkata lie along the coast, which houses a high concentraion of the Indian populaion. Several ports like Mundra, Kandla, Mumbai, Cochin, Chennai, Tuicorin, Paradip, etc. would be impacted, which would afect the Indian economy. Large numbers of investments are also coming up in the Indian coastal regions. Indian ciies are bustling with economic aciviies following the government’s iniiaive to set up Special Investment Regions (SIRs) under the Special Economic Zones (SEZ). Large numbers of these SIR’s are proposed on coastal areas. Moreover, the past hazard data shows that the coastal ciies are already vulnerable to disasters like tsunami and storm surge. The number of these events is also high. Thus with the new developments, a large number of people are atracted and migraing to coastal ciies. Therefore to safeguard the growing populaion and prevent investment in risk prone areas, this type of research is needed in other areas along the Indian coast. 5. DATA USED TO CALCULATE RISK A methodology of calculaing the coastal vulnerability has been discussed by Katuri and Shah (2011). Grid-wise populaion, economy and the populaion at risk is calculated for the enire Indian coast using LandScan2, 2008 data. Populaion and economy at risk associated due to inundaion and looding due to SLR at diferent scenarios is analysed. The study analysed the vulnerability based on intrinsic3 and extrinsic4 parameters. The inundaion and looding scenario were calculated with Shutle Radar Topography Mission (SRTM) and Bathymetric data by preparaion of Digital Elevaion Model (DEM). The analysis derived that from 1 meter SLR to 6 meter SLR the populaion at risk of the coastal districts varies from 6% to 24.2%. Figure 1. Map showing the geographic context 5 Figure 2 shows grids with higher amount of populaion which would be at risk or exposed to threat. Similarly the grids with higher economic outputs are calculated. Figure 2. Populaion in coastal districts of Gujarat I. DHOLERA SIR & AREA SELECTION Dholera Special Investment Region is a proposed major industrial hub which covers a land of 903sqkm enclosing 22 villages5, making a large investment node. The region lies in a Dhandhuka Taluka (Ahmedabad District), a coastal taluka in Gujarat State. The populaion of all 22 villages is 37, 000, as per Census 2001. The new investment aims to generate 343,000 base jobs which in turn would generate 483,000 jobs in support services in a 30-year ime frame. The jobs will support 2.5 million people and thus the anicipated target populaion of 2 million in the region would require the construcion of 500,000 dwelling units. The proposed region will be a well planned city with all infrastructure faciliies. The cost for providing the infrastructure is esimated to be 38, 870 million with an addiional operaing cost. The proposed density would be 63pph which is far high than the exising density. Due to proposed investments and proposed increase of populaion in coastal region where the projected threat is high due to SLR, a need for risk assessment arises. Figure 3. Digital Elevaion Model of Gujarat Figure 3 shows the Digital elevaion model generated which helps in analyzing probable inundaion areas due to SLR. Between almost 8% and 89% of the land under DSIR would be inundated at 1 meter to 6 meter SLR. Figure 4 shows the areas inundated in the region due to these SLR scenarios (Katuri & Shah, 2011). Since the area is already under threat, a micro-level analysis is required to provide miigaion or adaptaion strategies to ensure secured investments and to save endangered human life. 6 Figure 4. Probable inundaion areas II. AREA PROFILE A. Socio-Economic Proile Figure 5. Village-wise total populaion The total populaion according to Census 2001 living in the region is 37,000 and about 7,000 households. Distribuion of populaion (age, gender), caste (SC, ST populaions6) and occupaion (workers in diferent sectors) are analyzed to understand groups at risk. 7 Figure 6. Village-wise SC & ST under DSIR boundary Figure 6 shows that the maximum amount of populaion is in the Hebatpur village. The peripheral coastal villages are Bavaliyari, Mingalpur, Bhangadh, Mahadevpura, Rahtalav. Theoreically, SC & ST people are at higher risk due to their socio-economic background. Figure 7. Village-wise Working and Main Working Populaion Working populaion helps to derive the dependent populaion and associated economic output that could be at risk due to SLR. Muliplying working populaion along with per capita income (sector speciic) will help to derive sectorwise economy at risk due to SLR in the region. B. Building elements at risk Figure 8. Built-units at risk 8 Village-wise number of households and type of housing material is collected to analyse the number of households at risk during the ime of any unwanted disaster. Type of housing material for roof, loor and wall is collected and given weightage to analyse the villages with a higher number of vulnerable houses. For example, houses with grass, thatch, bamboo roof and mud plastered walls are at higher threat than cement concrete, brick and stone materials. C. Past Disasters Figure 9. Occurrence of lood and cyclone in past years The village-wise hazard occurrence data is collected to analyse the villages which are at a higher threat due to SLR induced looding. It also helps to analyse the amount of populaion afected/injured, loss of property, and crop damage in the region to analyse the areas of special concern. III. DATA ANALYSIS & OUTCOMES A. Time versus SLR Scenario According to A1B scenario of Intergovernmental Panel on Climate Change (IPCC), SLR would reach 1 meter in 2100 and a 0.5 meter raise would be seen in 2050. Determinaion of probabiliies and consequences help to deine an event and thus helps in quaniicaion for Quanitaive analysis. Thus these predicions as shown in Fig. 10 help to analyse the probability of event for risk assessment. Figure 10. IPCC Sea level rise predicions for India B. Risk Assessment Risk Assessment is carried out for building elements, populaion and economy at risk. The built elements present in the probable inundated areas are demarcated in the high threat zone. Human life at risk is calculated with two methods i.e. 1) Human populaion associated with the high risk built units and 2) Grid-wise populaion data analysis at 1x1 km derived from LandScan, 2008. The data is also interpolated to 2011 with the help of provisional growth rate provided by Census, 2011. 9 Table 1. Percentage of populaion under risk SLR PAR* PAR# PAR+ PAR+ Proposed Buildings at risk 1 mt. 78 3073 185 10000 495 2 mt. 482 4247 277 15000 730 3 mt. 4555 8675 444 24000 1735 4 mt. 17475 17283 647 35000 3140 5 mt. 31588 16919 925 50000 3939 6 mt. 36364 26277 N.A N.A 4783 Total 90542 76474 2479 134000 14822 * Derived from Grid-wise analysis (LandScan), #Derived from Houses inundated, +World Bank Projecions (Susmita Dasgupta et al., 2007) It is derived from the analysis that at 1 meter SLR, about 50% of the populaion of Bhangad and Mingalpur villages is at risk. The number of villages goes on increasing with the increase in SLR. At 6 meter SLR about 15 villages are likely to be looded. Amongst these 15 villages, about 100% of the populaion of 12 villages is at risk. Fig. 11 shows village-wise number of populaion exposed to higher risk due to probable looding situaion due to SLR. Figure 11. Populaion at risk due to SLR Table 1 show that at 1 meter, 495 building elements are at risk which increases up to 4,783 for 6 meter SLR. At 1 meter built units from 2 villages Mingalpur and Bhangad are likely to inundate. But at 6 meter, 15 villages out of the total 22 villages are at high risk. Figure 12 shows the village-wise built-units with a high probability of disrupion in a disaster situaion. Figure 12. Building at risk due to SLR 10 IV. CONCLUSION Policy makers need to verify the ground condiions before proposing any high net worth investment like SIR. Apart from the inancial input, there is going to be huge employment generated out of this which atracts more than 2 million people to reside in these environs. This research provides background for such investment and support to make a logical decision in terms of SLR. At least 8% (considering 1m SLR) and at most 89% of land (considering 6m SLR) would be inundated where investments in the tune of about $7600 million are proposed. So it is imperaive to idenify the risk and propose suitable risk miigaion and risk transfer measures before opening the land to development. Also land-development mechanisms, planning recommendaions and strict enforcement of the Coastal Regulaion Zone (CRZ) byelaws, monitoring the impacts of urban development, could be suggested to reduce the risk. This is only possible when all the stakeholders are consulted before making this inancial hub an economic engine. V. APPLICATION OF FRAMEWORK IN OTHER CITIES/REGIONS The framework and methodology adopted for the research is generic and can be applied to diferent coastal ciies and coastal regions along the Indian coast. Katuri and Shah (2011) have used a similar methodology to analyse the coastal populaion at risk for the enire 72 coastal districts in India (Shah & Katuri, 2011). The framework and methodology adopted is region speciic and can be used in diferent ciies/regions for successful data collecion and fulilling the data needs for the models and simulaions required. ACKNOWLEDGEMENTS Authors would like to thank ORNL for providing the LandScan data free of cost (not any more). Also logisical help extended by Prof. Utpal Sharma and Prof. Anil Roy PhD, in verifying the results is highly appreciated. NOTES 1 2 3 4 5 6 Sub-division of a district headed by a Taluka Development Oicer, TDO or locally called, talai LandScan data is obtained using an innovaive approach with Geographic Informaion System and Remote Sensing. ORNL’s LandScan™ is the community that generates data for global populaion distribuion. At approximately 1 km resoluion (30” X 30”), LandScan is the inest resoluion global populaion distribuion data available and represents an ambient populaion (average over 24 hours). In LandScan raster format, each pixel has a unique value which represents the populaion of that 1 square kilometre pixel. Vulnerability caused because of the internal characterisics of a populaion – e.g. poverty, illiteracy, presence of elderly populaion, etc. Vulnerability caused by external factors, like hazards Drat Development Plan of Dholera Special Investment Region htp://dholerasir.com/Development_plans/Drat DevelopmentPlan01.pdf accessed on 15th July 2012 Historically disadvantaged people in India, who are provided with special beneits by the Consituion of India REFERENCES Birkmann, J. (2008). Assessing Vulnerability Before, During and Ater a Natural Disaster in Fragile Regions: Case Study of the 2004 Indian Ocean Tsunami in Sri Lanka and Indonesia (Rep. No. 2008/50). Helsinki: UNU-Insitute for Environment and Human Security. Brenkert, A. L. & Malone, E. L. (2005). Modeling vulnerability and resilience to climate change: a case study of India and Indian States, Climaic Change, 72(1), 57-102, 2005. Building Material and Technology Promoion Council [BMTPC]. (1997). Vulnerability Atlas of India. New Delhi, India: Author. 11 Environmental Protecion Agency [EPA]. (2007). EPA and NOAA, ALOHA Technical Descripion. US: Author. Indian Network for Climate Change Assessment [INCCA]. (2010). Climate change and India: A 4X4 assessment - A sectoral and regional analysis for 2030s [INCCA Report]. New Delhi, India: Ministry of Environment & Forests Government of India. Internaional Federalion of Red Cross and Crescent Socieies [IFRC]. (2010). World disasters report 2010, focus on urban risk. Lyons, France: Imprimerie Chirat. Katuri, A. K., Sharii, M. A. & van Westen, C. J. (2006). Urban mapping and land use characterisaion for risk assessment. Presented at the 2nd internaional symposium on Geo-Informaion for disaster management Gi4DM: Remote sensing and GIS techniques for monitoring and predicion of disasters (p. 7), on September 25-26, 2006. Goa, India: Himanshu Publicaions. Kheirkhah Zarkesh, M., Stroosnijder, L., Meijerink, A. M. J. & Sharii, M. A. (2005). Decision support system for loodwater spreading site selecion in Iran. Netherlands: Wageningen University. Naional Research Council. (2007). Successful response starts with a map: Improving geospaial support for disaster management. Washington, DC.: Author. Parasuraman, S. (2000). India disasters report, towards a policy iniiaive. USA: Oxford University Press. Prerak, S., Ajay, K. (2011). Exposure of coastal populaion of climate change. Chennai, India: Satyabama University. Scholten, H., Fruijter, S., Dilo, A. & Borkulo, E. (2008). Spaial Data Infrastructure for Emergency Response in Netherlands. In S. Nayak & S. Zlatanova (Eds.), Remote sensing and GIS technologies for monitoring and predicion of disasters (pp. 179-197). New York: Springers Berlin Heidelberg. Susmita, D., Benoit, L., Craig, M., David, W. & Yan, J. (2007). “The impact of sea level rise on developing countries: A comparaive analysis (Rep. No. WPS 4136). Washington, DC.: World Bank. Taleai, M., Mesgari, M. S., Sharii, M. A. & Sliuzas, R. V. (2005). Spaial decision support system for evaluaion various land uses in built up urban area. In ACRS 2005. Proceedings of the 26th Asian conference on remote sensing, on November 7-11, 2005 (p. 9). Hanoi, Vietnam: Asian Associaion on Remote Sensing (AARS), Geoinformaics Center, Asian Insitute of Technology. Unnikrishnan, A. S., Kumar, K. R., Fernandes, S. E., Michael, G. S. & Patwardhan, S. K. (2006). Sea level changes along the Indian coast: Observaions and projecions. Current Science, 90(3), 362-368. Van Westen, C. J. (2006). Risk Assessment - reading material for ITC. NB, Enschede: University of Twente. Zlatanova, S. & Templi, K. (2000). Modelling for 3D GIS: Spaial analysis and visualisaion through the web. Internaional Archives of Photogrammetry and Remote Sensing, XXXIII, pp. 1257-1264. 12 IDENTIFYING THE POTENTIAL OF TRANSIT-ORIENTED DEVELOPMENT AROUND EXISTING RAILWAY STATIONS: STUDY OF YOGYAKARTA, INDONESIA Alyas Abibawa Widita Research Assistant, Department of Architecture and Planning, Universitas Gadjah Mada, Indonesia Erasmus Mundus Exchange Student Program 2010-2011, Escuela Técnica Superior de Arquitectura y Geodesia, Universidad de Alcala, Spain E-mail: abi.widita@gmail.com ABSTRACT Yogyakarta has been undergoing unprecedented spaial expansion. Scanning through geographic images of the region’s development over decades, a dramaic transformaion of the land has been observed. Yogyakarta’s development has now been characterized as endless sprawl illed with arrays of low-density housing. This agglomeraive-led development has caused environmental consequences: other than the gradual decrease of producive land area, this car-centered model has been polluing the environment. Within a framework to lessen environmental impact of agglomeraive development, a concept of focusing compact development around transit faciliies (transit-oriented development) emerges to alter the current sprawling trend. Exising railway corridors in Yogyakarta demonstrate potencies for focusing development around transit faciliies (railway staions), for a number of reasons: (1) land is abundant, as most of the areas around the railway staions are not intensively developed yet, (2) staions along railway corridor are located conveniently with the exising infrastructure (road network, urban bus), providing opportunity to integrate with the exising spaial system, (3) most areas around staions are located outside the agglomeraive development ring, ensuring the availability of afordable land. In addiion, to examine the signiicances of transit-oriented development, a comparaive study was conducted by studying the morphology of urban area in Comunidad de Madrid, Spain. With the potencies that the exising railway corridor conveys, Yogyakarta is at a ipping point to densify its suburbs along the railway instead of developing market-driven low-density housing built around the car. Within the terms and principles of transit-oriented development, car-centered sprawl which threaten and gobbles producive land and resources can be minimized. Further research must underline the percepion and paricipaion of authoriies, developers and communiies in transit-oriented development, which is sill rarely being ideniied in the current Indonesian context. KEYWORDS: Transit-oriented development, Railway corridor, Yogyakarta 13 1. INTRODUCTION The main challenge of urban development in developing countries is, among others, the expansion of urban area. As ciies in developing countries spread out faster than quanity of people that inhabit them, on average they are geing less dense by 2 percent each year (Angel quoted by Kunzig, 2011). Cheap transportaion and rising incomes (of middle-class) are also driving forces that cause the expansion of urban area (Ibid). In current Yogyakarta’s context, those two factors cheap transportaion and rising incomes of middle class apply. Even the situaion has become more problemaic due to the market. People have been able to bring back cheap transportaion (e.g.: motorcycle) even without any down payment (Roychansyah, 2010). The aforemenioned issue is also complemented with the residenial locaion choice, which resembles what Ebenezer Howard emphasized: people want nice houses with gardens, as relected by the coninuous trend of people in Yogyakarta seeking residenial locaions in peripheral areas and moving out of the city (Subanu, 2008), which has led to auto-centered sprawling development. The mechanism to oversee this current development can also be analyzed through consuling data such as poverty level indicator, as exempliied in igure 2. This diagrammaic map showcases the poverty level of districts in Yogyakarta. From the aforemenioned igure, it can be concluded that capital investment in Yogyakarta is paricularly concentrated towards the north and south of the city, dominantly in Sleman and Bantul regency. However, an interesing inding showed that the poverty level did not always fall in the districts far from the city as epicenter of economic aciviies. Pakem and Turi districts—which are situated very far to the north of Yogyakarta have lower levels than their neighbor districts located closer to the city area. Thus, it can be inferred that the variables of residenial locaion choice are not solely dominated by the proximity to the city center and the availability of advanced infrastructure found in urban areas, but also take into account the preferences of people to live in less dense and (more) tranquil areas, however remote the residenial milieu is. Those aforemenioned facts reairm the current expansion trends in Yogyakarta which rely heavily on sprawl and automobile-based development. As this sprawling development patern gobbles environment and disrupt economic compeiiveness of the regions, the need to alter the current development patern has intensiied. Source: Author, 2011, adopted from sequenial image map by Bakosurtanal Figure 1. Illustraive Sequence of Urban Expansion of Yogyakarta Source: Author, 2011, adopted from Daerah Isimewa Yogyakarta in Figures Figure 2. Poverty Level Graphic Bar 14 The agenda to alter current sprawling trends led to various ideas, hypotheses and concrete acion. One is, among others, the agenda of state and local governments to integrate transport and land use development at railway staions (Bertolini, Curis &Renne, 2009). Although the agenda might be named diferently from one place to another, the basic philosophy of the agenda to expand and concentrate urban development within comfortable walking distance around transit-hubs in order to support transit use has been widely named as Transit-Oriented Development (TOD) (Bertolini & Spit, 1998; Ditmar & Ohland, 2003). 2. LITERATURE REVIEW AND RESEARCH FOCUS Research on TOD has been thoroughly examined in many perspecives and by scholars and praciioners all around the world. Scanning throughout the globe, in North America the term of transit-oriented development was coined by Peter Calthorpe (1995). Later on Ditmar and Ohland (2003) ideniied the typology of TOD area and showcased the best pracices of TOD throughout urban and suburban America. While in Europe, the basic philosophy of TOD blossomed within railway staions’ redevelopment plans (Bertolini & Spit, 1998). Asian countries have also grasped the principles and produced good models of TOD, e.g.: Singapore (Cervero, 2009). The ideas, concrete acion and implementaion of TOD found in many ciies and regions all around the world airm the beneits of TOD. Accessibility to public-transport as an alternaive to automobile-based land uses and sustainability of urban development are the two compelling arguments which drive state and local governments to pursue transit-oriented development (Bertolini, Curis & Renne, 2009). Ditmar and Ohland (2003) also summarize (as seen in table 1) the beneits of TOD for diferent actors both in short-term and long-term value. Table 1. Beneits of Transit-Oriented Development Stakeholders Landowners Short-Term Value Long-Term Value Potenial for increased land value Funders (short-term) Potenial for greater security of investment Developers • • • • • Quicker approvals (reduced cost and uncertainty) • Beter reputaion Increased public transport • Future collaboraions more likely Higher sales value Disinciveness Increased funding potenial (pub-lic/private partnering) • Allows diicult site to be tackled Design Professionals Increased workload and repeat commissions from Enhanced professional reputaion high-quality, stable clients Investors (long-term) • • • • Higher rental returns Increased value assets Reduced running costs Compeiive investment edge Management Agents Easy maintenance of high-quality materials Occupiers (tenants) Public Interests • Happier workforce • Beter producivity • Increased client conidence • Regeneraive potenial (encouraging other development) • Reduced public/private discord Community Interests • Reduced public-expenditure (on crime prevenion/urban management/urban maintenance/health) • More ime for posiive planning • Increased economic viability for neighbouring uses • More sustainable environment • • • • • • Beter security and less crime Increased cultural viability Beter quality of life More inclusive public spaces Reinforced sense of place Higher property prices Source: DItmar and Ohland, 2003 15 The beneits of TOD are then being studied based on the case of Yogyakarta. Through literature and comparaive study this paper outlines and invesigates the potenial of TOD as an alternaive to the current private vehiclecentered development model in Yogyakarta. Observaion to illustrate the urge to embrace the principles of TOD is based on irsthand experience assessing the walkable, transit-enable districts and regions in Comunidad de Madrid, Spain. 3. RESULTS AND DISCUSSIONS 3.1 Yogyakarta Urban Development in Relaion with Railway Corridor: Comparaive Study The main challenge of urban development in developing countries is the expansion of urban area or sprawl, and Yogyakarta is no excepion. To recognize the current sprawling size of Yogyakarta agglomeraion area compared to other regions, a comparaive study of Communidad de Madrid was conducted. Figure 3 illustrates explicitly that the size of the urban area of Yogyakarta has already exceeded the size of Madrid metropolitan area, though the populaion of Yogyakarta urban agglomeraion area is only one-third that of the Comunidad de Madrid. In the context of rail infrastructure availability, Comunidad de Madrid maintains 9 commuter railway lines, in contrast with Yogyakarta, which only relies on a single railway line used by both commuter and intercity lines. Source: Author, 2011 Figure 3. Comparison of Yogyakarta agglomeraion area and Madrid metropolitan area in regional context Figures 4 and 5 illustrate the basic evidence of diferent urban development in Yogyakarta and in Madrid: the integraion of transport and urban fabric. Comparing the Prameks commuter line in Yogyakarta and C-7 Cercanias in Madrid (marked in red line), it is evident that small ciies or pueblos (e.g.: Alcala de Henares, Torrejon de Ardoz, San Fernando de Henares, et cetera) in Communidad de Madrid are connected conveniently with the city center through the public-transit corridor to create regional transit within roughly 30 km of the city center (Bertolini, Curis & Renne, 2009), contrary to the phenomena found in Yogyakarta where urban development is not focused around a public-transit corridor. Source: Author, 2011 Figure 4. Comparison of Yogyakarta agglomeraion area (let) and Madrid metropolitan area (right) in term of railway network with the built urban area 16 Source: Author, 2011 Figure 5. Urban development along railway corridor in Yogyakarta (let) and in Madrid (right) With roughly 6 million inhabitants in Communidad de Madrid and nearly 3 million people living in Madrid metropolitan area, the size of developed land in Madrid metropolitan area is similar to the size of developed land in Yogyakarta agglomeraion area (Aglomerasi Perkotaan Yogyakarta) as seen in igure 5. However, within the similar size with Madrid metropolitan area, Yogyakarta agglomeraion area has roughly 1 million inhabitants, a third that of the Madrid metropolitan area. These facts relect the need to alter the current dispersed development, which gobbles land, through integraing land use and the transport system. In Yogyakarta’s current context, concentraing and compacing development around railway staions is desirable. 3.2 Focusing Development around Exising Staions towards Transit-Oriented Development Focusing development around a public transit corridor (railway staions) has been a key aspect to lessening high density stress and pressure in the city center by decentralizing urban development along public-transit corridor (Yang & Lew, 2009). Based on their indings from Singapore’s experience, Yang and Lew (2009) emphasized and warned that decentralizaion schemes may cause rising private car and motorcycle use. Thus, to overcome the rising private vehicle ridership issues, concentraing urban development within comfortable walking distance from a transit staion is necessity (Calthorpe, 1995, as cited in Yang & Lew, 2009). Source: Author, 2011, adopted from the Daerah Isimewa Yogyakarta in Figures Figure 6. Populaion distribuion is uncorrelated with the railway infrastructure 17 In Yogyakarta, as urban development is mouning based on agglomeraive development on a car-centered model, concentrated density dispatched from public-transit/railway corridor. Figure 6 illustrates that many districts which don’t have railway line are surprisingly dense compared to districts which have railway lines. Based from these indings, it can be concluded that concentrated density or urban development in Yogyakarta is not based on the existence of railway corridor. In some extents, it even neglects the corridor. 3.2.1 Abundant Land Available around Railway Staions The main factor which makes the study of transit-oriented development in Yogyakarta more compelling is that the area around railway staions hasn’t been heavily developed yet. Consuling satellite images and through ield work in the area surrounding railway staions, it has been found that the majority of land around railway staions is sill vacant. As exempliied by igure 7, indings from Kalasan (15 km from city center) and Prambanan (20 km from city center), illustrate that the majority of areas around railway staions are less developed. Source: Google Earth, accessed 2010 Figure 7. Development fabric around various railway staions, (from let to right) Kalasan and Prambanan Compared to the urban fabric around railway staions in, for example, Alcala de Henares, the development fabric around railway staions in Yogyakarta - for example, Prambanan - is far less dense. Figure 8 illustrates the diference in urban fabric within a 500 metre radius of the railway staions (marked in red) of Alcala de Henares Madrid and Prambanan, Yogyakarta. Source: Author, 2011 Figure 8. Development fabric around railway staions within 500 metres radius; Prambanan staion, Yogyakarta (let) and Alcala de Henares, Madrid (right) As lower density triggers increasing use of private vehicle or motorizaion, densifying land around railway staions to enhance ridership as a primary objecive, and to create mixed-use, vibrant and healthy living environments as a subsequent beneit, is necessity. 18 3.2.2 Connecion with Exising Infrastructure System Other than the abundant land available as a development target to turn transit-oriented development into a concrete reality, another factor which makes the study of TOD even more appealing is that the railway corridor in Yogyakarta –and also its railway staions – are stretched side-by-side with the exising infrastructure system of the regional road. This fact suggests two important hypotheses: 1) railway corridor was once an important determinant of spaial development, and 2) the existence of a regional road provides transit alternaives to be combined with the public-transit corridor which has already been running on the regional road, e.g.: urban bus (TransJogja), to create a superimposed transit system. Source: Author, 2011, adopted from the Daerah Isimewa Yogyakarta in Figures Figure 9. Constelaion of Railway Line and Staions within Yogyakarta Infrastructure System The case of Prambanan triggers even more compelling evidence. In the previous secion, one can see the disinct density diferences between the area surrounding Prambanan staion and around Alcala de Henares staion in Madrid. The area surrounding Prambanan staion is less developed and is not focused to the staion as public transit corridor. Intriguingly, infrastructure nearby to Prambanan staion is more complete compared to other staions, for instance Kalasan staion. Other than its locaion near to the regional road linking to an adjacent city center, the transit links to the nearby staion have also been complemented with the existence of TransJogja, a governmentowned urban bus company, as well as a private minibus operator (named ‘Colt’ by locals). 4. CONCLUSION The case study of Communidad de Madrid highlights the bundled beneits of TOD, contrary to the private vehiclecentered model found in Yogyakarta. Within the framework to alter current sprawling development based on private vehicles, focusing development around railway staions is desirable in the current Yogyakarta context. Railway staions along the railway corridor in Yogyakarta indicate the potenial for development based on transitoriented development principles, due to 1) the abundant land available around railway staions, such as Prambanan and Kalasan, and 2) the proximity (and maybe in the future, integraion) with exising infrastructure systems. The development potenial of TOD around railway staions in Yogyakarta is indeed relevant with strategies adopted by the government to promote new growth centers. ACKNOWLEDGMENT I would like to thank Ikaputra, Ph.D. for helping me conduct this research. I also would like to thank Erasmus Mundus Acion 2 EuroAsia program for supporing the exchange program that allowed me to study at the Universidad de Alcala for 10 months (September 2010 – June 2011), and hence enabling me to conduct independent observaion in Comunidad de Madrid, Spain. 19 REFERENCES Bertolini, L. & Spit, T. (1998). Ciies on rails: The redevelopment of railway staions area. Netherlands: Routledge. Calthorpe, P. (1995). The next American metropolis: Ecology, community, and the American dream. United States: Prince-ton Architectural Press. Cervero, R. (2009). Public transport and sustainable urbanism: Global lessons. In C. Curis, J. L. Renne, L. Bertolini (Eds.), Transit oriented development: Making it happen (pp. 23-35). England: Ashgate Publishing Limited. Curis, C., Renne, J. L., & Bertolini, L. (2009). Transit oriented development: Making it happen. England: Ashgate Publishing Limited. Ditmar, H., & Ohland, G. (2003). The new transit town: Best pracices in transit-oriented development. United States: Island Press. Division of Integrated Data Processing and Staisical Disseminaion, BPS - Staisics of D. I. Yogyakarta Province. (2008). Daerah Isimewa Yogyakarta in igures 2008. Yogyakarta: BPS-Staisics of D.I. Yogyakarta Province. Kunzig, R. (2011). The city soluion. Naional Geographic, 220(6), 125. Subanu, L. P. (2008). Governing urban development in dualisic socieies: A case study of the urban region of Yogyakarta, Indonesia. In T. Kidokoro, N. Harata, L. P. Subanu, J. Jessen, A. Mote, E. P. Seltzer (Eds.), Sustainable city regions: Space, place and governance (pp. 41-60). Japan: Springer. Roychansyah, M. S. (2010). Kampung as core model of urban compacion development: Yogyakarta Iniaive. Paper presented at the 8th academic forum: To solve social provblem through art and cultural aciviies, Yogyakarta, 17 March 2010. Yang, P. P. & Lew, S. H. (2009). An Asian model of TOD: The planning integraion in Singapore. In C. Curis, J. L. Renne, L. Bertolini (Eds.), Transit oriented development: Making it happen (pp. 91-106). England: Ashgate Publishing Limited. 20 CONSERVATION AND REVITALIZATION OF A HISTORICAL INNER CITY: THE CASE OF GEORGE TOWN WORLD HERITAGE SITE Badaruddin Mohamed1,2, Gelareh Abooali1 and Shida Irwana Omar2* School of Housing, Building and Planning, Universii Sains Malaysia, 11800 Penang, Malaysia Sustainable Tourism Research Cluster (STRC), Universii Sains Malaysia, 11800 Penang, Malaysia *E-mail: irwanizar@yahoo.com 1 2 ABSTRACT Heritage and cultural ciies are inherited from the past and have survived throughout contemporary life. Old cultural ciies embrace rare values that make them unique and valuable to their naion and, in some cases, to the world. This rarity and uniqueness are described by UNESCO as “outstanding universal value.” In July 2008, George Town was nominated as a World Heritage Site because it exhibits three outstanding values: its being a muli-cultural trading town, its being home to muli-cultural communiies, and its excepional architecture of shophouses and townhouses. Ater the nominaion, the common issues that confronted the site were conservaion management, revitalizaion, and economic aciviies. The management of George Town is also faced with the need to control gentriicaion. This paper provides an overview of the case of George Town and the challenges it faced ater its UNESCO nominaion. It also reports on the conservaion eforts that have been exerted thus far. KEYWORDS: Conservaion, Revitalizaion, World Heritage Site, Penang, George Town INTRODUCTION George Town, which is named ater Britain’s King George III, is the capital city of Penang State. Located on the northeastern cape of Penang Island, George Town (also known as “Tanjung” among Malays) was an important trading port in the Straits of Malacca, especially during the 1800s. As a port town, George Town rapidly atracted people of diferent descents: Europeans, Chinese, Indians, Bugis, Arabs, Armenians, Persians, Siamese, Burmese, and Sumatrans. The staring point of the travel industry in the Penang region dates back to the ime at which the region began engaging in trade with the West, followed by the Chinese; trade with other regions increased as more ships passed through the port (Drake, 2004). Begbie (1967, p. 9) pointed that the irst indicaion of a “tourist” in Penang was published in a travelogue in 1834. At the same ime, the irst hotels, such as Hotel de L’Europe, E & O, Runnymede, and the Crag Hotel in Penang Hill, were established as a response to Briish and European expatriates demand in the 19th century (Snodgrass, 1980). Since the early 1970s, the promoion of tourism in Penang has been focused on “sun, sand, and sea.” The 3S tourism was promoted to its maximum up to the 1990s (Cairns, 2002). Consequently, the cultural atributes of Penang, speciically George Town, were overshadowed by increased tourism. Penang then started to realize that it has lost the itle “Pearl of the Orient” assigned to this island in the 1960s and 1970s. Given the economic recession of the late 1990s, Penang began focusing on heritage tourism to sustain the development of the tourism sector. Since then, various projects have been iniiated in eforts to advance tourism and heritage development. The uniqueness of George Town lies in the fact that it is characterized by a cross between religious diversity, historic townscapes, and excepional living heritages. These heritages make George Town a worthy recipient of the UNESCO 21 World Heritage Site (WHS) itle, granted to the town on 7 July 2008. The lising demonstrates the success of the preservaion eforts of Penang’s muli-cultural heritage values, and elevates George Town to internaional status in terms of cultural heritage tourism. The George Town Heritage City is divided into two zones: the core and bufer zones (Figure 1), which occupy a 259.42 hectare site north-east of Penang Island and house 4665 historic buildings (Maimunah & Lim, 2009) (Table 1). The core zone is surrounded by the bufer zone, a 150.04-hectare band. Source: George Town World Heritage Oice (2008) Figure 1. The locaion and boundary of George Town Heritage City Table 1. George Town Heritage City zones. Area (hectare) Number of building Core Zone Bufer Zone Total 109.38 150.04 259.42 42.16% 57.84% 100% 2344 2321 4665 The George Town community believes that a WHS status will bring posiive changes, such as increased tourist arrivals, rising value of property, more prosperity to the locality, a gentriicaion process in George Town and its surrounding areas, and beter awareness and understanding among stakeholders (Shah, 2008). Notwithstanding these advantages, the perpetual struggle to maintain the status is a major challenge for Penang. Similar to other WHSs all over the world, George Town has been struggling to maintain a balance between economic aciviies and site conservaion. For instance, a year ater George Town’s designaion as a WHS, Penang was issued a warning by UNESCO; the site was in danger of losing its heritage status because the development of the heritage core and bufer zones did not conform to the guidelines approved by the World Heritage Commitee. The Penang State Government was compelled to take concrete acions to solve the problem. Thus, this paper aims to provide an overview of the post-inscripion challenges faced by George Town, as well as discuss some conservaion and revitalizaion aciviies that have been successfully implemented thus far. DEFINING HERITAGE Heritage generally pertains to “something that has been inherited from the past which can be passed on to future generaion.” The term “cultural heritage” has been used to refer to masterpieces of arisic and historic value, but this has been expanded to a broader deiniion as “everything that has a paricular signiicance to people” (Imon, Dioko, Ong & Kane, 2007, pp. 1–3). In 1965, the Internaional Council on Monuments and Sites (ICOMOS), included 22 the terms “monuments” and “site” in the deiniion, but the words “movable” and “immovable” are reserved for UNESCO in its reference to cultural property. Given the lack of standardizaion, most countries have not reached an agreement on of the deiniion of heritage. Internaionally, however, these naions agreed to include “tangible,” “intangible,” and “environment” in the descripion of the term. Covering all the cultural aspects of a community, intangible heritage refers to the combinaion of social values, tradiions, customs, family values, cultural habits (wedding, marriage, and delivery), cuisines, and tradiional medicines that disinguish a society from others (Brennan, 2005). Superposing the ASEAN deiniion with the aforemenioned descripions of tangibility and intangibility (proposed by UNESCO and ICOMOS), Farahani, Abooali, and Mohamed (2012) classiied oral and folk heritage under the following deiniion: popular cultural heritages were considered intangible cultural heritages, while structures, arifacts, and sites were known as tangible heritages (Table 2). Visualizing post-industrial ciies, Sieber (1997, p. 68) deines ciies as “places of work and play and as exising places because…” these features make ciies accessible to work and dwelling by the urban professional center, thereby contribuing to urban economy. Moreover, heritage and cultural ciies are “urban forms from the past that have survived into the contemporary city” (Ashworth & Tunbridge, 2000, p. 9). In this deiniion, researchers included both tangible and intangible cultural heritages that can be observed from all around. The old ciies are embellished by a “rarity value,” and imposed the criterion of “the older the fewer” (Ashworth & Tunbridge, 2000, p. 10). The rare cultural values of historical ciies are considered economic engines for tourism-based aciviies. Nevertheless, the disadvantages of mass tourism and unplanned heritage tourism are issues of concern (Timothy & Nyaupane, 2009). As a WHS, George Town faces the same challenge of balancing such issues. Table 2. Classiicaion of Cultural Heritage Cultural Heritage Tangible Heritage Structures, Artefacts &Sites Intangible Heritage Oral & Folk Heritage Popular Cultural Heritage & Human Habits 1. Dwellings 1. Folkway 1. Popular creaivity in mass cultures 2. Buildings for worship 2. Folklore 2. Popular forms of expression of outstanding aestheic 3. Uility structures 3. Languages & literature 3. Anthropological & sociological values 4. Works of visual arts 4. Tradiional arts & crats 4. Music 5. Tools and implements 5. Performing arts 5. Dance 6. Human creaions or combined human creaions and nature 6. Games 6. Graphic arts 7. Archaeological sites 7. Indigenous knowledge system & pracices 7. Fashion 8. Sites of living human communiies 8. Myths (with outstanding values due to its historical anthropological or ecological viewpoint or its natural feathers) 8. Game & sports 9. Architecture 9. Customs & beliefs 9. Industrial design 10. Rituals & other living tradiions 10. Cinema 11. Television 12. Music video, video arts & cyber in technologically-oriented & urbanized communiies 13. Habitat for the culture survival 14. Idenity of paricular living tradiions Source: Farahani, Abooali, and Mohamed, 2012 23 The Outstanding Universal Values of George Town, as indicated by UNESCO are (UNESCO World Heritage Centre, 2012) as follows: • It is a muli-cultural trading town. • It is a living tesimony to the muli-cultural heritage and tradiion of Asia, as well as European colonial inluences (muli-cultural communiies). • It possesses a unique architecture, culture, and townscape (excepional architecture of shophouses and townhouses). WORLD HERITAGE SITE STATUS STIMULATES GEORGE TOWN’S CULTARAL-HERITAGE TOURISM SECTOR As atracive places, WHSs are intended for people who ind fascinaion in sophisicated and elegant experiences. According to Rakic (2007), tourism is associated with the WHS status. George Town’s WHS status presents considerable potenial, especially for its tourism industry. The UNESCO lising can promote George Town and advance Penang’s diverse tourism industry. The change in status has inspired Penang’s key tourism players to be opimisic about the future (Chua, 2010). Chua (2010) described a WHS status as a git, and the exploraion of ways to capitalize on this status should be conducted in a responsible (sustainable) and planned manner. The immediate need of Penang’s tourism industry in general, and that of George Town in paricular, are for the stakeholders to work in concert for toward a common vision and mission: taking tourism in Penang to the next level. As Ho (2009) stated: …heritage award has been linked to the much discussed ‘culture-heritage tourism’ sector, believed to carry great potenial for driving the future growth of Penang tourism industry. This is in line with the growing numbers of global travelers seeking a diferent kind of holiday that is not packaged as a rushed shopping/sightseeing tour trip. Not surprisingly, many countries that heavily depend on tourism are increasingly gearing their tourism industry to cater for these ‘culture-vulture’ travelers, who are deemed a more proitable and sustainable market (p. 7). Hall and Piggin (2002) also indicated that: The potenial signiicance of World Heritage lising for tourism desinaions and atracions therefore makes it an ideal subject on which to evaluate the extent to which the tourism industry understand the nature of heritage visitor atracions as well as the management regimes that surround them (p. 403). In parallel with the rising interest in heritage tourism and the global inlux of alternaive tourists, the number of tourist arrivals in Penang has steadily increased over the past few decades. As reported by the Penang State Tourism Oicial Website (2011), Penang was visited by 6.3 million tourists in 2008, excluding those who visited Penang by cruises and day trips, as well visiing friends and relaives. In 2007, 5.1 million tourists visited Penang, indicaing the clear beneit that the region has derived from its being granted a WHS status in 2008 (Figure 2). In addiion, the lourishing number of tourists who are willing to visit the region resulted in high occupancy rates for city hotels compared to those for beach hotels (Malaysia Associaion of Hotels, 2012) (Table 3). Source: Ministry of Tourism Malaysia, Tourism Malaysia, Penang Development Corporaion, Penang Global Tourism (2012). 24 Figure 2. Tourist arrivals to Penang, 1990-2011 Table 3. MAH monthly occupancy & average room rate report, 2009-2010 Month Beach Hotel City Hotel 2009 2010 Growth % 2009 2010 Growth % Jan 60.18 54.26 -9.8 48.00 53.83 12.1 Feb 58.80 57.39 -2.4 50.03 54.22 8.4 Mar 55.48 56.15 1.2 50.90 56.38 10.8 Apr 54.80 54.17 -1.1 51.11 56.52 10.6 May 52.90 52.71 -0.4 49.62 56.53 13.9 Jun 55.77 54.79 -1.8 54.98 58.65 6.7 Jul 55.82 57.91 3.7 56.46 60.38 6.9 Aug 56.95 57.27 0.6 57.62 60.57 5.1 Sept 51.31 57.55 12.2 57.34 60.37 5.3 Oct 51.50 57.14 11.0 57.75 60.82 5.3 Source: Malaysia Associaion of Hotels, Penang Chapter. CHALLENGES CONFRONTING GEORGE TOWN AFTER ITS NOMINATION George Town has been confronted with criical development pressure beginning from the early days of its WHS nominaion. As reported by See (2008), 12 pre-war houses in the inner city, paricularly in King Street, Beach Street, Victoria Street, Kimberley Street and Jalan Dr. Lim Chwee Leong, were demolished or renovated only ater a month of nominaion without consideraion for the heritage guidelines (Figure 1). The owners took advantage of the grace period to implement desired improvements to the buildings before the new heritage building guidelines were strictly enforced. Despite the fact that nominaion can increase businesses, especially tourism, drasic changes were caused by land-use from housing and tourism-related businesses. Although type and use of buildings are strong parts of the culture of George Town, appearance and use are under serious risk because of uncontrolled development. The need for more tourism faciliies resulted in the restoraion of historical buildings so that these can serve as hotels, guest houses, or restaurants and cafés (Figure 2). These restoraions were applied to the heritage core zone, which covers Jalan Muntri, Light Street, Beach Street, and Love Lane (Kow, 2012). Figure 1. Demoliion and illegal renovaion of heritage buildings Figure 2. Building conversion into bouique hotel Nominaion also posiively afected land and property pricing in the WHS. The price of land and properies within the heritage zone signiicantly increased ater the nominaion. As Wong (2012) stated: Before 2008 - the year George Town was jointly listed with Malacca as UNESCO World Heritage Sites - pre-war shophouses in Penang were generally going for about RM200,000 to RM800,000 depending on size and locaion. In 2009, an unrestored shophouse of 10t by 36t in Lorong Chulia only cost RM150,000, but the asking 25 price has since jumped to over RM300,000 of late. Now, the asking price of even the smallest shophouse that spans only 11t by 30t in Lorong Toh Aka is already RM600,000. Nearby, in Lorong Carnarvon, one unit of 17t by 100t has been sold for RM1.2mil, while Lebuh Amernian shophouses can fetch RM3mil each. Figure 3. Heritage building for sale According to Neil Khor, from Think City (as cited in Beng, Chua & Quah, 2011), increasing real estate prices, as well as the emergence of bouique hotels, restaurants, and the lourishing hospitality industry, have also been experienced by other heritage cites. Furthermore, another project, namely, The Malaysia My Second Home program fueled the development of the housing and real estate sector (My Next Home Malaysia, 2012), as well as simulated the buying and selling of assets in the WHS. Conversely, the populaion has been confronted with diiculies in coping with the heritage status. As foreign investors come in, local ownership of properies diminish. As buying and selling increased, every day, 85% of the residents in George Town are compelled to move out because they do not own property (Figure 3). Lee, Lee, Yusof, and Tan (2008) reported on the preferences and perspecives of the residents in George Town with regard to the conservaion of the site as a heritage city, indicaing the following: The abolishment of Rent Control Act in 2000, the designaion of conservaion zones and the rapid developing economic aciviies have changed the townscape and living sphere of inner city George Town. Due to rapid development in the suburban areas of Penang, many residents of George Town have moved out and this has turned the once vibrant city into a declining state with many abandoned and dilapidated buildings (p. 2). To date, 83 out of 120 heritage buildings in the inner city of George Town are primarily owned by European and Singaporean irms (Kow, 2012). Ooi (as cited in Beng et al., 2011) believes that “the gentriicaion” of locals is not an occurrence in George Town and people are not moving out of the town because of displacement. In contrast to Ooi, Nasuion, the president of Penang Heritage Trust (PHT) (as cited in Chua, 2010) argues that the gentriicaion of George Town is a phenomenon that should be considered: Ensuring George Town can maintain its WHS status is a balancing act. On one hand we see a need for more hotel rooms in and around heritage area, but height restricions need to be followed. However, with the emergence of bouique hotels in George Town, the heritage areas are undergoing gentriicaion. It can be tricky making sure that we have a win-win situaion for all involved. Engelhardt stated: Heritage conservaion has nothing to do with tourism. If you only preserve it only to sell it, you will be beter advised to develop an amusement park from scratch out of concrete. The worst thing you can do is to take the people out and let them inker with handicrats for the entertainment of tourists (Jenkins, 2008, p. 152). 26 To rejuvenate the WHS, tourism and other related or unrelated businesses should serve as pillars, and hold a holisic view of both economic beneits and conservaion. To these ends, some important points require consideraion: • The awareness and involvement of the local populaion are important. • People should have a sense of place and authenicity. • A needs mechanism should be established to retain people and culture within the city boundary. • A balanced representaion of culture is equally signiicant. CONSERVATION PLAN FOR GEORGE TOWN A policy on conservaion areas for George Town was irst introduced in the early 1970s (UNESCO World Heritage Centre, 2012) as part of the city’s urban area management plan (Tam, 2012). The rapid urban development in the mid-1980s gave rise to the public conservaion movement, which raised awareness on the importance of heritage preservaion. Consequently, in 1987, George Town drated its irst conservaion guidelines, called the “Design Guidelines for Conservaion Areas in the Inner City of George Town, Penang.” Two years later, the State Authority approved the 1987 Municipal Council of Penang Island Structural Plan. Conservaion areas were ideniied and included in the structural and local plans. The plans, however, provided no speciic legislaion for the protecion of heritage properies (Harun & Ismail, 2012). Thus, the Municipal Council of Penang Island introduced the “Guidelines for Conservaion Areas and Heritage Buildings in George Town” to replace the aforemenioned guidelines. The new guidelines included a full statement of the State Government’s policy for the ideniicaion and protecion of heritage buildings, conservaion areas, and other elements of the historic environment. On top of these eforts, the State Authority also implemented the Town and Country Planning Act 172 (1976), Amendment (1995), and Local Authority Act 171 (1976) to protect heritage areas and properies. Other than the strong support from the government, non-governmental organizaions (NGO), such as PHT, also played an important role in conservaion work (Tam, 2012). Established in 1986, PHT is dedicated to promoing the conservaion of Penang’s heritage, as well as to facilitaing cultural educaion programs. The State Government iniiated conservaion projects in the early 1990s. The irst building restoraion implemented was that for the Syed Al-Atas Mansion in 1993 (UNESCO World Heritage Centre, 2012). Other historic buildings that have been restored include Acheen Street Mosque, Fort Cornwallis, Sufolk House, Old Town Hall, High Court Building, M.M. Nordin Mausoleum, Kapitan Kling Mosque, St. George’s Church, Kok Hock Keong Temple, and Sri Mahamariamman Temple. The Federal and State Governments also implemented street improvements within the historic core area for beter vehicle and pedestrian movement (Harun & Ismail, 2012). In previous years, George Town has retained most of its colonial shophouses because of strict rent control. Since the repeal of rent control in 2000, however, many pre-war buildings have become at risk of being replaced by modern buildings (Tam, 2012). This is one of the reasons the city was placed under heritage monitoring by the World Monuments Watch, under the World Monument Fund (WMF). WMF itself commenced a project with American Express to restore buildings within the city’s Historic Enclave in 2005. This project is used by PHT to display the value of preserving valuable monuments. A training opportunity was provided by this project for contractors and carpenters to learn tradiional construcion techniques. Informaion boards were set up across the sites to enable the public to understand the beneits of restoraion. Ater George Town was nominated as a WHS, the government, NGOs, and private companies exerted more substanial eforts in conservaion work. Some acions taken, as highlighted by Maimunah & Lim (2009), are: 1. The Heritage Porfolio, under the Chief Minister of Penang; 2. The establishment of the George Town World Heritage Oice; 3. The Technical Review Panel; 4. The seing up of the Heritage Department at the Municipal Council of Penang Island; 5. The Heritage Advisory Panel; 27 6. 7. 8. 9. 10. 11. Awareness programs; Heritage impact assessment; Integrated conservaion management plan; Special area plan; Ideniicaion of George Town compeitors; and State Heritage Enactment. In addiion, three enabling laws have recently been used for conservaion: 1. Naional Heritage Act 2005 (Act 645); 2. Uniform Building by Laws 1984; and 3. Street, Building, and Drainage Act 1974. Since its establishment, George Town World Heritage Incorporated (GTWHI) has worked closely with many partners, collaborators, and stakeholders in the country to carry out conservaion work. Some examples of recent projects undertaken include the greening of George Town, establishment of a way inding system, implementaion of an intangible heritage inventory, and cleaning of the historic protestant cemetery (George Town World Heritage Incorporated, 2012). The greening project involved the improvement of the streetscape of Acheh Street-Armenian Street-Armenian Park, with the objecive of increasing walkability. This project is a joint efort between GTWHI, the Penang Municipal Authoriies, Think City Sdn. Bhd., and Penang Insitute. The way inding system is a program for improving and unifying the signage of sites of importance within the WHS. The irst phase of the program encompassed the Street of Harmony area, with the installaion of new direcional signboards, plaques, and maps to help visitors in terms of navigaion, as well as the provision of downloadable pdf iles on each of the 10 primary sites within this zone. CONCLUSION Being a WHS has both advantages and disadvantages. On this basis, we can conclude that the primary issues are as follows: • Being a WHS increases the number of tourists and brings more revenues from taxes and foreign exchange. • Property values increase. • Spill over to other industries occurs, thereby providing business opportuniies. • Cultural tourism promotes heritage conservaion and culture. The economic potenial of George Town’s WHS status will be a threat in the future if there is less consideraion of its negaive efects, such as: • Increased tourist aciviies, which result in congesion; • Alteraion of the use of buildings for tourism-related aciviies; • Social, economic, and environmental stress on communiies; • Gentriicaion of local people following the demoliion of living heritages; • Commodiizaion of culture; • Cultural drit; and • McDonaldizaion, as well as the emergence of Airport Crat. More or less, the problems associated with WHSs are common among sites, regardless of geographical locaion. Tourism and conservaion authoriies in George Town should adapt and apply successful experiences that correspond with the George Town context to control and minimize negaive efects. ACKNOWLEDGEMENT The authors would like to extend their appreciaion to the Universii Sains Malaysia for the Research University Grant enitled ‘Tourism Carrying Capacity’ [Grant No. 1001/PTS/8660011] that makes this study and paper possible. 28 REFERENCES Ashworth, G. J., & Tunbridge, J. E. (2000). The tourist-historic city: Retrospect and prospect of managing the heritage City. Oxford, UK: Elsevier Science. Begbie, P. J. (1967). The alaym penindo. Kuala Lumpur, Malaysia: OUP. Beng, O. K., Chua, R., & Quah, J. H. (2011). Life on the list, Penang economic monthly. Retrieved February 10, 2011, from htp://penangmonthly.com/life-on-the-list/ Brennan, M. A. (2005). The importance of incorporaing local culture into community development. (Publicaion No. FCS 9232). EDIS. Florida Cooperaive Extension Service, University of Florida. Retrieved February 10, 2011, from htp://edis.ifas.ul.edu/pdiles/FY/FY77300.pdf Cairns, S. (2002). Troubling real-estate: Relecing on urban form in Southeast Asia. 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Retrieved March 21, 2012, from htp://thestar.com.my/ news/story.asp?ile=/2012/3/21/metrobiz/10824184&sec=metrobiz. 30 QUANTIFYING SUSTAINABILITY IN ARCHITECTURE AND PLANNING-THE INDIAN CONTEXT Dipanwita Chakravarty Associate Professor Pillai’s College Of Architecture India ABSTRACT Sustainable design has become the order of the day. However, interpretaions of sustainability vary widely as it cannot be standardized for diferent contexts like varied cultures, diverse requirements, climate, technology, availability of resources and raw materials as well as socio- economic, ethnographic and spaio-temporal characterisics. However economic returns and raing systems require sustainability to be quaniied. Thus there is a need for a standardized internaional raing system which addresses these parameters and comes out with a lexible yet efecive analyical tool with substanial emphasis on site speciic micro–dynamics of design. Although there are internaional accreditaion systems like IGBC1 and LEED2 raings which envisage eicient management of energy and water and lay suicient stress on reuse and recycling, passive systems, renewable energy and air quality, when it comes to gold, silver and plainum raings many of the essenial aspects are missed out for commercial gain: for example, a huge west-facing glass façade in a tropical zone, leading to more heat gain. Sustainable design today is very much an urban phenomena but in a country like India where more than 65% populaion live in rural areas, the age old pracices, many of which are sustainable, need to be rejuvenated. The context of reference here are the vernacular climate responsive built forms and spaces with courtyards as microclimaic modulators, thick walls with high thermal mass, and lime concrete, local imber and brick with less embedded energy which can very well compete with modern zero carbon buildings. The present paper would endeavor a cost beneit analysis of the built forms (both urban and vernacular) to explore the performance standards with the help of a matrix with indicator tools like life cycle assessment of materials, psychometric parameters like humidity and thermal comfort in the built form, stack efect and day-lighing, space available per person, indoor air quality, polluion, opimizaion of basic services, passive solar design, use of renewable energy and post-build maintenance. The aim of this paper is to provide a categorizaion of sustainability assessment tools with the broader objecive of liting the understanding of sustainability assessment from the environmental-focused realm to a wider interpretaion of sustainability. Discussion focuses on if and how the tools fulill the objecives from the current understanding of sustainability assessment to a holisic approach in the urban and rural context. The paper will also explore developing inancial mechanisms like encouraging muli-iered comprehensive approach, creaing self-sustaining community property, assigning customer incenives to contractors, government intervenions like tax reform to encourage private sector investment, paricular support from willing inancial insituions like banks, grants to upgrade exising building stock and inputs from insurance and inancial bodies. KEYWORDS: Sustainable Development, India. 1 2 Indian Green Building Congress Leadership in Energy and Environment design 31 1. INTRODUCTION Green construcion provides signiicant beneits not only in terms of eicient resource use, but also health, liveability and human wellbeing. Green buildings also ofer substanial savings and high market demand. “By building green, developers save money by reducing construcion costs and creaing sustainable buildings that are in high demand. Owners save money by reducing operaion and maintenance costs, lowering uility bills, and increasing occupant producivity. Costs for green buildings coninue to decrease as materials become standard and praciioners become more proicient in new technologies.” (Acuf, et al., 2005) Hence the gains from green buildings may be not only social and environmental, but economic too. The scenario in India In India the annual growth rate of urbanizaion is 2.4% the average GDP growth rate is more than 7% and there are many mega infrastructure development projects on the anvil. Thus the energy consumpion is going to grow manifold in the coming years. Energy management and opimizing resources is a mater of paramount importance. The correlaion between GDP growth and electricity sales Figure 1. Trend in GDP Growth rate Energy Consumpion Patern/Consumer Proile in India Electricity is consumed by almost every sector in its day-to-day funcioning but on the basis of end-use, consumers of electricity can be categorized into the following seven categories: • Industrial • Domesic • Agricultural • Commercial • Public services • Railways • Others Figure 2. Energy consumpion patern in India Industry accounts for the greatest share (38%) of electricity consumpion, followed by domesic use (24%), agriculture (22%) and the commercial sector. There has now been a decline in agriculture and industry while domesic and commercial sectors have risen. Thus energy management in the domesic and commercial sectors would lead to a signiicant improvement in the naional scenario. The research will aim at understanding the energy requirements in terms of locaion, orientaion, planning, passive design approaches, mechanizaion and maintenance of built forms and come up with guidelines which are responsive to site microclimates, applicable not only in an urban context but also in rural vernacular India. (There are six hundred thousand villages and ive thousand towns and ciies in India). 32 Sustainable Development and Green Buildings in India In India generally the internaional standard IGBC* and the naional Standard GRIHA* are followed. The following are a few recommendaions of IGBC: Table 1. Prerequisites of sustainable development Category Sustainable Sites Descripion Reduce potenial construcion-related soil erosion, waterway sedimentaion and dust. Fundamental commissioning of building energy systems Energy & Atmosphere* Meet the minimum energy performance standards in ASHRAE 90.1-2004 HVAC units cannot contain CFC-based refrigerants Materials & Resources Indoor Environmental Quality Establish an area on the job site for recycling of building materials. A minimum level of Indoor Air Quality performance must be met to enhance IAQ in buildings, in order to contribute to the comfort and well-being of the occupants, with a venilaion system that meets the ASHRAE 61.1-2004 standard for Venilaion for Acceptable Indoor Air Quality. Environmental Tobacco Smoke (ETS) Control by prohibiing smoking in the building, locate any exterior smoking areas at least 25 feet from entrances, air intakes and operable windows. Another opion is to contain, capture and remove tobacco smoke from a room for smoking. In residenial buildings, the transfer of tobacco smoke between units must also be addressed by sealing wall, ceiling and loor penetraions. IGBC: Indian Green Building Congress , GRIHA: Green Raing for Integrated Habitat Assessment However following these recommendaions two selected buildings from the list of top ten Indian green Buildings have been studied here. Olympia Technology Park – Chennai The world’s largest LEED ‘Gold’ rated green building in India, built on an area of 1.8 million sq. t. with three towers on 8.4 acres of green space. ITC Green Centre - Gurgaon A pioneering example of green construcion in India, the ITC Green Centre was India’s irst ‘Plainum’ rated building with a focus not only on recycling and natural lighing, but also alternaive energy use, waste water reuse and other innovaive features. Figure 3. Examples of Green Buildings in India 33 These examples only talk of energy eiciency in terms of usage of customized green building material which are expensive. However they do not talk of integrated replicable systems which can be used for various segments of the society specially technology which are very site speciic ,use local climate responsive building materials and building systems. A few such examples are toda tribal hut, tradiional hill houses in India and rural houses designed on age-old principles. Indian vernacular architecture comprises a range of informal styles, typically constructed by builders without formal qualiicaions and using locally sourced materials. This architecture draws on indigenous tradiions and is suited to the varying environmental condiions across the country. Due to the widespread invasion of concrete, the beauiful Indian tradiional architecture is now losing its importance. However village houses are maintenance intensive and therefore require retroiing. Nonetheless they are sustainable and the green building movement in India is only possible by incorporaing the villages too and not only addressing the ciies, as 70% of our populaion sill live in villages. A Toda tribal hut A village hut in West Bengal A house in Kerala Tradiional home, Manali Figure 4. Examples of vernacular architecture in India Adopion of principles of vernacular architecture to evaluate sustainability Thus there is a need for development of a naional matrix where sustainability is addressed right from the selecion of site, orientaion, availability of building materials and construcion technique (site speciic issues) rather than always using sensors, expensive renewable energy techniques and extremely customized building materials as these escalate cost considerably and make it out of common reach. A suggesive matrix is given here. Site level indicators of a sustainable construcion project would typically involve life cycle assessment of materials, amount of embedded energy, minimal transportaion cost thus preferring local resource, amount of renewable energy used, recycling of water, minimizing thermal gain or loss, reducion in water generaion and use of solar passive design. Thus the following matrix can be used at site level. The approach has been devised in two categories - site level and urban level. Table 2. Suggesive Indicators for sustainable impact assessment (site level) No. 34 Indicators Impact Weight age 1 Life cycle assessment of materials Traces the material from its point of origin, manufacture, use at construcion site and post-use disposal (cradle to grave analysis) 10 2 Embedded energy The energy uilized in the manufacture and transport of a paricular material 10 3 Transport cost Cost of transportaion from producion site to construcion yard 10 4 Percentage of energy needs met by renewable resources Uilizaion of solar energy, wind energy etc. 10 5 Reducion in energy needs because of opimizaion in design and use of passive systems Following site contours, local microclimate, creaing suitable bufers, shadows, earth tunnel heat exchanger, double walls 10 6 Reducion opimizaion and Segregaion of portable water and lush water, rain water recycling of water, rain water collecion tank, water saving ixtures, recycling harvesing 15 7 Segregaion of waste, miigaing the amount of waste and recycling Segregaing biodegradable and non bio-degradable waste, soring and recycling yard in building, root zone treatment for sewage water etc. 15 8 Energy audit up-gradaion, post occupancy evaluaion and maintenance Metering energy used, comparison with standards, renovaion and retroiing, required intervenions for up-gradaion 10 9 Indoor air quality Volaile organic compound and toxic gases in the built environment 10 2. COST BENEFIT ANALYSIS “Earth provides enough to saisfy every man’s need, but not every man’s greed” Mahatma Gandhi, Father of the Naion - India. In a capital intensive, market oriented economy the decisions are oten taken at the cost of human or ecological concerns. Enough examples of economically poor communiies not acceping subopimal shelter soluions have been experienced widely across the world (suburban Dharavi experiment of MHADA in India and several such examples prove this beyond a point). Thus, for any technique used for analyzing cost-beneit for creaing shelter the few irst principles that can provide a balance in approach could be: 1. Build on local competencies for long term self-reliance (man, material, plan and other resources) 2. Ecological sustainability and energy eiciency 3. Ownership in a trusteeship management with the end user community 4. Planning and implementaion with the consensus of all stakeholders Stated here are a few indicators to understand and assess sustainable development of an urban habitat. These indicators endeavor to establish sustainable development not only in a environment-focused way but in a much more holisic manner. Table 3. Suggested indicators for sustainable impact assessment (urban level) Modules Socio-Economic development Indicators Assessing Tool-Urban context Poverty Literacy Nutriion Social Safety Employment Unemployment rate Employment growth Child labour Minimum wage coverage Producivity Health and Educaion Expenditure on social services Life expectancy at birth Infecious diseases mortality School enrolment rate Adult literacy rate 35 Infrastructure Social Integraion Refugees Deaths due to violence Access and afordability Cost to household income raios Water Source of water Piped water supply reliability and water leakage Sewage Sewage disposal Public Latrines Electricity Electricity Price Line losses Capacity to load raio Telephone Call compleion rate Infrastructure opera- Operaing cost to staf raio, new connecion to staf raio and ions revenue to operaion cost raio. Transport Transport Facility Fuel price , transport household budget share and transport fuel consumpion Environmental Management Road Infrastructure Length of road per vehicle and road congesion Road Vehicles Vehicles failing emission standards, automobile fuel consumpion and road fataliies Public Transport Public and mass transport seats, cost recovery from fares. Air quality Air polluion concentraion, emission per capita and acute respiratory deaths Water Percentage of TDS removed, cost of wastewater treatment, lowering of groundwater table, waste water recycled and level of treatment Solid wastes Biodegradable waste, recycling rate Average cost of disposal, cost recovery and industrial waste generaion Resources Depleion Energy usage per person, fuel-wood usage, renewable energy usage and food consumpion Disaster Miigaion Disaster Mortality. Housing on fragile land and fatal industrial accidents. Urban Enhancement Green spaces Monument list Local insitutes and Real Per capita Governance revenue Elected and nominated councilors, voter paricipaion rates, ciizen involvement in major planning decisions, decentralised district units. Local Paricipaion Housing 36 Afordable and adequate housing Mortgage afordability, excessive housing expenditure, economic share of housing, transacion costs and house price appreciaion Adequate housing for all Overcrowding, households per dwelling, inadequate housing, indoor plumbing, squater housing, homelessness, owner occupancy and vacant dwellings. Rural housing Rural water and electricity connecion, permanent rural housing, rural home ownership, rural house price to income. 3. THE WAY AHEAD Instead of focusing only on urban habitats, sustainable rural habitats using rural master plans that consider soil erosion and ferility, exising water tables, environment impact assessment, and the locaion of peri-urban and peri-rural industries, with suitable bufers to exising natural resources, are also necessary. Charing out hazard prone zones and considering disaster management plans is important for a comprehensive countrywide sustainable energy policy. A few urban buildings with plainum and gold raing will not be very instrumental in the overall naional scenario. The tools that can be used for developing an energy policy can be: • Evaluaion of exising scenario • Documentaion of best pracices • Ideniicaion and replicaion of wisdom from tradiional Indian vernacular architecture • Since India is a land of diversity, climate responsive and local material speciic norms should be formulated. • Using GIS based technologies for natural resource mapping, disaster zone mapping and sustainable inputs mapping. • The solar passive architectural techniques that have been adopted in a few breakthrough buildings need to be reviewed, retroited and augmented from ime to ime for their universal adopion and mass replicaion. Extensive data on energy audit and post occupancy evaluaion of exemplary buildings must be made available. • Simple techniques like solar shading cut down the energy requirement of buildings by 60%. Hence bale walls, shading from other buildings, trees and retractable building curtains aestheically integrated with high-rise buildings can be thought of. • Involving cratsmen and masons who have profound tradiional building knowledge in a naion-wide sustainable building movement where knowledge exchange, training and technical inputs can be given. • The hi-tech super commercial glass draped buildings should not be presented as the only icons of sustainable architecture. • Sustainable urban and rural habitats with comprehensive planning including decentralized waste water management, energy management and garbage management and opimizaion of resources like rain water harvesing, water recycling and garbage segregaion should be planned and protected by building bye-laws • Rather than piecemeal structures, an overall policy for sustainable urban pracices may be formulated which can incorporate the following: 1. Land use zoning and environmental planning of the city 2. Promoion of sustainable economies 3. Democraizaion of municipal management, inter-insituional co-ordinaion and use of concentraion as the management and co-ordinaion mechanism 4. Strengthening of social organizaions as well as youth organizaion and paricipaion 5. Capacity development for the management of environmental projects 6. Problem and risk prevenion 7. Prioriizaion of environmental problems 8. Ariculated problem management in order to obtain muliplying efects 9. Disseminaion and sensiizaion of public opinion through communicaion 10. Formaion of environmental champions and promoion of environmental educaion at all levels. Inputs developed from: FCPV. Source: Survey to paricipants in the Seminar on Local Agenda 21 for Ciies. (Lima, Nov. 25, 1998) Developing a viable inancial mechanism Approaches like encouraging muli-iered comprehensive mechanisms, creaing self-sustaining community property, assigning customer incenives to contractors, government intervenions like tax reform to encourage private sector investment, paricular support from willing inancial insituion like banks, grants to upgrade exising building stock and inputs from insurance and inancial bodies can go a long way towards supporing a sustainable building movement. 37 4. CONCLUSION 1. Sustainable approach to life - a mater of aitude rather than technology or architecture 2. Indian civilizaion has survived and thrived for the last 5000 years because of its tolerance, ability to adopt and amalgamate and its sustainable aitude 3. Key to happy, healthy and sustainable urban systems a. A sense of raionalizaion and equitable distribuion of resources, b. Sharing and community based management systems c. Good governance d. Transparent policies REFERENCES Arch Aluminum & Glass. (2008). Arch LEED Matrix Files. FL.: Author. Beatley, T. (1999). Green urbanism: Learning from European ciies. Washington, DC.: Island Press. Cotom-Winslow, M. (1996). Environmental design: Architecture and technology (showcase ed.). Oxnard, CA.: Pbc Intl. Magnus, B., Harris, A., Acuf, Z., Larsen, L. & Pumphrey, A. (2005). Building green for the future: Case studies of sustainable development in Michigan. Michigan: University of Michigan. Moughin, J. C., & Shirley, P. (1996). Urban design: Green dimensions. UK: Architectural press. Wikipedia. (2012). Indian vernacular architecture. Retrieved January 5, 2012, from htp://www.en.wikipedia.org/ wiki/Indian_vernacular_architecture. Williams, K., Jenks, M. & Burton, E. (2000). Achieving sustainable urban forms. London: Taylor & Francis. Wheeler, S. M. & Beatley, T. (Eds.). (2008). The sustainable urban development reader (Routledge urban reader series). UK.: Routledge. Report on Energy Eiciency. published by the Govt of India. Zeiber, L. C. (1996). Ecology of architecture: A complete guide to creaing an environmentally conscious building. New York: Watson-Gupill. Websites www.sigmetrics.org www.archdaily.com www.arch.wsn.edu www.futurearch.com Dow Jones sustainability index.wikipedia Sedac.ceisin.columbia.edu/es 38 COURTYARD TRANSFORMATION TO BLOCK PERIMETER MORPHOGENESIS–CREATING NEW URBAN SPACE WITH SMALL SCALE. CASE STUDY: OLD CITY OF GORGAN, IRAN Hadi Pendar Urbanism department, Associated Professor, School of Architecture and Urban Planning, Mazandaran University, Mazandaran, Babolsar, Iran. PhD student, School of Architecture and Urban Planning Shahid Beheshi University, Tehran, Iran E-mail: Hadi.Pendar@yahoo.com ABSTRACT Morphological regeneraion of residenial blocks in postmodern idenical urban fabrics is shaping a spaial typology of piecemeal and inner modiicaion in these blocks. Historical coninuity and natural trajectory of modiicaion seems to be disconinuous and needs a new kind of renovaion according to current trends, jointly using insights from local and global approaches. The results of this type of evoluion is faceless urban fabrics and weak spaial organic qualiies that can be seen in most of the fabrics that have transformed from tradiional to semi-modern in the current decade. Organic urban form, occurring from diferent layers, makes for unity and wholeness. This paper invesigates mass and space seing paterns and morphological order in view of local idenity and sustainable urban design. One of the most important quesions in this subject is: “how can we pursue humanisic quality in this postmodern organic urban fabric?” The research methods that have been used in this paper are pracical document content analysis to seek out fundamental concepts of today’s urban design literature on aspects of urban block transformaion and block perimeters. The paper is the result of theoreical and pracical experience that explain how density and permeability can be increased in one typical residenial block with over 50 units and some in-ill opportuniies between them. The paper’s indings are design criteria for the use of new shapes of courtyard citywide as block perimeters that do not have a long precedence in Iran, adaptable with social and cultural consideraions. This viewpoint could be generalized as a rule with a theoreical and pracical basis and become a pracical approach in transforming residenial blocks. KEYWORDS: Postmodern urban form transformaion, Perimeter block, Density regulaion combinaion and new pariioning INTRODUCTION The evoluion of urban planning knowledge in the last three decades has made this knowledge overtake the consideraions of macro architecture towards the guidance and promoion of environmental quality. Along with this, the posiion of local character and what should be the reagent of place is considered as criteria for the maintenance and promoion of local speciicaions, composing the most important strategy of urban planning in the ield of regeneraion and renovaion of the urban fabric. With the increasing awareness caused by changes of aitude 39 to the ield in today’s ciies, the historical fabric of ciies has transformed to a desired and hoped-for but rare as important as before. This paper is conducted on the basis of content cogniion of idenity and methods of new development that promotes its coninuity. DISCUSSION One of the problems with the historical fabric of Gorgan is the low penetraion rate and large scale residenial mega blocks. Breaking these blocks into smaller ones by considering the principles of physical and visual order of historical fabrics, public spaces and pathways is among the objecives of this paper. Residenial ields in historical fabric of Gorgan with a structural system based on disinct but related neighborhoods, whether objecively or subjecively, are transforming into places with discrete structure as ime passes. The unique character of this fabric is a combinaion of Iranian tradiional architecture and formaion based on natural and environmental criteria which are unique to the climaic area in the north of Iran. Most alleys ramiied from the main pathways of the fabric have caused visual diversity due to their organic patern. The organic form of the pathways and urban spaces have caused the formaion of a speciic image and landscape which is diferent from the parallel walls of checkered and regular pathways in new urban developments. Therefore, the special physical organizing interferences on residenial blocks are a way of maintaining and coninuing the shape and physical organizaion of proposed areas in diferent levels (walls, sky line, streets image and architecture of buildings) based on their historical and valuable idenity. One of the construcive layers of areas having local idenity is the morphologic and aggregaion system. Besides, in old houses there is a patern of construcion or relaions of diferent spaces which is sill funcional and can be used for new construcions at the required scales. This process leads to formaion of urban spaces with small scale in relaion to peripheral blocks at the micro level and green networks, providing movement and across the whole fabric. The issues related to urban planning are considered and redesigned in the format of 4 aspects of special-perceptual order, the physical system of order and order in public areas. The coninuous inner system and the network of green spaces, increasing the penetraion in an intelligent format and related to collecive memories and the phantasm of residents, making up elements of the special-perceptual system like the gate, sign and the spine of the main axis of the fabric which connect the broken mega blocks to the acive funcion of the fabric’s acivity. Design concerns related to size and shape of the block and the method of reformaion of mass and space by keeping the scale and height limits are among the most important indicators of physical order. Visual signs, image and landscape of interior and exterior view of small blocks and broken mega blocks in relaion to peripheral blocks and pathways have been among the most important qualiies related to visual order. Speciic principles of interior design for mega block and small-scale public spaces created inside it, coherent and coordinated to the funcion and interior and exterior aciviies, are among the most important issues related to order in public space. Cogniion of speciic idenity of spaial order Making historical fabrics with residenial blocks permeable is possible by breaking large blocks and transforming them to small blocks with a more human scale, with the possibility of walking and a people-friendly public space. The walking and vehicular pathways formed inside the block would increase permeability and make walking and biking safe and suitable while encouraging non-motorized movements. The openings to public space increase safety and security, while the diversity in the width of plots or the size of entrances would be more compaible with the organic essence of the fabric’s pathways. Curved blocks create more lexibility for residenial and commercial buildings in terms of interior aciviies. One of the concerns for designing development blocks in the wall of main streets is the point that we can disinguish the public elevaions facing the street and the backward walls (private ones), in condiions that the main access is achieved via the street and building’s main elevaion. In order to create lexibility, it is beter to have the edge of blocks on the perimeter of buildings. This would ensure the posiive relaion of buildings with each other and the yard, while avoiding the creaion of closed and passive elevaions to public and semi-public territory. 40 Cogniion of speciic idenity of physical order Applicaion of the blocking urban design principles in historical fabric seems necessary for beneiing from the new order of peripheral blocks. The block size is one of the most important issues related to human understanding and the image and landscape of the historical fabric. Breaking large mega blocks into smaller ones in order to increase permeability and facilitate walking and vehicular movement should be done by keeping mega block’s totality in smaller blocks. Facility of access to the main street and backward alleys, the ability to save a diversity of types and land-uses, the ability to create spaces with diverse physical structure, the ability of change and compaibility over ime are among the primary achievable principles from the study of historical block development which can be applied to new developments. The principles for the design of blocks in historical fabric is inluenced by the main qualiies of the urban organic forms which have inluenced the fabric’s formaion over ime. Criteria such as the path of organic movement, aqueducts and irregular patern of land ownership have had an inluence on their formaion. Rectangular peripheral blocks with their longest side facing the pathway are suitable in the fabric, while creaing coninuity in the walls and relaions between funcion with exciing aciviies. In such blocks, creaing corner elements and the use of urban furniture compaible to walking is more probable than other types. Since most available pathways in the fabric are connected organically, the creaion of non-geometric blocks is inevitable. On the other hand, irregular blocks can be used in order to respond to the topography and create centers like green spaces or local nodes in which the buildings’ elevaions should not be parallel. Cogniion of speciic idenity of visual order Visual signs and other urban central points are a great part of navigaion systems in paths. Besides being used as a base point, they create a sense of social security and sense of place. By objecive emphasis and appropriate design for mass and construcional forms we can obtain gate paterns or public, semi-public and private physical integrated spaces among blocks which create vitality in the interior spaces of the fabric. The structure of peripheral blocks provides the possibility of diferent designs and architectural proposiions in the interior side of the block, such as parking, private and public yards, and children’s playground. Dividing the blocks into smaller plots causes more diversity of forms and land-uses and the creaion of a more acive elevaion in the street. Commercial, oicial and residenial development can be setled variously with the central yard patern and the public spaces inside the new developments. In the main pathways ending at the street, in which there are local aciviies, emphasis and reinforcement of the idenity of old pathway and its values is possible by keeping local scale retailers and discouraging them from setling in the main street. Combining peripheral blocks can result in the creaion of local open space inside the block or a local square at the intersecion of streets and pathways. Cogniion of speciic idenity of public realm Developing a framework and an interior coninuous system of walking spaces in the fabric and inside mega blocks can ensure its connecion to other exising qualiies in the fabric. The current setlement patern of buildings and open spaces in the historical fabric specify the access to neighborhood centers and valuable buildings in the historical fabric. On the other hand, the necessity of maintaining the coninuity of pedestrian movement inside the fabric determines the situaion and available opportuniies for public and pedestrian space. Diversity in the height of buildings can add to the atracions of fabric, however it requires respecing the adjacent plot. Height diversiies shall be conducted with respect to the exising skyline of peripheral neighboring units and unless for excepional cases it should not exceed it. The buildings should have a clear deined relaion for the space created between them and also a coninuous relaion with acive elevaions adjacent to public spaces. Perimeter block Designing perimeter blocks in the old city fabric are proposed in order to make new developments proporioned to the historical fabric creaing the walls in pathways and beneiing from mixing land-uses. Breaking large blocks and transforming them to smaller ones with human scale would increase walkability and permeability. Form generaion is one of the most important issues of environment sustainability. Christopher Alexander believes that each endeavor for reaching to a more accurate sustainability instrucion in a form regeneraion process deeply related to social and cultural desires of local residents. The procedure makes the necessary foundaion for shaping new types 41 of morphological order that consist of linked block perimeters adaptable with local people’s lifestyle. Integrated and small scale urban spaces are the result of a special type of in-illed building layout in relaion with available valuable buildings in the shape of block perimeters linked together and to the block’s main inner axis. These spaces, depending on their linkages with the main block’s outer acive edge or inner pedestrian lows, give various characters. Private yards and gardens integrated with fore menioned urban yards and inner block greenway lead to variaion and increase contact with the green elements of the block interior. Block shape design guideline Since blocking with combinaion and pariioning in terms of the limits of ownership and exising pathways is required, the block sizes are diferent and designed with diverse lengths and depths which are also suitable for creaing diversity in mixed land-uses. Creaing gates at the entrance of peripheral blocks via physical emphasis of greater heights at the entrance, creaing corners or covered passage (sabat) at the local pathways with a depth of 10 m in peripheral blocks can create buildings with two elevaions having appropriate light in their interior spaces. Peripheral blocks with a depth of 10 m are appropriate for local or residenial land-uses, and a depth of 12 m is appropriate for retailers or commercial land-uses and they can be deined along the longitudinal axis so that they relect diverse building types. URBAN DESIGN PRINCIPLES OF BLOCK PERIMETER IN THE PUBLIC REALM Creaing linear green space Widening pathways with historical idenity in order to save valuable walls is not acceptable. Therefore this linear green path should be annexed to public spaces as a public passage with green features. Incorporaing private gardens By considering the gardens in each mega block and in order to achieve the policy of creaing a coninuous green network, the private gardens located along the linear green path as a part of public space need to be possessed and equipped. The buildings located in the linear green axis should have openings and main elevaions facing public space, and the setlement of abandoned elevaions should be avoided. Observance of the idenity of exising ploing Ploing of in-illed buildings and combinaion blocks located in historical fabrics should be compaible with exising types and paterns. Setlement of new bocks and plots requires compaibility with the historical idenity of Gorgan (central yard patern, walls, etc.). Visual transparency This indicator introduces the necessity for creaing physically permeable exterior walls at the edges of public spaces with a linear green network. This is done by creaing transparency in the exterior wall in a way that the green spaces located in public spaces add to the visual desirability of interior yards. Promoion of private green space Since the old fabric of Gorgan has narrow and slim alleys in some neighborhoods and there is not enough space to plant trees and bushes, thus reinforcement of private green space in the neighborhoods and planing lowers is done according to the vernacular architectural style and the climate of the region. Having colorful and fragrant lowers suspended from the walls creates a happy and vivid space which is memorable for any passer. In order to promote private green spaces with public funcions (air venilaion, creaing vitality, etc.), it is necessary to encourage people with the help of organizaions such as municipaliies. 42 Use of water element Appropriate use of water in architecture requires cogniion of the monumental aspects of this element, invesigaing the cultural inluences and responding to a large spectrum of human needs. In tradiional visual culture, water is known as the origin of all creatures. Also in this culture, diferent aspects of water are introduced in this way: lowing water is water of life or revitalizing water, while rain is the power of ferilizaion of the sky God, which is ferility. Opening to green space This includes opportuniies for creaing visual openings to the linear green axis or green areas from the interior spaces of the fabric or inversely the opening to private green spaces from public pathways by observing exposure and privacy. Valuable vegetaion should be kept in the fabric and if possible should appear by alleys ending at the subsidiary or main pathway. The linear green network encompasses registered buildings and historical houses along its path, which has to be combined with the menioned network as the public space (sidewalk path) and gain a physical and funcional appearance in it. URBAN DESIGN PRINCIPLES FOR BLOCK PERIMETERS FROM A PHYSICAL DIMENSION Mass & space Conformity of mass and space order and integraion of components in line with the design objecives, coninuity of idenity of old fabric, maintaining the valuable historical axis, achieving the desired surroundings in the development axis and the appropriate massing in the available places in the construcion and main pathways are among the most important issues of this component. Building forms and massing of in-illed buildings and combinaion areas can create semi-public and private spaces inside blocks as central yards in the common area of neighboring units or as urban plazas in public spaces. Coninuity of peaks According to the design principles and policies provided for the maintenance and promoion of the idenity of the old fabric of Gorgan, height emphasizes are created as one story increase in the building’s mass volume and consecuively due to diversity in the body and the sky line. Urban design principles of block perimeter from a visual dimension The component of visual order includes the control and guidance of visual qualiies in historical layers. In this regard, the most important issues which should be considered in the development of peripheral blocks are the edges with an acive axis and their compaibility with the historical idenity. The design guidance for visual order in combinaion developments include: visual adjacency and coninuity in the walls facing pathways and view to proposed green spaces inside each block, guiding the total image in conformity with the historical idenity. PRINCIPLES OF URBAN DESIGN RELATED TO ORDER OF PUBLIC SPACE IN DESIGNING PERIMETER BLOCKS Blocks A kind of integrated development beyond the architectural plan of a plot and in the form of development instrucion should be conducted, taking into account of the principles for designing historical fabric and the area in which the combinaion block is located. Introducing plan of combinaion area In order to create harmony and reinforce sense of place for the development of combinaion areas in historical areas, the combinaion should be done with a complete understanding of the principles and values of the historical area. 43 Current massing and access Permeability increase Massing of combine block Development in new combinaion blocks should be conducted in terms of the idenity of the exising historical urban landscape and the development of such blocks should be done integrally (gradually and over ime). Construcional forms and the massing of blocks in the combinaion area should lead to the creaion of semi-public and private spaces inside blocks as central yards and in the form of urban plazas (along coninuity of public sidewalks and development of tourism in the fabric) in urban spaces. The proposed patern for the physical development of combinaion blocks may not be achieved in a short period and at once. For this, it is necessary to establish the buildings irst at the edge of pathways and passages. It means that it is beter to make a posiive and dynamic relaion between public and private areas. This is because it is possible that in the primary steps of development there might not be enough building elevaions for the formaion of peripheral blocks. The roof and skyline should be protected and, if necessary, the clay and gable roofs should be repaired, especially in historically valuable areas, as one of the main elements of the historical idenity of Gorgan. Linear green space can be efecive in promoing efects of landscape and creaing vitality in the fabric, creaing an environment afected by nature. Also, they can act as a green passage accompanied by appropriate services for pedestrians, creaing a coninuous green system in the old fabric. CASE STUDY INTRODUCTION1 In order to evaluate the building density and proporion of exising open spaces in the old fabric, an opimized example has become the criteria for disincion and division which they results would be as follow. Gorgan’s historical fabric includes a range of large and small densiies. Separaing and renovaing of large grain buildings, which are mostly registered and historic, have not been permited during the development and evoluion of the fabric. In average and small size buildings, due to a new pariioning, the proporion of mass and space has been lost and open spaces have decreased. This has made a disharmonious aggregaion in the fabric. Due to the necessity 1 This part draws on the pracical experience of the Parhos urban design & planning associaion in Tehran: the author was one of its group members. 44 of keeping historical and valuable large size types during new developments, it is required to decrease density by adding small size types. This invesigaion of a part of a larger sample of urban fabric included a combinaion of perimeter blocks and in-illed buildings produced the following results for consideraion in execuive policies and soluions. The area of the exising pathways is 354.1 sq. m., the length of the pathways is 135.5 m and the average width of the pathways is 2.6 sq. m. According to this, it can be said that the percentage occupancy level in the exising situaion is 63%, which is an average occupancy level: this occupancy level is quite high for a historical fabric with large plots, villas and garden houses, and the pathways (amouning to 3% of the whole area) have a very low proporion and need to be increased in area and permeability. The sample of invesigated fabric (like most secions of historical fabric) includes one and two story buildings with an average building density of between 110 to 130 percent. The area of the whole case study is equal to 17604 sq. m. The occupancy level has to 69 percent, of which10% of the whole (mass and space) is occupied by a proposed linear green. The porion of pathways in this area has increased to 12% of the whole. CONCLUSION Not all old urban fabrics are totally valuable historical buildings, and parts of them include rusty and risky structures. But, as it is understood from their name, they are “fabrics” and not single valuable buildings. The coninuity of residenial paterns in central yards on a larger scale and in the form of peripheral blocks provide the possibility of increasing density while maintaining the character and speciic idenity of its aggregaion and morphology. The most important results of such designs and decreased density in the Gorgan’s historical fabric, as an example of historical fabrics in the north of Iran, include: making relaion between urban planning and the forms of social life, cultural and behavioral tendencies of residents with the vernacular fundamentals of order and the old construcion of residenial paterns with idenity, revealing and promoing remarkable qualiies of image, visual semioics and reinforcing their role in the regeneraion of residenial fabrics, organizing and expanding public spaial situaions as a provider of opportuniies and joyful and desired contacts, the vitality of collecive life, and the sense of relief and relaion in the yards between peripheral blocks and small scale public spaces in regenerated mega blocks. This viewpoint could be generalized as a rule, with a theoreical and pracical basis, and become a pracical approach in transforming residenial blocks. The generaion of new forms in a piecemeal growth process, with coninuous environmental adaptaion over ime, ensures an appropriate rate of morphology transformaion if the resident’s sense of wholeness is maintained. Given the efect of environmental qualiies on human health, the rate of transformaion must be seen as an efecive agent on resident’s mental and physical health and implemented as a guideline in current urban documents. REFERENCES Alexander, C., Ishikawa, S., Silverstein, M., Jacobson, M., Fiksdahl-King, I. & Angel, S. (1977). A Patern Language (Towns, Buildings, Construcion). USA: Oxford University Press. Anon. (2003). Prescot backs design code to build beter communiies. Regeneraion and Renewal, 28, 10. Lynch, K. (1972). What ime is this place? Massachusets, Cambridge: MIT Press. Prhos urban design & planning associate, Iran, Tehran Russell, J. (2002). Making new urbanism codes work. Proceedings of the 10th anniversary congress (CNU X), on June 15, 2002. Retrieved February 5, 2011, from htp://www.cnu.org/ Schaick, J. V. (2005). Muliplicity of temporal grains in the city as research subject in urbanism. In MM. Casanovas, MC. i. Ayah, JS. Bel. & AS. Garcia (Eds.). II PhD Seminar: Urbanism and Urbanisaion ,2 (pp.705-727). Barcelona, Spain: Universitat Politècnica de Catalunya. Sennot, R. S. (1986). Encyclopaedia of 20th century architecture. London: Routledge. Vitorio, M. L. (1985). Architecture and city planning in the 20th century. New York: Van Nostrand Reinhold. 45 QUANTITATIVE DESIGN PRINCIPLES OF URBAN MASSING FOR BETTER VENTILATION – COMPUTATIONAL FLUID DYNAMICS (CFD) ANALYSIS USING A SUSTAINABLE MASTER PLAN IN TROPICAL REGION AS A CASE STUDY Tang Yu Tina, Lam Siu Kei Kennethb, and Ho Ching Yinc, *, ** a,b,c AECOM Asia Ltd. Co. Rm 1501-10, 15/F, Tower 1, Grand Central Plaza, 138 Shain Rural Commitee Road, Shain, New Territories, Hong Kong * Member of Insitute of Physics (IOP) ** Correspondence author a E-mail: yt.tang@aecom.com ; kenneth.lam@aecom.comb; nelson.ho@aecom.comc ABSTRACT How the urban massing afects the urban venilaion and miigates urban heat island efect has become a concern for urban designers. The present study takes a CFD approach to generate quanitaive urban design principles for the wind dynamics in the sustainable master plan in tropical climate zone. CFD is used to quanify four design concepts: the building height raio to generate downwash to enhance pedestrian wind speed; the minimum width of wind corridor; the efeciveness of building forms with smooth geometry; orthogonal street alignment versus radial street alignment in shore to allow beter wind penetraion to the city. The simulated results are analyzed to generate quanitaive design principles in order to guide the urban massing design. The alternaive design shows beter venilaion performance compared with the baseline condiion. The proposed quanitaive design principles can provide guidelines to urban designers with wind dynamics concerns and can also be used as general design role-of-thumbs in urban design guideline. KEYWORDS: Master plan; Urban massing; Urban design; Computaional luid dynamics (CFD); Wind dynamics 46 THE IMPORTANCE OF NEIGHBOURHOODS IN THE CONTEXT OF SUSTAINABILITY: THE OTTOMAN NEIGHBOURHOOD ADMINISTRATIVE SYSTEM I. Bâkir KANLI Faculty of Architecture and Design, Zirve University, Kizilhisar Campus Block B Room 410 27260 Sahinbey/ Gaziantep/TURKEY Tel: +90 342 211 6666 (ext. 6829) Fax: +90 342 211 6677 E-mail: bkanli@yahoo.com ABSTRACT The concept of sustainability, which was used for the irst ime in forestry in 1713, has evolved for quite a few years now. While the term is deined and connected only with the environment, now it is a comprehensive term spanning not only the environment but also the social, economic, cultural and governance aspects of ciies. Perhaps the most important fact for ciies to reach sustainability is based on whether or not their components have sustainability. In other words, a city cannot make a posiive contribuion to overall sustainability if its own component parts are not found to be sustainable. The term neighbourhood has drawn diferent pictures in people’s minds depending on their cultural backgrounds. It had relected the lifestyle of people living in the same environment such as a live organism. The term has been consubstaniated with the enire elements including religious, social, poliical, economic and cultural. Indeed the philosophy of Islam has provided incontroverible contribuion for the term in the context of civilisaion and its insituionalisaion. Paricularly in the Otoman period the term had been an indispensable part of the governmental system at the lowest level. In this study the administraive structures and funcions of neighbourhoods will be dealt with focusing on the Otoman period, which has made great contribuion to the approximately 1400 year old Turkish-Islamic civilisaion. In the light of the acquired civilisaion from past experiences the study also wishes to shed light on the future sustainable urbanisaion models. KEYWORDS: Neighbourhood, Sustainable neighbourhood, Neighbourhood administraion, Neighbourhood governance, Islamic civilisaion, the Otoman Empire 1. INTRODUCTION When looking at the chronological progress of sustainability it is seen that four dates and meeings were extremely important. One of these was the UN (United Naions) Conference on the human environment in 1972, and changed the agenda of governments and NGOs. The second meeing was held by the World Commission on Environment and Development in 1987 (Jenks & Dempsey, 2005). In the same year the Brundtland Report had been the core of the term of sustainability (Kuhlman & Farrington, 2010). Perhaps the most important meeing was the UN meeing “the Earth Summit” which took place in Rio in 1992 and emphasized that ciies should be liveable in terms of costs, social equity and the ecology, which are the three major principles of sustainable development (Jenks & Dempsey, 2005). 47 The Rio Summit was so important for the fact of sustainability that the meeings, which took place ater the summit, were nicknamed “Rio+10 and Rio+20”. The World Summit in 2002, called “Rio+10” took place in Johannesburg and many delegates and leaders from the governments and NGOs came together in order to evaluate the decisions made in the Rio Summit and drew an implementaion roadmap (The United Naions Department of Public Informaion, 2001). As for the inal UN Earth Summit called “Rio+20”, which was again held in Rio in 2012, its main themes were sustainable development, governance and green economy (The United Naions, 2012). The concept of sustainability, which was used for the irst ime in forestry in 1713, has evolved since. While the term is deined and connected only with the environment, now it is a comprehensive term that covers not only the environment but also the social, economic, cultural and governance aspects of ciies (Germain, 2010). Another approach to the term emphasising that sustainability is “to maintain well-being over a long period” was made by Tom Kuhlman and John Farrington (Kuhlman & Farrington, 2010). The main goal of urban sustainability has been deined as the efecive and eicient use of resources and waste producion by considering the eco-system in order to improve living standards, social equity and welfare. It is not possible to say that there is only one prototype sustainable model for urban areas. Each level of locaion has unique condiions including climate, geography, topography, exising buildings etc. and site-speciic characterisics including social, cultural, economic and poliical aspects. Therefore every single neighbourhood has its own process in reaching sustainability (Farreny et al., 2010). The sustainable neighbourhood concept, consising of excessively complicated and compacted components, requires a mechanism that will bring and hold the components together with its rules and procedures in order to reach sustainability, which is management or in other words community engagement. This is taking out the foreground importance of governance (community engagement) in setlements such as neighbourhoods trying to implement the sustainable process. Therefore it is possible to say that governance is one of the key factors for sustainability. In this study the administraive structures and funcions of neighbourhoods will be dealt with focusing on the Otoman period, which has made a great contribuion to the approximately 1400 year old Turkish-Islamic civilisaion. In light of the acquired civilisaion from past experiences the study also wishes to shed light on the future sustainable neighbourhood governance models. The study has been prepared by analysing diferent sources including some of the Otoman sources such as sharia court registers (“Şer’iyye Sicilleri”) which are sill precious primary resources for researchers. 2. SUSTAINABILITY AND NEIGHBOURHOODS Sustainable development is a widely used term afecing planning, housing and urban development policy across the world (Karuppannan & Sivam, 2011). Urban planning is a powerful tool and necessary for controlling development, yet insuicient for the achievement of urban sustainability by itself. There are many factors afecing sustainability, including human behaviour paterns, tradiions, aitudes, beliefs and biases (Choguill, 2008). There are four main components of sustainable development, which are futurity (concern for future generaions), environment (concern to protect the integrity of eco-systems), equity (concern for today’s poor & disadvantaged) and public paricipaion (concern that individuals can paricipate in decisions afecing them) (Symes & Pauwels, 1999). As for the characterisics of sustainable neighbourhoods, they are economic, social, technical, and environment sustainability (Choguill, 2008). Bijoux, Smith and Lietz in their study emphasise that sustainability in neighbourhoods is possible when six crucial requirements are fulilled. These are: funcional lexibility, 48 neighbourhood saisfacion, minimised costs, efecive governance and civic life, appropriate resource use and climate protecion and inally maximised biophysical health (Bijoux, 2008). Perhaps the most important fact for ciies to reach sustainability is based on whether or not their components have sustainability. In other words, a city cannot make a posiive contribuion to overall sustainability if its own component parts are not found to be sustainable (Choguill, 2008). Therefore, neighbourhoods, as the major components of the ciies acing as the frontline in the batle for sustainability, are extremely important in the urban management level system. Implemening or reaching sustainability in ciies requires more efort in local levels such as neighbourhoods. In other words, all the actors living in the same local area should be involved in the sustainability process through the local level management system, which are neighbourhoods. Neighbourhood management therefore is a vital tool in implemening the sustainable development programmes. Neighbourhoods are the coordinator and core of the sustainable development process. 3. THE NEIGHBOURHOODS IN THE OTTOMAN EMPIRE The concept of neighbourhood goes back to the commencement of Islam. This percepion has made a great contribuion to the civilisaion of Islam. The basis of the neighbourhood percepion had started to take form under the Prophet of Islam in the City of Medina. It had been developed and sustained by the Four-Caliphs, who were the presidents of the state of Islam ater the Prophet, depending on the spreading and development of Islam. Ater the Four-Caliphs, in the Omayyad and Abbasid period, the state of Islam had commenced to insituionalize. Source: htp://en.wikipedia.org/wiki/Caliphate Expansions during: (1) The Prophet Mohammed (SAV), from 622 to 632; (2) The Four-Caliphs period, from 632 to 661; and (3) under the Omayyad, from 661 to 750. The Seljuk had developed the neighbouring system by combining the experiences of the previous three periods in order to acquire a more eicient and sustainable administraive level. Hence they generated and relected their own cultural ideniies and experiences in the concept of neighbourhood (Şahin & Işık, 2011). 49 Source: htp://en.wikipedia.org/wiki/Great_Seljuq_Empire The Great Seljuk Empire (1037 – 1194). 1040: The batle of Dandanaqan; 1071: The batle of Malazgirt (Manzikert); and the star on the map represent the capital city of the empire, which is Isfahan. Regarding the Otoman period, the neighbourhood not only relected the physical meaning but also its unique social-cultural features. In every Otoman city, it was a complete social-economic structure (Şahin & Işık, 2011). Source: htp://en.wikipedia.org/wiki/File:Otoman_empire_map.jpg The Otoman Empire (The map shows the maximum extent with the vassal states: 1453 – 1683) Perhaps the vital point of the features of Otoman’s neighbourhoods is that they had been formed as harmonic structures, disregarding diferences in status or cultural idenity - so much so that a general (“Pasha”) and a civil servant lived together on the same street (Şahin & Işık, 2011). The posiive communicaion between paries having social, cultural and economic diferences had always been ensured and therefore it had been an inclusive area without discriminaion. This had caused a strong and sustainable empire by providing the building blocks for an empire lasing for about six hundred years. When looking at the deiniions of the term deined by scholars, we come up against two major comprehension diferences when referring to the western and eastern points of view. In general, western scholars have described 50 and adopted the term into their terminologies by focusing on it exclusively as a geographical-physical unit (Lebel, Pampalon & Villeneuve, 2007). On the other hand, eastern Islamic scholars have ascribed to the term a more comprehensive meaning by emphasising not only its geographical-physical characterisics but also its religious, social, economic, and cultural aspects. They saw the phenomenon as a commencing point, a cornerstone and also a tool contribuing to the civilisaion process of Islamic countries. With regards to the term of neighbourhood, while it has been deined by interrelaing it with the term of accommodaion, another deiniion ideniied it with the number of populaion and religious sanctuaries, which are called mosque(s), staing that, “A setlement unit of which populaion consists of approximately one thousand people of whom worship in the same mosque”. As for the sociological point of view, the term has been ideniied as the setlement units where people of cultural and regional diferences live together within the framework of certain rules and ethics (Bayartan, 2005). Perhaps one of the funcional approaches indicated in a study is that the neighbourhood is a place where people, who have familiar characterisics in the idenity context, live together. Another approach is in the social-cultural context. The term is explained as a community consising of people who behave as a big family and who are responsible for and help one another and also who vindicate and solve and deal with their own problems (Kıvrım, 2009). The migraion process from a scatered and nomadic lifestyle to a setled one has been a cornerstone in forming neighbourhoods. At irst the term of neighbourhood was deined as a couple of houses: in today’s world, parallel with populaion growth, the content of the deiniion has changed (Bayartan, 2005). The term not only describes the fact of populaion but also its social, cultural, economic and administraive facets. It relects not only the community living an area surrounded with borders, but also a lifestyle comprising a social-cultural and economic life kneaded by Islamic beliefs. Therefore a neighbourhood, which is the integral part of Islamic ciies, is a phenomenon sheltering in its structure funcionality and social-cultural integrity. One of the important characterisics of Otoman ciies afected by Islamic beliefs was that they consisted of neighbourhood units as in the other Islamic ciies. These units had unique ethnic and religious structures. People having the same religious and cultural and even ethnic backgrounds preferred to live together. Therefore the beliefs deined and formed the neighbourhoods in the Otoman. Contrary to this, there are also many examples in Sharia Court Registers regarding people having cultural and religious diferences who preferred to live in the same neighbourhood unit. Hence it proves that it is not a rule to live in an area for people with the same backgrounds in Otoman neighbourhoods (Kıvrım, 2009). In the spaial context, the term neighbourhood expresses the smallest physical part of a city or a town. However, in the social context it means a society, which has organisaional relaions within it. In the urbanisaion context the neighbourhood is deined as the smallest setlement unit which has social, cultural and educaional insituions such as masjids/mosques, primary schools (“Sıbyan Mektebi”), drinking fountains (“Çeşme”), Turkish baths (“Hamam”), complex of buildings adjacent to a mosque (“Külliye”), groceries, Turkish cofee houses (“Kahvehane”), parks and playgrounds. As for the social point of view, it is the primary area based on neighbourly relaionships (Şahin, & Işık, 2011). Neighbourhoods had played a signiicant role in the administraive system of the Otoman Empire. As the smallest unit belonging not only to Otomans but also pre-Otomans it had described and relected the freedom for the community living in it. The neighbourhood system in the context of idenity had been designed by considering the diversity of the Otoman community. The site is open to togetherness, yet closed to the commoion of cultural idenity. Diferent ideniies lived together without any prejudices by turning the lifestyle into an insituion (Ortaylı, 2007). There were certain internal rules including unwriten ones implemented in neighbourhoods. These rules were so powerful that immoral behaviours and/or acions in the unit were minimised. One of these rules was that bachelors were not allowed to setle in the area they chose. The Imams, who were the administrators of neighbourhoods, decided and showed the place that they could setle (Düzbakar, 2003). 51 In general there are three types of neighbourhoods in the Otoman city, which are Muslim, Non-Muslim and LivingTogether (Harmonious) neighbourhoods. Religion and ethnicity had always been a key factor in the organisaion and forming of neighbourhoods. The vital purpose of this organisaional model had been to sustain diferent ideniies and to provide an environment to encourage harmony. The Church The Mosque Let: The neighbourhoods in Gaziantep City in the Otoman Period. Green and white represent the Muslim neighbourhoods; yellow represents the Chrisian neighbourhoods and brown represents the Jewish neighbourhood. Right: A residenial area formed around the religious buildings in Gaziantep city (Bey neighbourhood) (Tatlıgil, 2005). A neighbourhood unit at the same ime acts as a local control mechanism (Şahin, & Işık, 2011). While Imams, having been appointed by the Otoman Padishahs, administered the Muslim neighbourhoods, on the other hand Priests and Rabbis in parallel with their religions administered the Non-Muslim neighbourhoods, and they all reported to the Qadis (Bayartan, 2005). 3.1 The Organs Basically the prominent organs of neighbourhoods in the Otoman had consisted of Imams and Trustee of Neighbourhood (“Mahalle Mütevvellisi”). Nevertheless there was not a strict organisaional structure in the neighbourhood system. It had been possible to come upon such an example a Leading Person (called “Kethüda”) represening the neighbourhood for the third party as deputy of Imam. Imams As a principle the neighbourhoods in the Otoman had been formed around a masjid/mosque. The lowest level administraive unit in the empire had been the neighbourhoods governed by the Imams, consising of educated people having the level of madrasah educaion, which refers to university nowadays. In these madrasahs Imams had to have knowledge of paricular subjects including Islamic jurisprudence, the study of hadiths, interpretaion of Quran, uterance method, logic, philosophy, eloquence, syntax and etc. (Hızlı, 2010). Source: htp://www.estanbul.com/osmanlida-komsuluk-iliskileri-64728.html A neighbourhood formed around a mosque in Uskudar/ISTANBUL. 52 One of the reasons why Imams had an exclusive place in the eyes of people was that they were appointed directly by Padishah whereas the Qadis governing the ciies were appointed by the high oicial in the Otoman judiciary (“Kazasker”) (Kıvrım, 2009). The second reason was that the Imams had collected the local taxes (Şahin & Işık, 2011). When looking at the main duies and responsibiliies of Imams, serving also as deputy of Qadis, were as follows: • To determine, collect and record local taxes • To keep registraion records of people living in the neighbourhood such as birth, death, marriage, divorcement etc. • To maintain order and security • To audit people in the context of ethical and religious values • To solve problems and disagreements amongst people • To provide and maintain the educaional environment • To give permission and/or vouch individuals who want to move in to the neighbourhood • To lead the salaat prayers in the masjid/mosque The imams lived in the same neighbourhood with the local people. This increased the communicaion between the imams and the people. Hence they had signiicant amounts of informaion with respect to the local people, including the number of households and rental houses, the names of leading people, arisans and individuals living alone, goods and properies and also jobs and occupaions (Bayartan, 2005). This helped Padishahs to get informaion regarding the local people’s problems via the Imams. The local people had the power to designate the Imams. They controlled and observed their aitudes and behaviours and in case of any negaive consequences they informed and complained to Qadis. Hence as long as the local people did not want them, the imams could not be appointed. This was one of the powers of community engagement in the Otoman period. The people sharing the same environment took responsibiliies for each other. There were certain rules for people who wanted to setle in a neighbourhood, one of which was that people wishing to setle had to prove that they had a good character and also had a guarantor vouching for them. Otherwise, the imam had to guarantee them (Şahin & Işık, 2011). Hence all the people living in the same neighbourhood were vouching for each other successionally. This system had helped maintain security and safety maters, which are the crucial parts in the social sustainability of the unit. Trustee of Neighbourhood “Mahalle Mütevellisi” Another organ was the Trustee of Neighbourhood. Their main responsibiliies included audiing and managing “pious” foundaions. These foundaions consisted of land and buildings and money made over by the local dweller for the beneit of their neighbourhood. The foundaions fulilled the needs of not only the poor people living in the unit but also the housing need of the Imam, the needs of the neighbourhood or a part of the taxes by the Central Government (Lebel, Pampalon, & Villeneuve, 2007). One of the vital insituions in relaion to these foundaions was a foundaion (called “Avarız Akçası Vakı”) reinforcing social cooperaion amongst the residents. The local expenditures such as construcion, maintenance, illuminaion, and heaing of masjids/mosques, schools, drinking fountains and salaries of imams, muezzins and teachers were received from the foundaion (Şahin & Işık, 2011). The foundaion was the essence of the idea of maintaining not only social order, but also transforming the core of the civilisaion into a world empire. 3.2 The Main Funcional Zones in the Otoman’s Neighbourhood An Otoman neighbourhood relects not only the physical element resuling in the civilisaional process, but also the social, economic and cultural environment. Hence as a result of the Otoman’s world-view, the neighbourhoods were formed and designed as funcional zones serving local people’s needs. In general these elements consisted of mosques and masjids, streets and squares, drinking fountains, schools, Turkish cofee houses, temples for non-Muslims, dervish convents, eaing houses for poor people, libraries, shops and Turkish bathes. 53 Source: htp://www.sinanasaygi.org/i/kulliye/31.jpg The Kulliye (complex of buildings adjacent to a mosque) of Mihrimah Sultan, Üsküdar/ISTANBUL. 1- Mosque; 2- Madrasah; 3- School (Sıbyan Mektebi). Source: htp://www.sinanasaygi.org/i/kulliye/178.jpg The Kulliye of Sokollu Mehmet Pasha, Lüleburgaz/KIRKLARELİ. 1-Mosque; 2-Madrasah; 3-School (Sıbyan Mektebi); 4-Turkish bath; 5-Commercial shops (Arasta); 6-Prayer dome; 7- Caravansary (Kervansaray) Sources: Let: htp://www.forumacil.com/osmanli-tarihi/378957-osmanli-kahvehaneleri.html; Right:htp://www.msxlabs.org/ forum/sairlarla-turkiye/16210-kahvehane-kulturu.html Turkish cofee houses in the Otoman. The foundaion phenomenon in the Otoman was not only the core provider of urban services but it also prepared the path for the 600-year civilisaion. The foundaion in the Otoman period devoted a certain amount of property or properies movable or immovable for a certain service or services in the interest of the public coninuously (Es, 2010). The Otoman’s foundaions, which were vital insituions in forming the neighbourhoods’ structure, are a research topic solely themselves. However it should be stated that all insituions formed by the foundaions were not built by the Otoman State itself. They were realised by volunteers having social responsibility and living in the same neighbourhoods, sharing a common fate. 54 4. CONCLUSIONS Neighbourhoods were the core of the administraive system of the Otoman Empire. They also played a signiicant role in its civilisaion, lasing approximately 600 years. They were the smallest administraive units and the most important element in urbanisaion, not only in the Otoman Empire but also in the early years of the irst Islamic state established by the Prophet of Islam. The term of neighbourhood not only deined the area surrounded with physical borders but also described an organic structure with unique social-cultural, economic and poliical features. From this aspect the western approach to the term has deinitely separated from the eastern understanding. They have played a signiicant role in the development of Islamic civilisaion. Many insituions in this period have been formed and have evolved through neighbourhoods, with the foundaions having been built by the local community. Neighbourhoods were seen as cells in a human body. Just as the change or degeneraion in a cell in a human body causes cancer similarly the degeneraion or negaive changes in a neighbourhood could harm the whole system. When evaluaing Otoman neighbourhood management in the context of sustainability, the following consequences could be reached. In the context of social sustainability, local communicaion and neighbouring relaions amongst the locals were powerful. This powerful communicaion provided an appropriate social infrastructure in order to sprout or consolidate social equity, the sense of pertaining and solidarity. Respect of ethnic background and beliefs are other key factors in the sustainability of the Otoman system. Basic human rights and freedom of conscience were so developed that minoriies living in certain neighbourhoods as the majority had been administered by Rabbis or Priests depending on their religious background. There was no class segregaion or discriminaion in the neighbourhoods. This brings with it security and safety automaically. Safety and security are the key concepts for social liveability and the Otoman neighbourhood management system fulilled the concepts by establishing two major sub-systems, which were the vouching system and social self-defence system against moral distorion. Moral values had been a vital aspect in preserving the neighbourhoods’ social and cultural structure. With regards to the context of sustainable governance, local authoriies - paricularly the neighbourhoods as the smallest administraive unit in the Otoman state - had always been important, so that the Padishah designated the Imams himself directly by gathering the informaion and comments and even expectaions through the locals. In fact, it is possible to say that the neighbourhood management system had been based on a voluntary basis. The memberships in the organs consisted of disinguished local volunteers. Both this fact and the foundaions strengthened the paricipaion in decisions regarding neighbourhood development plans. The paricipaion of local people was fulilled automaically because the buildings and structures built by the foundaions had been realised based on the local’s demands and expectaions. Another way of paricipaion of the locals was through the mosques. Mosques had been the focal point for local meeings. Every Friday and every day ater isha (night) prayer the local people came together in order to determine the neighbourhood’s problems and/or ind soluions. That is to say, mosques not only served as the prayer place but also fulilled the mission of being a place where local people came together and determined their problems. By doing so they contributed to the decisions of neighbourhood’s management. Imams were very educated people. They had knowledge of their neighbourhoods’ problems. Thus, conveying the maters to the Padishahs and inding soluions were made expediiously. In conclusion, the Otoman Empire saw neighbourhoods as a very integral part of its administraion system and managed them based on the governance principle of sustainability, though not having today’s sustainability terminologies approximately 600 years ago. This is even though facts such as local communicaion and governance, which had been established successfully at the scale of the neighbourhood in the Otoman period, do not exist or have not been established well enough in today’s neighbourhoods. Perhaps the neighbourhood’s good communicaion and governance is one of the desired concepts in Islamic geography. 55 Today in Turkey, when considering the administraive and funcional context, it is not possible to ind the neighbourhood concept constructed and experienced as well as in the Otoman period. The neighbourhood administraive system, which was the smallest cornerstone of the Empire, has changed because all laws and regulaions and also administraive system were changed with the republican regime (a revoluion experienced in 1923). These new laws and regulaions and the new administraive system, based on the western philosophy, have not been successful for the community, which had accepted the Islamic philosophy and constructed their life and civilisaion based on this philosophy for approximately 1400 years. Just as the body of a paient undergoing organ transplantaion does not accept the organ, this transformaion caused negaive social and physical efects on neighbourhoods that discharged the heart of the neighbourhood concept and it distanced it from their basic funcions. In short, it was transformed into a body without a soul. It is possible to see this with examples of unplanned ciies, including major ciies in Turkey. REFERENCES Bayartan, M. (2005). An administraive unit in the Otoman city: Neighbourhood. Journal of Geography (Istanbul University Faculty of Arts Department of Geography), 13, 93-107. Bijoux, D., Seville-Smith, K., Lietz, K. & Beacon Pathway Ltd. (2008). 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Future forms and design for sustainable ciies. UK: Taylor & Francis. Karuppannan, S. & Sivam, A. (2011). Social sustainability and neighbourhood design: an invesigaion of residents’ saisfacion in Delhi. Local Environment, 16(9), 849–870. Kıvrım, İ. (2009). Daily life in the Otoman neighbourhood: The Gaziantep example in the 17th Century, Journal of Social Sciences (Gaziantep University), 8(1), 231-255. Kuhlman, T. & Farrington J. (2010). What is sustainability?. Sustainability Review, 2(11), 3436-3448. Lebel, A., Pampalon, R., & Y Villeneuve, P. (2007). A muli-perspecive approach for deining neighbouhood units in the context of a study on health inequaliies in the Quebec City region. Internaional Journal of Health Geographics, 6(27), 1-3. Ortaylı, İ. (2007). History of the organisaion and administraion of Turkey. Ankara: Cedit Publicaions. Şahin, M. & Işık, E. (2011). Neighbourhood management from the Otoman to the republic. Journal of Social Science (Dumlupınar University), 30, 221-230. Symes, M. & Pauwels, S. (1999). The difusion of innovaions in urban design: The case of sustainability in the Hulme development guide. Journal of Urban Design, 4(1), 97-117. Tatlıgil, F. (2005). An analysis of changes in social-cultural structure and tradiional housing form of Gaziantep city. Masters Thesis, Yıldız Technical University. The United Naions. (2012). United Naions Conference on Sustainable Development, Rio+20, Retrieved from htp://www.uncsd2012.org/rio20conference.html The United Naions Department of Public Informaion. (2001). Johannesburg Summit 2002, World Summit on Sustainable Development, Retrieved from htp://www.un.org/jsummit/html/brochure/brochure12.pdf, htp:// www.un.org/jsummit/html/basic_info/basicinfo.html 56 THE ROLES OF A SOCIOLOGIST IN URBAN PLANNING PROCESSES: A CASE STUDY OF THE PLANNING OF TACHANG – TAPRACHAN, AN OLD AREA OF INNER BANGKOK Jirapa Warasiangsuk Faculty of Sociology and Anthropology, Thammasat University, Bangkok 10200, Thailand E-mail: Shiningjira@hotmail.com ABSTRACT This paper is a case study of how a sociologist paricipates in the processes of urban planning and implementaion of an old area of Bangkok called TaChang-TaPrachan. Normally in Thailand, the urban planning processes are heavily entrusted to architects. That is to say, these plans focus far more atenion on the physical aspects and less on the social dimensions. By doing this, it is highly likely that the people in the target areas will be opposed to them. This paper proposes a approach for applying sociological knowledge, or to be more speciic, a socio-spaial typology to urban planning processes, by using the urban ecological model of Chicago School of Sociology as a guideline of thought. In doing so, the social needs of all groups of people in the study area will be beter atended, which in turn will make the plan more acceptable and easier to implement. The atempt to implement the Master Plan of Krung Ratanakosin by Bangkok Metropolitan Administraion (BMA) toward the end of the 90’s, with the aim of turning the lived community space of TaChang – TaPrachan into an open space- in order to open the view of Wat Mahathatyuwaratrangsarit Temple and the Grand Palace from the Chaopraya River, 1 led to the grievous protest by the people who lived in the area. Much later, sill unable to proceed by itself but sill feeling the need for a revamp, BMA found a soluion by consuling a group of academics who were supposed to have a more neutral image, and therefore- to be beter accepted by the local people. Both paries agreed to produce a new plan for the area by aiming for the acceptance of the local people, and then enabling it to be implemented. Taking the above situaion into account, the team leader of this academic group, an architect and urban designer form Silpakorn University who was well known for his interest in historic town conservaion, had set a high goal for this plan with an emphasis on people paricipaion. He saw the need to form a mulidisciplinary team. Using his social networks, the working team was comprised of an urban designer, an economist, a sociologist, an architect who specialized in history of architecture, and an architect who was specialized in the planning law and building regulaions. This was how I became involved in this planning project. Normally in Thailand, urban planning processes are heavily entrusted to architects, or to be more precise, urban planners who have a prior background in architecture. This is because it has been widely held by society that urban planning is about the physical aspects of an urban area. Therefore, architects who have beter concepions of a built-up area and the technical experise in producing a physical plan automaically should have the right to be in charge of the processes. As a result, urban planning processes and reports are typically dominated by physical components. On the other hand, the producion and use of social knowledge in urban planning processes in Thailand, from my point of view, has remained quite limited2. 57 Responding to the above reality, I saw my paricipaion in this urban planning team as a challenge. Firstly, as a sociologist, urban planning involves social processes; therefore, it was a good opportunity, as a sociologist, to learn about them. Secondly, it would be very worthwhile if I could produce more in-depth sociological knowledge that could convince planners of its usefulness in contribuing to a plan more responsive to the needs of local people. When I started working with the team, I had to answer two main quesions: what kind of sociological knowledge should be produced, and how it was to be used? To answer the irst quesion, I referred back to my knowledge in urban sociology. There were many theoreical orientaions; the urban ecology, the Weberian3, the poliical economy4 and others. Each had a diferent set of quesions and answers to urban phenomena. I then chose the urban ecological perspecive5 as my guideline, because it could integrate quite well with the approaches that were held by other members in the team, so avoiding the conlict that might lead to the terminaion of the collaboraion, both with my team and BMA. From this theoreical orientaion, I began to produce my sociological knowledge of TaChang – TaPrachan. In studying an urban area, I was automaically forced to start my analysis from the macro scale, looking at the whole study area before then moving towards micro levels. The structure of my work came in steps as follows. In the irst step, I analyzed the geographical locaion and the development of the setlements in the area from the past up to the present ime. TaChang - TaPrachan was an area of rectangular shape. The north side was adjacent to Thammasat University. The east side was bound by Maharaj Street and Mahathatyuwaratrangsarit Temple. The south side was adjacent to the Royal Navy Club and the Grand Palace. The west side was the Chao Phraya River. From this informaion, one can see that the study area was surrounded by public insituions and the river. This made the communiies in this area relaively isolated from neighboring communiies. The sociological implicaion of this isolaion is that closer social ies should be promoted among people who lived in the area. The size of the area was about eleven and a half acres, with a populaion of about 4,2006. During Ayudhya period, the study area and the vicinity had been the site of the setlements of the outpost of the tax oice for interregional mariime trading. In Thonburi period, when the king’s palace was on the western side of the river, the study area was incorporated within the city wall. It funcioned as the residenial area of the Chinese. During the early Ratanakosin period, when the king’s palace or the nucleus of the city was moved to the eastern side of the river, the study area was outside the new city wall that was built along the Chao Phraya River. Before the wall was built, the old Chinese setlement was moved to the new place, further south of the Grand Palace called Sampeng.7 This area turned into a local market mixed with residenial areas mainly of people who worked in the palace.8 It could be said that, from the distant past up unil the present ime, due to the high density of the setlements on both sides of the river, communicaions and transportaion between both sides have always been very high. One important observaion could be made from the geographical locaion and the historical development of the setlements menioned above. The setlements in the area of TaChang – TaPrachan had been formed and remained at a high level of density because of one important factor: it had been funcioning as a transit area or point of connecion between land and water transportaion. In the second step, I had assigned three main ecological characterisics to the study area, namely heterogeneity, interdependence and dynamism. These should be the common characterisics of any urban core area. If one walked through the study area, one could instantly observe its heterogeneous features: various types of people, aciviies and resources. Heterogeneity implied a high division of labor. This in turn pointed to the high interdependence among the people, aciviies and resources both within the study area and other areas of Bangkok and beyond. Lastly, nearly everywhere in TaChang – TaPrachan, one could see the dynamism of everyday aciviies occurring coninuously from morning ill night. 58 In the third step, I used the knowledge from step one and two to develop a few classiicatory schemes to relect the social, economic and cultural aspects of the study area, as well as, how the area had been used in daily life. The irst classiicatory scheme was the division of the whole study area into sub-areas, using the general principle of looking for the relaive homogeneity within the heterogeneity. Viewing the study area from the north to the south direcion, the irst sub-area was the TaPrachan retail business area. This sub-area had mainly served the people from the public insituions nearby and those who used the area for transit. This sub-area could also be roughly divided into smaller disinct clusters of speciic retail business. These included a cluster of small restaurants and food-stores, along with a number of shops with academic gowns for hire and the amulet market. The second subarea was the space belonging to a large business named Supatra Speed Boats Company. In actuality this company used the space for many aciviies and situated its headquarters here. The company also rented the space next to the headquarters building as a parking lot, and leased the space alongside the river to S&P restaurant. These were its other sources of income. The third sub-area was the area next to the second one. It contained residenial apartments and row houses of people in the military and their families, since the headquarters of the Ministry of Defense was nearby. The fourth sub-area, called Trok Thawang, was a relaively closed community with only one way in and out. Its physical features were crowded, run down and in slum-liked condiions. Socio-economically, this was a low income community. The majority of the community members were long-ime residents whose ancestors had lived there for two or three generaions. Their ancestors were those who worked in the palace, and were the subjects of the previous kings. Because of their common origin and their long duraion in living in the community, nearly everybody knew each other very well. It was a place of high communal feeling. Their children tended to stay there. This made the community become more and more crowded. The inal sub-area was the TaChang retail business area which smaller in size than the one at TaPrachan. Not only did it serve the people who worked nearby and the commuters, but also the foreign tourists who walked pass the area on the way to join boat trips. The second classiicatory scheme showed how diferent groups of people used the study area. There were four major types of users. The irst type was those people who used the area to live as residents. This type could be divided into two groups. The irst group was those who used the area both as residents and a place for earning for their livings. They were the most important stake-holders in this planning project: not only had they been spending most of their ime in the area, but they also had been playing a major social and economic role as well. This group ranged from retail business owners, peddlers and hawkers in the informal sector which usually lived in the inner zone of the area, to the migrant workers who worked as employees in various shops. These people came to the area through social networks of kinship and friends. Usually they lived with their employers. The second type of user was those who lived elsewhere, but came to work in the area. The irst group of this type was those business owners who accumulated enough money to buy second and more comfortable houses elsewhere, but sill kept their business in the area. The second group was peddlers and hawkers who lived outside and commuted to the area to sell their goods and services by rening space in front of shops or footpaths along the street. These informal-sector traders had made the economic aciviies of the area more lively and atracive in the eyes of many, but for many others they clutered up the footpaths and were seen as needing some kind of management. The third type of users were the people who used the area as a transit point for changing modes of transportaion in their daily commute between home and the work places9. Because of the large numbers of people who commuted through both ends of the area, this group of users was inluenial to the economic aciviies of the area. They, for example, bought their daily necessiies, atracive items or had meals in restaurants. The last type of users was the customers who came to the area for goods and services. There were two groups of these customers. The irst group was the customers who lived or worked nearby. The second group were those who speciically came to the area for certain types of goods and services that the area was famous for: for example, the small Buddha images and amulets, tradiional herbal medicines, the Thai massage, the academic gowns for hire, nice foods and other atracions. 59 All these types of users revealed social and economic needs that related to the speciic paterns of spaial uses, which should be incorporated into the analyses of plan-making processes. The third classiicatory scheme relected the socio-cultural aspects of the people in the area. The majority of the inhabitants had lived in the area for a long ime, long enough to develop their speciic ways of life, together with divergent paterns and levels of social relaionships which could be observed from the various social groupings in the area. The irst patern of social grouping was the kinship group. One could easily ind this type of group in Trok Tawang community. Many families were of the same line of lineage. Many owners of the food shops in TaPrachan area were of the same extended kin groups and came from other provinces through social networks. These kinship ies were carried on into business creaing mutual beneits for them: for example, their customers could make orders from the menus across the shops. Another interesing patern of kinship ie was the expansion of kinship space in the study area. This occurred when the family cycle had come to the point when the children were old enough to be responsible for their own living or in the case when the family business had gained enough proit. The family, then, rented or made over a shop-house nearby,10 and conferred it on some of its members to start a new business. By this way the family members could sill live together in the same area and maintain their close ies and interdependence. This was an instance of how an extended family adapted itself to the urban environment. The second patern of social grouping was the neighbors, primarily deined by the close physical proximity: that was to say, the physical factor had the most to do with the iniiaion of social relaions. For instance, when two rows of shop-houses faced each other, this encouraged social interacion among members of those houses. Some interesing neighbor relaions emerged in the area. For example, the people in Soi Klang had the reputaion of placing high value on internaional educaion for their children. Many of them tried to send their children to study abroad. This value gave the neighborhood an idenity which developed through social imitaions. In addiion, the people in Soi Padmei united together to put a charge against the Supatra Company in the law court, for planning to use the alley in front of their shop-houses to ease the low of the traic from its rental parking lot. The neighbor had been using the alley as the play-ground for their children and communal aciviies. If the company were going to do what they had planned to do, it would have destroyed their familial and communal lives, and was unsafe for the children. Nonetheless, they lost the case because the land belonged to the company. There were also organized eforts among the neighbors in ime of crises, such as loods or ires. The third patern of social grouping was the occupaional group. The most disinct occupaional group in the area was the traders of small Buddha images and amulets market. This market has been referred to as the biggest one in the country, with about 150 shops and booths in this market. These traders has organized a formal associaion called “The Associaion of Thai Buddhist Art” with the purposes of conserving the small Buddha images, the images of famous monks, together with other kinds of amulets throughout the whole country. The members of this associaion have to contribute certain amounts of money to the associaion, for use in the maintenance of the market, such as hiring the night guards11: most of these traders lived elsewhere and only came to look ater their business during the day-ime. The members of the associaion regularly held a homage-paying ceremony to the shrine in the area for good luck and prosperity. The fourth patern of social grouping relected the belief systems of the people in the area. When one walked through the study area, in every two or three alleys, one would confront a small shrine with a statue residing within it. These statues represented the sacred spirits: ranging from Hindu and Chinese guardian spirits, to the spirits of a real person that had passed away. Urban lives, much the same as rural lives, were full of risks and uncertainty. People held on to these spirits to gain moral strength, as well as to wish for their good luck and prosperity in their lives. Apart from the assurance in one’s own life, there had been unexpected community incidents that pulled 60 people together in organizing the worship ceremonies. For example, ater experiencing many ires, the people in the Thaprachan retail business area started to reason that: they had been living on the land of “Krom Prarajwangbovorn”, the posiion next to the king or “the Front Palace” in the reign of king Rama I: nonetheless, they had not been paying proper respect to him. Since then, worship ceremonies had been held for him every year. There were about ive shrines throughout the area, and most of their worship ceremonies were held annually. Those who were in charge of these worship ceremonies were usually the same every year. These people took responsibility for both the arrangement and the funding. Other neighbors helped in the form of donaions and labor. By doing so, these key persons were very well respected by the people in the area. For the planning team, these people were the nodes of intercommunicaion between the study team and the people in the area. The ith patern of social grouping had to do with the relaions between the local state (BMA) and the Trok Thawang community. This relaionship derived from the idea that the physical, social and economic well being of the people in any slum community needed to be upgraded. The Trok Thawang community members had to accept this idea: that was why a formal and top-down community group structure emerged in the form of the administraive commitee, acing as the representaives not only to their community but also BMA. It funcioned as a coordinated body in channeling projects and funds from BMA into the community. In a wider perspecive, these homogeneous structure and the projects were passed down to the lower socio-economic communiies by BMA in ways that could be described as “one size its all“. This was oten the case of how BMA achieved its objecives. Nevertheless, looking from another angle, these lower socio-economic residences were subjected to more state intervenion and control than higher socio-economic residences. The above paterns of social grouping showed that the majority of people had been living in the area for quite a long ime, that together, they could organize themselves to perform some communal aciviies. These aciviies contributed to the unique idenity and social poteniality of the people in the area. Nonetheless, their private lives were also highly maintained. From the sociological point of view, these social aciviies had strong messages for the urban planning processes, that any kind of physical changes that might occur from the plan should not induce any damage to these social lives. On the other hand, they should be supported. The strong social bases were very important to urban civic lives. My classiicatory schemes above were only a part of the whole picture. There were other classiicatory schemes that were produced by my colleague in the team. For example, the planners in the team emphasized a scheme that showed the legal status of land-holdings, which consisted of owners, renters and intruders. Another scheme was the levels of worth of a building for conservaion purposes. All these classiicatory schemes had three main purposes. First, these schemes relected the atempts to cover the main aspects of the social, economic and physical heterogeneity of the area, and therefore, made it easier to understand its complexity. Moreover, these schemes could be used as methods of studying an urban area elsewhere. Second, the understanding derived from these schemes could be used as the basis for planning concepions. Third, the schemes could be used to facilitate the selecion of the representaives of the people in the study area to paricipate in the planning and implementaion processes since paricipaion by all was rather impossible due to the ime limit. Nonetheless, but more importantly, these schemes helped ensure that all social groups were atended to through their representaives. The quality of paricipaion by this method depended on how well these representaives acted as the nodes of inter communicaion between the planning team and his group. To conclude, in this paper I have demonstrated my producion of social knowledge. This includes the analyses of the geographical locaion, the development of the setlement and many types of social classiicaion ranging from idenifying sub areas, types of socio-spaial uses and the paterns of social and cultural grouping. These classiicaions reveal the structures and the processes of social lives of those who connect to the area in some ways or 61 another: in other words, the social dimensions that are rooted in space. I would like to propose the incorporaion of such analyses and knowledge into processes of urban planning in order to make the plan more responsive to local people, at least through representaives of each group in these classiicaions. NOTES 1 2 3 4 5 6 7 8 9 10 11 62 This implies that The Krung Ratanakosin Commitee has been trying to change the physical characterisics of the historical core area of Bangkok to serve the tourist industry of the country. A quick survey of urban planning reports handed to governmental urban planning unit, such as The Urban Planning Division of Bangkok Metropolitan Administraion conirms that the producion and uses of social knowledge in these reports has been very restricted. Pahl, R. E. (1970). Whose City? And other essays on Sociology and Planning. London: Longman. Logan. J. R. & Molotch, H. (1987). Urban Fortunes: The poliical Economy of Place. CA: University of California Press. I use the Chicago model of urban ecology as my guideline. This model stresses on the importance of ecological processes at the sub-social level of a society in organizing the target area into sub-area along some social variables such as socio-economic and ethnic components. For further explanaion see a classic work in urban ecology, Park, R. E., Burgess. E. W. & McKenzie, R. D. (1925). The City. Chicago: the University of Chicago Press. The planning team had made the preliminary populaion survey as data base for the planning processes. From many literatures on the early Ratanakosin period. From the interviews with people in Trog Tawang community. TaChang and TaPrachan have long been one of the main juncions of inner Bangkok. This was oten the case in the study area where the land and buildings belonged to the Crown Property Bureau. Most of these traders lived elsewhere and only came to look ater their businesses during the day ime. A “WORLD-CLASS CITY” IN THE MAKING: HERITAGE, PLANNING, AND MARGINAL SPACES IN THE CITY OF TAJ, AGRA (INDIA) Kapil Kumar Gavsker1 and Sheela Prasad2 1 2 Research Scholar, Centre for Regional Studies Faculty, Centre for Regional Studies, University of Hyderabad, Hyderabad, Andhra Pradesh (India) INTRODUCTION The global economy by process of economic integraion is exering a deep and aggregate inluence on the internal policies of naion-states. Urban growth is taking place in a context which has changed drasically over the past two decades. With urban globalizaion, socio-cultural exchanges take place in ciies that lead to cultural convergence and universalism. Economic restructuring of ciies as well as their cultural-architectural exposure in the form of heritage-based tourism oten conceived to bring considerable improvements and societal development but it causes (de)organizaion of urban space. Economic forces and the low of capital when embedded with cultural and architectural heritage tourism, the historic urban cores and sites play a crucial role in inluencing urban planning and development pracices at the local level. In addiion, “technology and business now dominate public imaginaion as the sources of both social mobility and naional economic growth” (Gooptu, 2007, p. 1922) leaving aside the concerns of the huge informal sector. Amidst the pracices of globalizaion, Saskia Sassen argued, “the city and the metropolitan region emerge as one of the strategic sites where major macro-social trends materialize” (Sassen, 2010, p. 3) which have their own condiionaliies and consequences. These condiionaliies inluence urban structure and then their socio-spaial implicaions shape and redeine urban realiies. In India, most cultural heritage sites are taken care of by the global heritage conservaion organizaions like Archaeological Survey of India and UNESCO. The management of heritage sites and promoion of global tourism on such sites inluences the local urban policies and developments prioriies. However, Gross and Hambleton suggest that “while global pressures may appear to be uniform, domesic responses vary as civic leaders seek compeiive advantage within this evolving global system.” (Gross & Hambleton, 2007, p. 1) The public actors too shape the urban outcomes and facilitate (de)organizaion of urban space through appropriate planning acions as inherent in neo-liberal pracices. Then “[N]eo-liberalism is a keyword for understanding the urban condiions, the re-thinking of social democracy, and the regulatory regimes of our ime”(Sager, 2011, p. 149). Analyzing the intersecion of both forces (exogenous and endogenous) would ofer an atracive framework to understand the socio-spaial impacts on the city of Agra (India) and connecing it with the increasing marginal spaces. The quesions this paper addresses are: what role has the ‘Taj’ played in deining and coniguring the city of Agra? Has this historical advantage helped the ciizens of Agra? This paper aims at a criical analysis of the planning of the city of Agra, the advantage/burden of being a heritage site and atempts to map how inclusive the city is today. In the rush to become a global tourist desinaion are we seeing the ‘making’ or addiion of new marginal spaces and the reinforcing of exising ones in Agra? “Marginality is generally used to describe and analyze socio-cultural, poliical and economic spheres, where disadvantaged people struggle to gain access to resources, and full paricipaion in social life.” (Gurung & Kollmair, 2005) Majority of these people inhabit the slum areas which lack in basic ameniies. 63 HISTORY OF AGRA CITY Agra city is situated about 200 km southeast of Delhi in the State of Utar Pradesh. The city occupies an area of about 188 sq. km and lies between 27° 8’ to 27° 14’ N laitude and 77° 57’ to 78° 04’ E longitude. The climate of the city is extreme and tropical as the summer temperatures rises to 470C and drops down to minimum of 30C during winter season. According to Utar Pradesh Agra Gazeteer (1965) “the aniquity of the city of Agra itself is doubted as it does not ind menion in any literary or epigraphical record anterior to the twelth century A.D” (Basani, 1965). However, Ptolemy, a well known second century BCE geographer, marked Agara on his map of the world. Agra was foriied by Rajput kings such as Raja Badal Singh (1475), and, ater their defeat, by the Sultanate. Sultan Sikander Lodhi, a descendant of Bahlol Lodhi, made Agra his capital in 1504 and beauiied the new city. Later, Babur founded the Mughal dynasty in India. The city was the Mughal capital from 1526, established by Emperor Babur on the banks of the Yamuna River, and for the next centuries Agra witnessed a remarkable spate of gardens and architectural innovaions. Unique architectural as well as efecive cultural developments took place during the successive reigns of Mughal rulers; Akbar, Jehangir and Shah Jahan. Emperor Akbar (1556-1605), who made it the Imperial Capital, introduced muliple measures to cater to the mulifarious requirements with respect to layout, planning, architecture, coniguraion of streets and public buildings. Gupta noted that “Its locaion in the heart of the empire provided mulidirecional communicaion links with other important ciies, ports, and regions of the country and served efecively as the nerve-centre of all major poliical, administraive cum-military and economic, social and cultural aciviies” (Gupta, 1986). The river Yamuna played a major role in the emergence of riverfront gardens and promoing greenery in the city. Agra was known as the city of gardens. The gardens were generally situated on its outskirts, along the riverfront and few of them developed inside the city proper. Sinopoli (1994) strongly advocates that “Akbarabad (Agra City) was a planned city, consising of a walled foriied royal enclave, built on an elevated hill along the bank of the Yamuna River. Stretching westwards developed walled residenial zone (the walls were rapidly breached as the city grew) and a more dispersed zone of gardens and elite residences, extending out from the city along the Mughal road system” (Sinopoli, 1994, pp. 293308), and several muhallas (neighbourhood units) emerged. Centuries later, during the reign of Shahjahan (16271666), a descendant of Jehangir, the magniicence of Agra city grew further and it became the centre of new culture in the East ater the Arab world. This was the golden age of ‘Mughal Architecture’, the most famous of which is the legendary Taj Mahal. When the city became a Briish occupied centre, it was intended as a military cantonment, an administraive as well as a revenue collecion centre. The Briish colonial period from 1803 to 1947 witnessed the construcion of beauiful buildings and roads, learning centres, illustraing a co-existence of Indian and European cultures in the city. Compared to the architectural heritage of the place, the culture and cultural heritage were not on the colonial regime’s agenda. ‘Modern urban planning’1 was introduced that gave emergence to new residenial, administraion-centred civil lines and industrial enclaves in the city. AGRA CITY IN POST-INDEPENDENCE PERIOD In the post-independence period urban populaion in Agra city is characterized by irregular trends in growth rates. Populaion in AMC (Agra Municipal Corporaion) grew at a faster rate during 1941-51 (0.33 million) and 1951-61 (0.46 million) at the decadal growth rate of 29.59% and 38.52% respecively. The city populaion grew to 0.59 million and 0.69 million by 1971 and 1981 respecively. The year 1991 registered a higher growth rate (36%) with 0.94 million populaion. In 2001, Agra became a million plus city with 1.27 million people, slight decline in the decadal growth rate (34.49%). The 2011 Census of India registered 1.57 million populaion with growth rate of about 23%. Major features of urbanism in Agra are dominated by commercialism rather than industrialism and technology. Agra city has been a site famous for its so-called secular and Sui leanings. At present, of the total city populaion 82% percent are Hindu, 15% Muslim, 1% Jain and the remaining 2% belong to Sikhs, Chrisians and others. 64 Source: Map copied from Regional Archives Oice, Agra (2011). Note: Red color indicates the Mughal Era Inhabited Areas. Colonial (The Briish) space is in Light Yellow. Figure 1. Mughal and Colonial Urban Spaces in Agra Agra received a large number of refugees and inmigrants setled in central parts by which city got congested and overcrowded. Agra Improvement Trust (set up in 1949) aimed at sectoral and pursued general improvement schemes. The 1950s and 1960s was a period when urban thinking was evolving at naional level and a need was recognized that ciies must be raionally planned and managed. With modernizaion as a naional priority, urbanizaion and management of urban places was conceived to play a major role in democraic and socialist India. The planning aimed at: a) to control the urban growth and set the urbanizable limits to ciies concerned, b) the spaial de-organizaion of the city to promote the naional economic development and growth by installing land use pracices. Agra city adopted building bye laws and master plan approaches in planning. POLITICS OF HERITAGE CONSERVATION: LEGACY OF THE ‘PAST’ Heritage conservaion has become one of the most popular issues in recent years. History maters in the discourses and debate over heritage conservaion. Cultural and built heritage cannot be regarded only as the past but as a kind of representaion and reinterpretaion of a past and the recasing of tradiion, substaniated by history. Today 65 heritage is a concept, a perspecive on the world, a poliics of conservaion and an industry―tourism industry. The post-colonial state and society have developed their own ways of redeining and preserving heritage. It is embedded in symbolic meaning of heritage where naionalisic, patrioic, poliical interests and religious values mater. The idea of markeing tourism made it poliically easy to maintain and conserve the grand buildings, such as heritage sites. The recasing and deining of heritage has been an elite and State-centred process oten supported by archaeology/ical studies and excavaions. Generally, idenity construcion and maintenance has been central to archaeology and its materiality (Meskell, 2002). The urban conservaion aciviies began during the 1870s to preserve and restore paricular buildings and monuments of the Great Mughal period in Agra. In 1885, the Archeology Department took on funcions of conservaion and repair in addiion to a spaial survey of monuments including the Taj Mahal of Indo-Persian architecture. Nuryani (1996) menions that “built heritage refer to historic buildings and structures. They oten enjoy statutory protecion by legislaion and very oten recognized simply as one form of cultural heritage” (Nuryani, 1996, pp. 249-260). Heritage in India is regulated and protected by the Ancient Monuments and Archaeological (Sites and Remains) Act, 1958. The Taj Mahal is noiied as a Centrally Protected Monument of naional importance. Conservaion of the ‘cultural heritage’ includes both ancient monuments and archaeological sites and remains. In nutshell there remains contradicions in conservaion pracices in India because: (a) only protected monuments are conserved or get funds for conservaion, and (b) ciies have signiicant heritage which is neither listed nor protected and is geing lost by spaial reconiguraion and changes. “Oten, only monuments such as palaces and religious structures are oicially recognized as legacy structures and conserved, leaving out a host of other buildings which are no less signiicant in historical and architectural terms”(Seyalpadungal, 2012). Source: Site Management Plan 2003. Figure 2. The Taj Mahal at the City of Agra The Taj at Agra has been recognized as a monument of unique architecture but a sign of naional idenity of India (see Figure 2). The Taj Mahal (covering an area of 22.44 hectares) became a global asset when it igured in UNESCO’s World Cultural and Heritage List (1983), insituted in 1972, which establishes certain sites of ‘universal value’ that require internaional co-operaion for their preservaion. HERITAGE CONSERVATION AND TOURISM PROMOTION IN AGRA: CONFLICTING INTERESTS In contemporary society and naion-states the power to control heritage is the power to remake the past in a way that facilitates certain acions in the present. But conlicing prioriies over ‘heritage conservaion’ at internaional, naional and local levels result in tensions in planning which leads to exclusionary management pracices. Oten, 66 the mismatch between World Heritage agenda―promoing universalism, individualism, and raionality―and the local cultural environment disappoints the community interests and excludes speciic forms of living cultural pracices associated with objects and places. Therefore, there are other historical monuments at Agra city which are incomparable as examples of the inest architecture―Itmad-u-daula, Guru Ka Tal, Jama Masjid, Chini Ka Rauza, Ram Bagh, Mariam’s Tomb, Mehtab Bagh, and communiies around are neglected in tourism and heritage planning. Majority of tourists visit the Taj Mahal followed by Red Fort and Sikandra. The heritage consciousness and environmental sensiiveness regarding world renowned monuments i.e. the Taj, led naional and local urban policies to determine the locaion, nature and future of industrializaion, seing a green agenda in and around these ciies. To preserve the cultural heritage’2 convenional industrial units in the city are closed. Agra city witnesses a process of heritage consciousness channeled from top to down and the local issues remain unaddressed. Poliical as well as media imaginaions believe tourism can rejuvenate urban space but more by the process of branding and promoing the city of Taj as an atracive place. Henderson remarks that “[H]eritage and tourism are becoming increasingly linked as heritage atracions occupy a more prominent posiion in tourism markeing and development strategies”(Henderson, 2001, pp. 219-235). The late 1990s and the early 2000s can be regarded as the development phase for the city of Taj Mahal and in place promoion. Power relaions mater in both planning and heritage management agendas. The Supreme Court of India declared a judgment ordering the closure of industrial factories which are allegedly destroying the Taj through air polluion. The court says that ‘Heritage cannot be sacriiced, nor compromised’ (Edensor, 1998, p. 159). A 500 meter zone around the Taj property is developed, which acts as an extended bufer zone where no factory is allowed to funcion. Responding to environmental concerns, the Government of India ideniied the Taj Trapezium Zone (TTZ covers an area of 10, 400 sq km) in 1980s and policies put into acion. The Supreme Court ordered in 1996 that no new construcion and maintenance be allowed without permission in radius of 200 meters around the Taj. This caused great anger amongst many inhabitants and entrepreneurs in Tajganj who took it as a direct threat to their livelihoods. Agra Heritage Project (1993) envisaged for a “clean environment for the tourists where there is free low of traic, a noise and air polluion free atmosphere, so the tourists will know the real beauty of the Taj as in bygone eras” (Edensor, 1998, p. 168). The UNESCO documented more than 2 million visitors in 2001, including more than 200,000 from overseas at the Taj. The year 2004 was celebrated as the Internaional Taj Year on the compleion of 350 years of its existence. Utar Pradesh Ministry for Tourism also started promoing the monument at internaional plaforms such as the Internaional Tourism Meet held in Berlin in March 2004 (Gupta, 2011) and started annual celebraion of the Taj Mahotsav. The number of foreign tourists rose from 0.37 million to over 0.40 million in the year 2004 and 2005 respecively. The number of domesic visitors increased from 1.84 million in 2004 to 2.04 million in 2006. State agencies are rushing to meet the policy guidelines of the governments and planning the city and providing world-class tourist faciliies. Therefore, the remaking of the city through global imaginaions, construcing new connecivity, and ambiious agendas remain central to urban planning. ROLE OF TAJ IN URBAN PLANNING IN AGRA The majesic monument the Taj and the discursive pracices in the construcion of and management of heritage have determined urban development prioriies. One of the key objecives of the irst Master Plan (1971-2001) was to preserve, conserve and to promote the city’s architectural heritage, developing quality infrastructure, tourist faciliies and beter transport connecivity. The present Master Plan (2001-2021) is coninuity of the previous one but emphasis on heritage, tourism, green development and a polluion free city with world-class infrastructure and tourist faciliies. The UNESCO plays a key role in heritage planning and management of the Taj, this global-local nexus inluences development agendas. State has adopted heritage tourism as one component of the development strategies designed to ofset the adverse impacts of the changing city economy. City is one of the beneiciaries of the centrally sponsored Jawaharlal Nehru Urban Renewal Mission (JNNURM) 2005 and Agra City Development Plan prepared under the Mission aims at: (i) creaion of world-class infrastructure, (ii) restoraion and preservaion of 67 heritage buildings and monuments, (iii) posiioning and maintaining tourism development in Agra as a state and naional priority, (iv) enhancing and maintaining the compeiiveness of Agra as a tourism desinaion, and (v) improving exising tourism products and expanding these to meet new market requirements. The urban rejuvenaion projects are launched by the state government to make Agra a city with quality physical infrastructure. A Mono Rail project for 22 km (with a cost of around 1540 crore) links Sikandra, Airport, and the Taj Mahal (See Figure 3). The Yamuna Expressway from Delhi via Noida to Agra is recently completed. Agra as home of Taj, real estate sector is growing and the “brownields”3 in north of the Red Fort are being gentriied with hotels, new oices, recreaional and shopping centres and for commercial purposes. Away from CBD, the major corporate, inance, retail centres, shopping malls, and outsourcing oices are mostly located in Sanjay Place area, a sub-CBD that emerged during the post-economic reforms (1991) period in India. Source: Master Plan (2001-2021) & other informaion is collected from Agra Development Authority Figure 3. Showing Major Locaions in Agra A Shilpagram (handicrat/folkcrat) market is developed near the Taj to sell marble-made products. The present Master Plan divides the city into seven ‘zones’ and the Taj Mahal and Tajganj falls under Zone VI which has exciing planning that promises lot of modern faciliies4 and the couple of ive star hotels are located here. In Zone VI a global tourist centre is planned with water sports, amusement parks, internaional sports stadium, golf courses, internaional convenion centre, nature cure aciviies, mulispeciality hospital, natural and man made wildlife areas, commercial spaces & residenial areas with Green surroundings. A Hi-Tech city, similar to Hyderabad and Bangalore, is proposed on a 1200 hectare area in the south-east of Tajganj (The Taj area) on the south-eastern side of inner Ring Road (See Figure 3). The ‘Global Agra’ imaginaion has inluenced planning and emphasizes a globally-connect-landscape with various ultra-modern faciliies and high class residenial locaions for growing middle-classes. However, Ruet reveals that the technically specialized Authority or Boards such as ADA, Regional Town Planning Board and the coordinaion with other sectors reduces, thus creaing potenial problems for the coherence of planning (Ruet, 2005, p. 71). Agra is best example of this crisis and the responsible insituions do not have updated informaion and database that can help designing beter policies in sectors of housing, transport, civic ameniies and infrastructure. 68 HERITAGE CITY AND MARGINAL SPACES Agra city planning authoriies lack an inclusive vision to link the let-out historic sites with the growing tourism industry and income generaing aciviies. The city is under pressure in terms of civic faciliies and basic ameniies. Supply of drinking water is a major crisis and every day there is shortage of 50 million liters water. Several localiies within wards do not have a water network system at all.5 More than 15% of the city area is not covered by piped water supply network. The area covered by sewerage system is only 17% in the city. In 1991 municipal authoriies recorded 43% of the city populaion lived in slums or Jhuggi-Jhompris. The Census of India 2001 reported a 0.1 million slum populaion, consituing only 9.5 % of the city populaion. According to the District Urban Development Agency esimates there were 252 slums approximately, consituing 44% of the city populaion in 2001. The latest data suggests that there is 0.83 million people living in slums, consituing 49.2% of the city populaion6 (see Figure 4). While the whole city coninues to be poorly served in terms of infrastructure services, slums in paricular have substandard housing, lack in basic services and unsanitary living condiions. The percentage of Scheduled Castes (SC) and Other Backward Castes (OBC) in the slums has been esimated at 50% and 40% respecively. The SC populaion in slums is signiicantly higher than that in the city (21.5%). More than 25 thousand families are esimated to be living below the poverty line (BPL) in Agra city. Agra is primarily dominated by household and non-household industrial workers engaged in leather works and stone carving works (Tiwari, 2005). Around 79 out of 90 wards have slums in Agra. Some 84% of slums are reported to have legal land rights and about 7% encroachers on public land. More than 30% of slums do not have access to a municipal water supply. Access to private toilets is limited to 58% of households and if community toilets are available, they are in unsanitary condiions. Literacy rates in slums are 54% for males and 46% for females. The majority of slum residents rely on private services for health care due to lack of adequate public health care services. Unemployment rate in the slums is 36.5% in the city. Source: Map collected from Agra Municipal Corporaion, 2011 Note: Red color represents listed slums, whereas non-listed slums are in blue color Figure 4. Locaion of Slums in Agra City 69 The ground reality of four Katras or localiies (located in convenional boundaries of the Taj Complex) in Taj Ganj as studied by Naional Insitute of Design, Ahmedabad (2011) discloses the following issues: a) the municipal water supply system is unplanned and haphazardly implemented, b) sewerage drainage lines are haphazardly placed throughout Taj Ganj, c) open drains are clogged with plasic bags and other inorganic waster, d) garbage is piled up on streets and not collected properly, and e) clogging of infrastructure leads to reduced services levels and raises issues of sustainable pracice (Mantri, 2011). Leaving ‘posh’ colonies, the rest of the city poses a picture of inadequate infrastructural faciliies and basic services to the urban poor. CONCLUDING REMARKS This study reveals that the history of heritage conservaion plays an important role in determining and shaping the nature and prioriies of urban development pracices. The poliical construcion of heritage witnesses the conlicing interests in planning. The current centralized management and top-down planning pracices oten exclude the communiies living around heritage sites from being a stakeholder in the conservaion aciviies. Excessive focus on the global heritage of the Taj in the planning process dilutes atenion from the other historical sites. Historical advantage of Taj has not beneited the people of Agra in terms infrastructure and civic ameniies. Agra is burdened with growing demands; the tag of ‘world heritage site’ has pressured it to create spaces and provide faciliies for the global tourists. In response, there has been an excessive inluence of heritage over planning in shaping the direcion of the city and the allocaion of appropriate land uses for leisure and recreaional purposes, promoing the city as an atracive global place. On the lip side, interior zones of the city are not paid much atenion in terms of promoing cultural values and ofering economic opportuniies, rather bypassing pracices have discouraged both tangible as well as intangible values. The State is promoing tourism-based industry, projecing the city as a global desinaion with all quality infrastructure and faciliies, aestheicisaion processes, place promoion during mega events such as last commonwealth games and neoliberal pracices in planning; it has largely neglected the local requirements of the slums. The present projects are determined by global thinking and prioriies to make Agra a ‘world-class’ city that leaves aside the criical urban problems waiing to be addressed. It seems that the history of and reinforcing of marginal spaces in the city is connected to the presence of the Taj and its brandings. Now urban policy and heritage planning need a change which can encourage local people to be stakeholder and involve in heritage management processes, conservaion and making livelihoods out of tourism. ENDNOTES 1 2 3 4 5 6 70 Modern urban planning came as an answer to introduce public health and hygienic through laying of sanitaion infrastructure, grid-iron patern of roads to facilitate movement of motorized transport and also lying infrastructure, ‘opimum’ locaion of economic aciviies and control populaion densiies. Cultural heritage is the legacy of physical arifacts and the intangible atributes of a group or society that are inherited from the past generaions, maintained in the present and bestowed for the beneit of future generaions. Cultural heritage includes tangible culture and intangible culture. See htp://en.wikipedia.org/ wiki/Cultural_heritage Brownields are abandoned, formerly industrial, lands. Earlier about 6% land area in the city was occupied by the industrial establishments in the northwards of Red Fort. Zone VI covers the Taj Mahal and the areas around extending along the Fatehabad road. The major focus of city planning in this zone emphasizes development of food malls, tourist commercial malls, hotels, muliplexes and internaional recreaional faciliies. The land use for enire zone is: residenial 14.9%, commercial 13.6%, industrial (light industry) 15%, recreaional 14.6%, and greenbelt 6.65%. Agra Municipal Corporaion water distribuion system is not available and these are: Sikandra-II, Bodla-II, Shahganj-III in north-west, Tajganj-II, III in south of the Taj, Trans Yamuna-II & Ghatwasan-II. Regional Centre for Urban & Environmental Studies, Lucknow (2011) Agra city has 417 slums. REFERENCES Basani, E. J. (Ed.). (1965). Gazeteer of India Utar Pradesh Agra. Lucknow: New Government Press. Dasgupta, D. (2011). Tourism markeing. Singapore: Pearson Educaion. Edensor, T. (1998). Tourist at the Taj: Performance and meaning at a symbolic site. London: Routledge. Gooptu, N. (2007). Economic Liberalisaion, Work and Democracy: Industrial Decline and Urban Poliics in Kolkata. Economic and Poliical Weekly, 42(21), 1922-1933. Gross, J. S. & Hambleton, R. (2007). Global Trends, Diversity, And Local Democracy. In R. Hambleton & J. S. Gross (Eds.), Governing Ciies in a Global Era-Urban Innovaion, Compeiion, and Democraic Reform (p. 1). New York: Palgrave Macmillan. Gupta, I. P. (1986). Urban Glimpses of Mughal India. Delhi: Discovery Publishing House. Gurung, G. S. & Kollmair, M. (2005). Marginality: Concepts and their Limitaions [IP6 Working Paper No.4]. Zurich: DSGZ. Henderson, J. (2001). Heritage, Idenity and Tourism in Honk Kong. Internaional Journal of Heritage Studies, 7(3), 219-235. Mantri, S. (2011). Taj Ganj, Agra: A study and an approach plan towards sustainable heritage and community based tourism. Retrieved January 9, 2011, from htp://www.scribd.com/doc/65289950/Taj-Ganj-Agra-A-Study-andan-Approach-Plan-Towards-Sustainable-Heritage-and-Community-Based-Tourism Meskell, L. (2002). The Intersecion of Idenity and Poliics in Archaeology. Annual Review of Anthropology, 31, 279-301. Nuryani, W. (1996). Heritage and Postmodern Tourism. Annals of Tourism Research, 23(2), 249-260. Ruet, J. (2005). Planning of Indian Mega-Ciies: Issues of governance, the public sphere, and a pinch of civil society. In E. Hust & M. Mann (Eds.), Urbanizaion and governance in India (p. 71). New Delhi: Manohar Publishers & Distributors. Sager, T. (2011). Neo-liberal urban planning policies: A literature survey 1990s-2010. Progress in Planning, 76, 147199. Sassen, S. (2010). The City: Its Return as a Lens for Social Theory. City, Culture and Society, 1, 3-11. Seyalpadungal, P. K. (Ed.). (2012). Act to save our heritage. India: The Hindu. Sinopoli, C. M. (1994). Monumentality and Mobility in Mughal Capitals. Asian Perspecives, 33(2), 293-308. Tiwari, R. S. (2005). Informal Sector Workers-Problems and Prospects. New Delhi: Anmol Publicaions. 71 RECOVERING HISTORICAL CLIMATE BASED INFLUENCES FOR HERITAGE AND CONSERVATION PLANNING Lee A. Fithian1 and Catherine Montgomery2 1 AIA, AICP, LEED AP; Associate Professor, University of Oklahoma College of Architecture, USA 2 AIA; Principal, Preservaion &Design Studio; Oklahoma City, Oklahoma, USA ABSTRACT Tradiional heritage site data collecion includes such elements as universal or historical signiicance, architectural classiicaion, materials, seing, and cultural impact. Environmental data is limited to speciic geographic locaion coordinates of the heritage site boundaries. While World Heritage sites contain the provision for unique natural environments, none of the data collected include current or historical climate data germane to their geographic locaion. Importantly, the inluence of localized climate (including the naive ecosystem) upon the design and development of the site is not oten ideniied except perhaps through a narraive summary. In the context of planning and creaing sustainable futures for heritage sites, it is important that historical climate data; including diurnal temperature cycles, wind force and direcion, sun path and rainfall; are researched and considered. Many of the site layouts, materials, fenestraion and water management systems are fundamentally linked to the historic and localized climate at the ime of construcion and development. A complete understanding of the impact of adjacent properies or developments or the adapive reuse of these sites is impossible without this historical climate data and therefore any type of heritage planning is suspect without its inclusion. Furthermore, since the advent of modern systems based comfort and lighing systems, the impact of historic natural and passive responses of individual and aggregate built environments has been lost creaing unsustainable energy and resource usage within the urban fabric. This paper will focus on the recovery and incorporaion of historical climate data on planning, restoraion or adapive reuse decisions for heritage sites within the urban context in order to provide more sustainable responses furthering the concept of sustainable ciies. 72 REDEFINING HOUSING PRODUCTION SYSTEMS IN DEVELOPING COUNTRIES: A COMPARATIVE STUDY OF HOUSING STRATEGIES IN SOUTH AFRICA AND ZIMBABWE Lovemore Chipungu1 and Hope Magidimisha2 1 University of KwaZulu-Natal, Durban, South Africa E-mail: chipungu@ukzn.ac.za 2 Human Science Research Council, Durban, South Africa E-mail: HMagidimisha@hsrc.ac.za ABSTRACT Housing producion systems, though the same in theory, are driven by diferent contextual factors. Hence the success of any system or inversely in any given country cannot be atributed to paradigm failure, but to socioeconomical factors prevailing in a paricular context. The achievement of democracy in South Africa in 1994 was a negoiated process which saw the birth of new policies and the redirecion of exising ones. In the housing arena, the release of the Housing White Paper by the Department of Housing (1994) and later the Breaking New Grounds by the Department of Sustainable Setlements (2004) exposed contradicions and conlicts in the housing producion systems. The overall policy approach comprises a range of opions but with emphasis on one-of capital subsidy for the provision of a serviced stand and a core-house through a contractor driven approach. On the other hand, Zimbabwe has evolved to embrace self-help as an overall tool in housing producion. Hence this paper makes use of these two cases to deliberately unravel the underlying dynamics in the housing producion systems of the two countries. It argues that among other issues, the South African approach has not only encouraged a handout mentality among low-income households, but is also contrary to the spirit of self-help. It further observes that the Zimbabwean approach, though self-reliant in nature, is bureaucraic leading to erraic service provision. The paper concludes by contending that the success of any housing producion system can only emerge out of the fusion of the instruments being pursued in both countries – one where abundant subsidy resources are invested into a populaion recepive of a self-help approach. KEYWORDS: Housing, Housing producion systems, Housing instruments, Housing strategies 1. INTRODUCTION Housing delivery especially among low income people is one of the challenging tasks most governments in developing countries are facing. While acknowledging that the level of economic development can undoubtedly determine the level of housing delivery, it can also be tentaively argued that the nature of policies in place coupled with strategies for delivery have signiicant impact on the level of producion expected. This paper, which takes a comparaive approach in reviewing housing producion systems in Zimbabwe and South Africa briely, discusses housing policies that prevail in both countries with the overall intenion of establishing their eicacy. These two countries, which share common socio-economic and geographical space in southern Africa, have shown efecive apitude which if capitalised, can be shared with other developing countries. The paper concludes by proposing that the housing challenges bedevilling most developing countries require a proacive approach that is driven by adequate capital and supported by community iniiaives. But it is also worth noing that the eicacy of any proposal largely depends on contextual circumstances. 73 1.1 Methodology This paper was based on desk-top research which in essence involved the review of exising literature available from both countries. It largely depended on staisical and policy documentary evidence from government and other published research papers on housing. The availability of informaion and the limit on the length of the paper determined the depth of discussion. The paper is structured in 4 Secions. The 1st Secion is the introducion which also includes the methodology and the framework for analysis. This is followed by the case studies and discussion in Secions 2 and 3 respecively. Secion 4 concludes the paper. 1.2 Framework for Analysis The general percepion of the housing problem is seen as a result of a mismatch between people’s socio-economic and cultural situaions and their housing processes and products. Many authors (Keivani, Abiko & Werna, 2004, p. 29; Malpass & Murie 1999, p.3) agree on the fact that the best way to understand the housing problem is to idenify and examine the processes that determine the social relaions and interacions of agents involved in all aspects of housing producion. In this regard, housing producion systems provide a powerful analyical tool since they focus on diferent processes involved in the producion, exchange and consumpion of housing. Hence the underlying key in understanding housing producion systems is to unveil the nature of relaionships and interests between actors and the strategies they employ (Ritzer & Smart, 2003). Structures are created by economic and poliical organisaions to intervene in the built environment at both macro and micro economic levels (Keivani et al., 2004, p. 29). Agencies, on the other hand, relate to the muliplicity of actors (such as investors, households, public sector) involved in the built environment and their acions lead to the producion and consumpion of housing units. It is these interacions and relaions that determine the inal form of structures (Keivani & Werna, 2001, p.73). Like in any system, these two components of the housing producion process are not staic, but dialecical and dynamic. Their levels of interacion and modes of intervenions are so complex that they give rise to many conlicts and challenges. Hence the state intervenes in order to determine the public interest while at the same ime safeguarding the strategic needs of individual agents (Napier, 2009; Keivani et al., 2004; Carmona & Gallent, 2003) The success of housing producion systems largely depends on policy instruments that are designed in order to achieve desired efects in housing producion. Basically two types of instruments are commonly used viz - regulatory instruments and economic instruments. Regulatory instruments govern the housing producion process through laws that are enacted whereas economic instruments inluence acions of individuals and corporaions involved in housing producion. Key among such instruments are building standards, zoning, land management and subsidies. It is the interacion between housing producion systems and housing instruments that eventually determine the level and quality of housing delivery. 2. AN OVERVIEW OF HOUSING POLICIES AND STRATEGIES 2.1 Housing Policy in Zimbabwe The policy framework for housing delivery in Zimbabwe anchors on 4 key tenets – viz homeownership, minimum housing standards, self-reliance and cost efeciveness of public and private sector partnerships. The interplay of these policy issues involve a number of complexiies but with the sole aim of enhancing housing delivery as briely summarised in Table 1. Table 1. Key Features of Housing Policy in Zimbabwe Policy Instruments Details Home Ownership New housing schemes to be based on home-ownership with pre-independence government housing stock being converted from rental to homeownership. Minimum Housing Standards Sipulate the type of materials to be used for housing, minimum size of plot, type of infrastructure, plinth area and habitable rooms. 74 Self-reliance and Cost-efeciveness This is a muli-pronged instrument that is driven by self-help principles with both beneiciaries and government engaged in the process. Private and Public Sector This was mainly driven by donor funding but which later atracted other stakeholders Partnerships such as employers and inancial insituions. Sources: Author from various sources (2012) To enable eicient delivery, the Zimbabwean housing policy framework is driven by principles of aided self-help, building brigades and housing cooperaives outlined in Table 2. Table 2. Housing Strategies in Zimbabwe Descripion Strategy Aided self-help Local authoriies are to provide serviced stands, technical assistance and afordable loans to beneiciaries who would build their houses using their own addiional resources. Building brigades These were to be formed by local authoriies in order to manufacture building materials, construct houses, renovate and upgrade houses - though they seem to be defunct now. Cooperaives These are formed by groups of beneiciaries who pool together resources in order to build their houses more cheaply with local authoriies providing technical, administraive, inancial and training assistance. Source: Author from various sources (2012) Housing implementaion in Zimbabwe is also governed by a legislaive framework which is dependent on the Regional, Town and Country Planning Act (Chapter 29:12 of 1996). This key legislaion is supported by other pieces of legislaion (such as the Urban Councils Act – 1996, Deeds Registries Act - 1995 and the Land Survey Act – 1992), which are also acive in housing delivery. Despite having such a clear housing policy, housing producion in Zimbabwe especially among the urban poor has been very erraic. This is simply because the system is highly dependent on the contribuion of beneiciaries who are governed by convenional housing producion systems. Barely 10 years ater ataining independence in 1980, evidence of housing deicit was already emerging. The housing problem among the urban poor relects a quanitaive deicit arising out of a mis-match between supply and demand. Vambe (2008) esimated the naional housing backlog to be 1.5 million units with 80% of those grossly afected being in the low-income bracket. At that ime, it was projected that the government required Z$ 8 billion annually to overcome the deicit by the year 2010 (Kamete, 2006, p. 983). It was demonstrated with characterisic pessimism that even if all the housing producion systems were to be put to their maximum, the country could only achieve a total of 15,000 housing units per annum – thus sill leaving unfulilled a formidable quanity. Such a scenario is inevitable given that for a long ime, the country depended on donor funding and beneiciary contribuion coupled with erraic inancial support from the government. Against such a backlog, the Minister of Finance only allocated $25 million in his 2012 naional budget to cater for only 2 904 housing units being constructed through the IDBZ housing project (GOZ, 2012). 2.2 Housing Policies and Strategies in South Africa The South African housing policy was born out of the conlict and misconcepions of the pre-1994 period. This inevitably saw the Reconstrucion and Development Programme (RDP enacted in 1994) as the major vehicle through which housing could be provided progressively. In essence, the RDP became a lagship policy framework for integrated socio-economic progress. In the housing arena, the name RDP has become an emblem for any housing schemes especially among the low-income people. However, it must be emphasised that although the RDP has been the leading policy guide, it is also supported by a plethora of policies whose content and focus are directed towards speciic gaps and housing needs of the country. Most of them are derivaives of the 1994 White Paper 75 which aimed at establishing viable and economically integrated communiies. A summary of the various policies and guidelines passed over the years are summarised in Table 3. Table 3. An Overview of Housing Policies in South Africa Policy Descripion Year Reconstrucion Development Programme (RDP) 1994 Framework for integrated and coherent economic progress with the aim of eradicaing imbalances created by apartheid such as inadequate housing. White Paper on Housing 1994 Holisic policy that touches on all aspects of housing such as tenure, sanitaion, infrastructure, socio-economic faciliies, insituions and strategies. People’s Housing Process (PHP) 1998 revised as the Enhanced PHP of 2008 Aims to assist communiies to achieve decent housing through sweat equity by encouraging NGOs to assist beneiciaries with planning and implemening housing projects. Breaking New Ground (BNG) 2004 Shit from focus on quanity to quality and choice of housing through innovaive and demand driven housing programmes and projects with the overall aim of eradicaing informal setlements by 2014. Social Housing Policy (SHP) 2005 Creates an enabling environment for insituions that provide housing for low-to-medium income people but that exclude immediate individual ownership. Inclusionary Housing Policy 2007 Aims to create a more racially integrated and income inclusive residenial environments. Naional Housing Code 2009 It sets out policy principles, guidelines, norms and standards which apply to government’s various housing assistance programmes. Source: Adopted from various documents by author (2012) In order to operaionalise these policies, the South African government ideniied speciic strategies. At the core of these strategies is the subsidy scheme that has since evolved to be an over-arching instrument in housing delivery. Table 4. Key Strategies for Housing Implementaion in South Africa Descripion Strategy Subsidies There are currently 5 forms of subsidies - these being project linked subsidies, consolidated subsidies, insituional subsidies, individual subsidies, rural subsidies and the enhanced extended discount beneit scheme. Partnership Based on the concept of public-private-social partnership, meant to allow mobilisaion and harnessing of combined resources, eforts, and iniiaives of communiies, the state, commercial and private sectors. Mobilisaion of Housing Finance Focuses on the mobilisaion of addiional resources to supplement government subsidies through private investment, formal credit and individual savings. Land Management Focus is on the speedy release and servicing of land in order to secure access to freehold land for development e.g. seing up of provincial land tribunals to resolve land disputes thereby fast-tracking housing development. Commentary Grants These are naional grants for the provision of bulk infrastructure and services such as the Consolidated Municipal Infrastructure Programme meant to ensure equitable access to afordable municipal services. Source: Compiled from diferent sources by author (2012) In addiion to the above, the South African housing producion system is guided by a number of legislaions that empower the three spheres of government (Naional, Provincial and Municipal) and other insituions in the 76 delivery of housing. Among such key legislaions are the Naional Housing Act of 1997 (which has been undergoing a lot of amendments), the Prevenion of Illegal Evicion from and Unlawful Occupaion of Land (19 of 1998) and the Municipal Systems Act No. 32 of 2000. Through proper harnessing of resources available, the South African Government has delivered 3 230 000 housing units mainly to the low-income people since 1994 (South African Development Report, 2011, p. 26). This concerted efort by government has seen signiicant and fundamental improvements in people’s access to decent housing coupled with beter physical infrastructure, social and economic faciliies. The government’s proacive acion has not only been directed towards the urban areas, but also to rural areas where the rural populace has beneited largely through rural subsidy schemes (Rust, 2002). As already noted above, this success has been mainly underlined by the aggressive mobilisaion of housing inance which saw subsidies being uilised in every sector of housing producion. For instance, the Department of Human Setlements received R22 billion for housing delivery in the 2011-2012 budget with a further R100 billion being allocated to other allied departments involved in bulk infrastructure development (South African Development Report, 2011, p. 28). This, admitedly, has made South Africa the leading country in the world that has managed to deliver housing at such a large scale in a relaively short period of ime. However, despite such overwhelming evidence of success, the country is sill reeling under a backlog of 2.4 million housing units with 12 million people without adequate housing. 3. EMERGING ISSUES There are a number of criical issues that can be drawn from these two case studies which have both posiive and negaive impacts to successful producion of housing. On one hand is Zimbabwe, a country which is largely driven by community-based iniiaives in housing producion, while on the other hand is South Africa which is largely dependent on government subsidies in housing producion. Among such observable issues is the slow pace of housing delivery, quality of housing, level of services, emphasis on superstructure, dependency syndrome, fraud and Corrupion and rapid urbanisaion. One observable feature in both countries is the unstoppable surge of urbanisaion mainly characterised by ruralurban migraion and which manifests itself (among other things) in the search for housing rights by migrants. However, in the case of Zimbabwe, there has been a dramaic decline in rural-urban migraion mainly atributed to the failure of the Economic Structural Adjustment Programme (launched in 1990) to create tangible social and economic incenives for atracion, such as housing and employment. This was further dampened by Operaion Murambatsvina/Remove Filthy of 2005 which showed the government’s negaive and hard stance towards urban informality arising out of urbanisaion pressure (Muderere, 2011; Chipungu, 2011). This situaion has been worsened by rigid statutory instruments that uphold law and order, especially in restricing access to housing rights by sipulaing strict planning regulaions and high building standards and codes. South Africa, on the other hand has a lot to ofer for the majority of its populaion, which over the years has been side-lined by the apartheid regime. The search for beter opportuniies has seen the urban space in South Africa being the recipient of most migrants from both within and outside its borders. To date, 57.5% of the South African populaion is urbanised. Unfortunately, this high level of urbanisaion has signiicantly contributed to the development of informal setlements which increased from 300 setlements in 1994 to 2 628 in 2010 (Delivery, 2012, p. 29; SA Development Report, 2011, p. 27). This increase can partly be atributed to the country’s liberal laws, speciically the Prevenion of Illegal Evicion from and Unlawful Occupaion of Land (19 of 1998) which to some extend protects people who engage in development of informal setlements. The diferent responses to urbanisaion observable above have further repercussions on housing producion. The Zimbabwean response which is highly reacionary; underlined by prevenive and erraic remedial measures (as witnessed by Operaion Murambatsvina/Remove Filthy of 2005) can largely be blamed for the high cumulaive housing backlog of 1.5 million which the country is batling with at the moment. Such a response has withdrawn people’s expectaions from the government, allowing them to indulge in community-based housing producion 77 systems with the state simply playing a facilitatory role. It is therefore not surprising that at the height of the Fast Track Land Reform Programme (embarked in 2000) over 100 housing cooperaives emerged countrywide to engage in housing producion. In Harare alone during Operaion Garikai/Hlalani Kuhle (of 2005), 20 477 people were allocated stands in order to build their houses (Chimhete, 2005). This together with the country’s housing policy which is highly biased towards homeownership has largely contributed to self-help iniiaives thereby leaving litle room for rental housing schemes. South Africa, unlike Zimbabwe, embraces both a westernised and innovaive response to housing demand arising from urbanisaion. This is characterised by large-scale housing producion and upgrading of informal setlements. To date, close to 3 million housing units have been built over a period of 18 years. Unfortunately, the “hand-out” approach has fundamentally contributed towards the current dependency syndrome among households who sit back waiing for the government to deliver. In addiion, the high level of expectaion created by the government has indirectly contributed to the increase in the number of informal setlements. Rather than invesing their ime and money in building houses, most people would rather wait for over 20 years to be allocated a house by government. It is therefore not surprising that since 1994; only 3% of the country’s new housing stock has been provided through people’s housing process (Bolnick, 2010). One of the atributes of decent housing hinges on the aspect of quality which is perceived as a key factor in improving the quality of life. An Urban Assessment Report of Zimbabwe done in 2011 showed that most people in the country’s urban areas live in modern houses built with brick and mortar. It further noted that the average age of housing ranged from 20 to 86 years with most houses that are less than 30 years old being in good condiion. While this could be true of established (old) low income residenial areas, new housing schemes and rural areas depict a diferent picture. Muderere (2011, p. 23), in his survey of over 17 housing cooperaives found that only 26.5% of houses built by people’s self-iniiaives had modern structures built three years ater households had moved into the area as opposed to 73.5% which are informal. In the countryside, most houses are built of tradiional materials such as pole, sun-burnt bricks and covered with asbestos or thatch. The South African situaion, on the other hand depicts a scenario with a variety of housing ranging from tradiional to modern housing but with most of them being modern and 2 628 being informal setlements. It is also important to note that the concepion of housing goes beyond shelter – it includes infrastructure and services that connect individuals and households to neighbourhoods and communiies. One observable aspect about housing delivery in both countries has been the challenge of connecing new housing schemes to both physical and social infrastructure. Zimbabwe, for instance, has been struggling to provide physical infrastructure (i.e. water, sewer, roads and electricity) which has seen delays in delivering serviced land thereby stalling housing producion. This has been largely atributed to both inadequate and aging infrastructure and erraic cash lows to upgrade and build new infrastructure (Kamete, 2006). The Bulawayo Municipality for instance, is struggling to mobilise $18 million in order to connect 700 houses and 7000 stands allocated during Operaion Garikai/Hlalani Kuhle (of 2005) to proper water and sewer reiculaion (The Chronicle, 2012) while the City of Masvingo is seeking $45 million to expand its water works to meet the city’s consumpion demand. The current capacity of 24 mega litres per day was designed to cater for only 35 000 people against the current 100 000 people. It is therefore not by coincidence that the country always sufers from perennial cholera outbreaks which claimed 4000 lives in 2008 (Mpofu, 2011). However, as opposed to physical infrastructure, most households in Zimbabwe have access to social infrastructure. Muderere (2011, p. 21) in his survey of households in cooperaive housing schemes further observed that 75% of the respondents had access to social infrastructure as opposed to only 25% that had access to physical infrastructure. South Africa on the other hand, has achieved high levels of access to physical infrastructure. As of March 2010, 93.8% of the populaion had access to reiculated water while 79.9% had access to sanitaion. Such high access levels have been boosted by the country’s free basic water policy which allows each household to receive the irst 6000l/m of water free of charge. With a commited inancial budget of R100 billion allocated to cater for 78 infrastructure in the 2011/2012 budget, the country will be able to accommodate and improve the situaion of 500 000 people who do not have access to infrastructure in a relaively short period (SA Development Report, 2011). However, access to social and economic services in new housing schemes is sill a problem since most houses built under subsidy schemes are not accompanied by such services, as they are driven by availability of land with a focus on providing the superstructure only (SA Development Report, 2011; Goebel, 2007). While there are indeed success stories of eiciency in delivery and management, there are also concerns regarding the capacity to deliver. These arise mainly due to unavailability of qualiied people to handle such projects, thereby resuling in under performance. Zimbabwe, over the years, has sufered from professional brain-drain due to the economic meltdown (GOZ, 2012). Inadequate capacity to deliver on the part of South Africa has seen some underperforming provinces barely exhausing their annual inancial budgets despite endless protests of poor service delivery. So gross is the problem of incapacity that the Department of Human Setlements had to reallocate R463 million of unspent housing grants in 2010 alone. The situaion has been aggravated by widespread corrupion which manifests itself in the form of poor quality housing (Goebel, 2007). In summary, it can be argued that the interplay of these factors has resulted in mixed outcomes, typiied by resilience to work towards personal achievement among households in Zimbabwe yet with both saisfacion and protests in South Africa (see Table 5). Table 5. Emerging Issues Issues Zimbabwe South Africa Policy Framework Thin & inadequate Comprehensive & inclusive. Housing delivery systems Convenional & structured Diverse & encompassing. Housing Funding Erraic & inadequate Diverse & adequate. Insituional Capacity Insuicient Insuicient with corrupion. Beneiciary Response Self-reliant & resilient Dependent & demanding. Housing infrastructure Inadequate Diverse & eicient. Source: Authors (2012) This in turn calls for proacive intervenions that are holisic. Cost cuing measures arising from top-down housing producion systems, coupled with self-help housing producion systems supported by governments’ clear comprehensive yet inclusive policies, can signiicantly contribute towards eicient housing producion. 4. CONCLUSION What emerges from this discussion is the submission that housing producion systems, though the same in theory, are driven by diferent contextual factors. Hence the success of any system or inversely cannot be wholly atributed to paradigm failure, but to the socio-economic factors prevailing in that paricular context as has been demonstrated by the case studies. The case of South Africa, for instance, depicts a country rich in resources and supported by a plethora of policies which in the housing arena touch on every aspect of housing delivery strategies. Yet in reality, the country’s housing delivery system is heavily ilted towards subsidy housing schemes provided by the government with very litle paricipaion from beneiciaries. On the other hand, the Zimbabwe situaion has evolved to embrace self-help as a key tool in housing producion. The thin policy framework coupled with erraic inancial support from the naional iscus has nurtured households to take their own iniiaives to house themselves. They have managed this though under diicult situaions, characterised by the government’s intolerance of substandard houses. It is therefore clear from this paper that the success of any housing producion system can only emerge out of the fusion of the instruments being pursued in both countries – one where abundant subsidy resources are invested 79 into a populaion that is highly recepive of paricipaion principles. In the case of South Africa, there is dire need for advocacy with the intended outcome of educaing beneiciaries of the need to paricipate in housing producion. This would not only create a sense of responsibility on the part of beneiciaries, but also greatly contribute towards creaing houses and neighbourhoods that meet their aspiraions. Turner (1976, p. 6) captures this phenomenon when he explicitly noted that: When people have no control over or responsibility for key decisions in the housing process…….. dwelling environments may instead become a barrier to personal fulilment and a burden on the economy. REFERENCES Bolnick, A. (2010). Informal setlement upgrading: Towards an incremental people centred approach. Ikhayalami, South Africa. Chipungu, L. (2011). Insights into urban development control challenges: A case study of operaion murambatsvina/ restore order in Zimbabwe. The Built and Human Environment Review, 4(2), 17-32. Chimhete, C. (2005). Operaion garikai a pie in the sky. The Sunday Mail. Harare, Zimbabwe. Carmona, M., Carmona, S. & Gallent, N. (2003). Delivering new homes: Processes, planners and providers. London: Routledge. Delivery. (March-May 2012). Magazine for local government. South Africa. Goebel, A. (2007). Sustainable urban development? low-cost housing challenges in South Africa. Habitat Internaional, 31, 291-302. Kamete, A. Y. (2006). Revisiing the urban housing crisis in Zimbabwe: Some forgoten dimensions? Habitat Internaional, 30, 981-995. Keivani, R., Abiko, A. & Werna, E. (2004). Pluralism in housing provision in developing countries: Lessons from Brazil. New York: Nova Science Publishers. Keivani, R. & Werna, E. (2001). Modes of housing producion in developing countries. Planning in Progress, 55, 65-118. Malpass, P. & Murie, A.(1999). Housing policy and pracice (5th ed). New York: Palgrave. Mpofu, M. (2011, January 21). Water and sanitaion: Sanitaion perspecives in Zimbabwe, Harare. Newsday, C9C16. Muderere, T. (2011). Think globally, act locally? the reverse osmosis of housing rights in transiional democracies. Journal of Sustainable Development in Africa, 13(6), 12-33. Napier, M. (2003). Supporing the people’s housing process. In, F. Khan & P. Thring (Eds.). Housing policy and pracice in post-apartheid South Africa (pp. 321-362). Johannesburg, South Africa: Heinemann Educaional Publishers. Ritzer, G. & Smart, B. (2003). Handbook of social theory. London, UK.: SAGE Publicaions. Rust, K. (2002). Housing policy and programme review (Policy evaluaion). South Africa: Department of Housing, Gauteng Provincial Government, Human Science Research Council. South African Government - Reconstrucion Development Programme (1994) - White Paper on Housing (1994) - People’s Housing Process – (1998, revised as the Enhanced PHP of 2008) - Breaking New Ground (2004) - Social Housing Policy for South (2005) - Inclusionary Housing Policy (2007) - Naional Housing Code (2009) - Development Report (2011) The Chronicle. (2012, March 7). Government warns councils over Hlalani-Kuhle houses. Zimbabwean Newspapers, C9-C11. 80 Turner, J. F. C. (1976). Housing by people: Towards autonomy in building environments. London: Marion Boyers. Vambe, M. T. (2008). The hidden dimension of operaion Murambatsvina. Harare, Zimbabwe: Weaver Press. Zimbabwean Government - Ministry of Local Government, Public Works and Naional Housing, The Naional Housing Delivery Programme 2003. - The Regional Town and Country Planning Act, Chapter 29:12, Revised Ediion, 1996. - Urban Councils Act (Chapter 29:15). - New Housing Standards for High, Medium and Low Density Residenial Areas. Circular No. 70, Ministry of Local Government, Public Works and Naional Housing (2004). - Ministry of Finance (2012). The 2012 Naional Budget – Sustaining Eicient Inclusive Growth with Jobs. 81 DEVELOPMENT CONTROL GUIDELINES WITH A PHYSICAL VULNERABILITY PERSPECTIVE IN A HILL AREA Ajay K Katuri1 and Pragya Sharma2 1,2 Faculty of Planning and Public Policy, Centre for Environmental Planning & Technology Ahmedabad, India 1 Asst. Professor, FoPPP, CEPT University, E-mail: ajay.katuri@cept.ac.in 2 Research Student, FoPPP, CEPT University, E-mail: ar_pragya@yahoo.co.in ABSTRACT Uncontrolled, unplanned and haphazard development of hill regions is creaing serious threat not only to the heritage of hill setlements but their existence itself. These issues mainly can be atributed to the intensive and unplanned (with no heed to the prescribed development guidelines) development aciviies taking place due to rapid expansion of hill towns to accommodate the ever increasing inlux of populaion migraing from surrounding villages at a fast pace in order to ind employment in the city. It has also shown discernible destrucive impact by way of loods, siltaion of water bodies, loss of soils and crops, damage to human habitat, etc. Above all, these regions are highly vulnerable to natural disasters like earthquakes, landslides and loods. Due to lack of proper planning guidelines incorporaing disaster miigaive techniques, these regions face unhealthy and dangerous living condiions, oten leading to irreversible life loss and economic loss. Over 95 per cent of all deaths in an earthquake result from building failures, yet they are one of the most ignored aspects of the miigaion process. Hence, a need arises for a set of guidelines which address earthquakes with a pre-disaster, pro-acive approach, hence making building design the centre of the whole process. But such guidelines would form the second part of the process. The irst step to the proposal of such guidelines would be the ideniicaion of buildings vulnerable to damage based on their locaion, design, and construcion techniques. Once we idenify damage prone buildings, special guidelines can be formed keeping in mind such exising buildings too. The Federal Emergency Management Agency in the United States has developed a tool called Hazards-US for esimaing the potenial losses from disasters. HAZUS uses GIS to graphically illustrate the high risk zones in disaster prone areas. Building Risk Assessment forms a part of HAZUS wherein one can esimate how vulnerable a building is to damage and how much potenial loss it can cause. As deined by FEMA-HAZUS, it is a complex and ime consuming process. For such a process to be implemented in India, and that too by a local authority, certain logical simpliicaions need to be done to make the process cost and ime efecive. This research is an atempt to customize the process of Building Risk Assessment for a hill area. Vulnerable buildings are ideniied in the selected Study Area using the simpliied process and the study area is divided into vulnerable and non vulnerable zones. Later guidelines for the safety of the buildings in the vulnerable zones are given along with a set of instrucions to be followed for new developments. KEYWORDS: Building atributes, Rapid building vulnerability assessment, Development control regulaions, FSI. Copyright: Permission to make digital or hard copies of all or part of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for proit or commercial advantage and that copies bear this noice and the full citaion on the irst page. To copy otherwise, or republish, to post on servers or to redistribute to lists, requires prior speciic permission and/or a fee. 82 1. INTRODUCTION The mountain ranges and hill areas of India have a crucial role to play in determining the climate and physiography of our country, and are prime determinants of socio-economic development of plain areas as the rivers have their genesis here and the protecion and climaic control they provide have enabled India to sustain its posiion as an economic power. Hills as the natural bio-sphere reserves are of special signiicance to humankind, but human intervenions, economic interests and inlux of people to hill areas have increasingly endangered the hill regions through destrucion and degradaion of forests, indiscriminate building and construcion aciviies, environmental polluion and damage to the fragile eco-system. Uncontrolled, unplanned and haphazard development of hill regions is creaing serious threat not only to the heritage of hill setlements but their existence itself. These issues mainly can be atributed to the intensive and unplanned development aciviies taking place due to rapid expansion of hill towns to accommodate ever increasing inlux of migrated populaion from surrounding areas. It has also shown discernible destrucive impact by way of lash loods, siltaion of water bodies, loss of soils and crops, damage to human habitat, etc. Above all, these regions are highly vulnerable to hazards like earthquakes, landslides and loods. Due to lack of proper planning and development guidelines incorporaing disaster miigaive techniques, these regions face unhealthy and dangerous living condiions, oten leading to irreversible human and economic loss (UN/ISDR 2004). 2. PLANNING GUIDELINES IN INDIA The UDPFI Guidelines were formed vis-a-vis the provisions of the Consituion (Seventy-Fourth) Amendment Act, 1992 (74th. CAA), taking into account the not so eicient capabiliies of the urban local authoriies (Jain, 2002; Roy, 2007; Goyal, 2003; Gupta, 2006; Ansari, 2004). UDPFI proposes or guides how the development or control thereof should be carried out. It also suggests procedures for grant of development permissions or else stopping or removing unauthorized developments. Rules are also proposed for preparaion of development schemes, engaging consultants, aucion of FAR, preparaion of land pooling schemes, involvement of private sector and joint sector paricipaion in development, acquisiion, assembly and disposal of land, related maters such as inance, accounts and audit and other miscellaneous maters. There are suggesions for integraing the various planning authoriies hierarchically. However, these UDPFI are blanket guidelines deemed applicable for the whole country. India is a diverse country with diferent climaic zones. The various agro-climaic1 and physiographic zones lead to diferences in terms of building response as well. A set of guidelines should keep in mind the needs of such ciies with diferent or unique physiographical features like a coast, desert, hill, plateau or city in the plains. Thus arises the need for a separate set of design guidelines to cater to these diferent zone types. This could be done by providing an add-on/plug-in for diferent zones to complement the exising blanket guidelines. The study aims to prepare an add-on/plug-in for a city on sloping terrain, keeping in view its unique development characterisics such as diicult terrain, terraced sprawl, haphazard growth paterns, access to limited resources, vulnerability to landslides and earthquakes etc. 1 For further informaion refer Naional Bureau of Soil Survey and Land Use Planning, Nagpur and www.mofpi.nic.in 83 3. SEISMIC ZONES IN INDIA According to Indian Bureau of Standards (BIS, 1982), the Indian region has been divided into four seismic zones on the basis of the magnitude of damage risk: ZONE II of Low Damage Risk: Parts of Punjab and Haryana, Parts of U.P, eastern Rajasthan, Tamil Nadu, Parts of W. Bengal, Kerala. ZONE III of Moderate Damage Risk: Southern and south eastern Rajasthan, most of Madhya Pradesh, Maharashtra, Karnataka and South of Bihar. ZONE IV of High Damage Risk: Himachal Pradesh, Jammu and Kashmir, Dehra Dun, Roorkee, Nainital, Punjab, Haryana, Bihar, Sikkim. ZONE V of Very High Damage Risk: Jammu and Kashmir, some parts of Himachal Pradesh, Utrakhand, Kutch area of Gujarat. Figure 1. Seismic Zones of India. Indian earthquake problems cannot be over-emphasised. More than 60% of the land area is considered prone to shaking of intensity VII and above (MMI scale). In fact, the enire Himalayan belt is considered prone to great earthquakes of magnitude exceeding 8.0, and in a short span of about 50 years, four such earthquakes have occurred: 1897 Assam (M8.7), 1905 Kangra (M8.6), 1934 Bihar-Nepal (M8.4), and 1950 Assam-Tibet (M8.7). Earthquake engineering developments started rather early in India. Despite an early start, the seismic risk in the country has been increasing rapidly in recent years. A major concern today remains the development of Indian seismic codes. Indian seismic codes are yet to incorporate some of the modern concepts such as the probabilisic features (Arya, 2002). There is no efort to develop code commentaries and the seismic codes are yet to be translated into the regional languages, leading to problems in communicaion to the wider populaion. Indian codes, developed by the Bureau of Indian Standards (BIS), are not mandatory and are only in the nature of guidelines. The construcion as such is governed by the municipal byelaws which are within the jurisdicion of the state governments. Unfortunately, the seismic provisions have not yet been incorporated into the building bye-laws. 84 Since the majority of the building construcion acivity in the country is carried out in an informal manner with no involvement of engineers, most of it is done with no regard to seismic safety (Arya, 2002; Arya, 1999). On the one hand, the country has failed miserably in ensuring earthquake-resistant construcions in high seismic regions. On the other hand, numerous major projects such as large dams and nuclear power plants have been built in high seismic regions with due regard to earthquake safety and for which seismic analysis and design have been handled within the country (BMTPC, 2003). 4. METHODOLOGY FOLLOWED As the inal component of the study is going to be an add-on to the UDPFI guidelines or the prevalent GDCR, both the documents were studied in order to understand the components of each. The salient points common in both were noted down as were the points which were absent from one of them. A literature review was undertaken in order to understand the phenomenon of earthquake, the reasons behind its occurrence, the locaion and the recurrence patern. Once it was understood how faulty buildings are responsible for the major loss of lives during earthquakes (Kircher & Whitman, 1997), the parameters making them vulnerable to earthquakes were studied. Literature containing the building codes being followed and their components were also studied in order to look into the miigaion parameters. As the study deals with Building Vulnerability Analysis, the tools to conduct one were studied. The applicability of these FEMA HAZUS tools (FEMA, 1998) was studied in the context of India through a case study of Dehradun. Later, the assessment method was altered in order to suit the study. Two site visits were conducted, one as percepion study and the other for Rapid Visual Screening of the buildings. Only residenial buildings were considered for the study. The samples were taken through random straiied sampling Table 1. Data collected and sources Data Collected Source Scale Analysis District Wise Census Data, 2011 District Census Oice, Shimla District-level Demographic Analysis Satellite Map of Solan Google, 2011 Town Level Household Stock Analysis Rapid Visual Survey-350 h/h Primary Survey Town Level Seismic Vulnerability Analysis SRTM Data, 30 meter Resoluion htp://glcf.umiacs.umd.edu Grid Topographic analysis Municipal Council Boundary Map Municipal Council of Solan Ward level Physical Analysis (Zonaion) Development Plan Town & Country Planning Department, Solan Planning Area Level Physical Analysis (Zonaion) a a Grid = 0.5km x 0.5km grid Ater coming back from the site, the complete building stock of the Study Area was digiized using Google images. The development plan was superimposed with it along with the geographical terrain of the area. The analysis led to the ideniicaion of areas with major patches of vulnerable buildings and the damage in terms of loss of lives as well as property was calculated in case of a probable earthquake. 85 Figure 2. Locaion of site area 5. DATA COLLECTION AND PROCESSING The district and the city are chosen based on the following three factors: 1. Populaion growth trends: The rapidly growing ciies which need immediate atenion towards planned development. 2. Proposed investments: More investments atract development proporionately. 3. Vulnerability: The higher the vulnerability to natural disasters, the more urgent is the need to propose development regulaions for it. Himachal Pradesh consists of 12 districts. The populaion, growth rate (GOI, 2001), density, investments and seismic zones of all the 12 districts are compared to select the site which is most highly vulnerable to earthquakes. New investments are also taken as a criterion as high density, as higher investments can lead to a sudden unplanned growth spurt. Solan District stands out ater the muli-criteria analysis as it is a fast growing city and has the maximum proposed investments, which will see it growing further in the future. The area is selected primarily due to the presence of old as well as new residenial buildings within it. It is more heterogeneous in the sense that it contains tradiional setlements in the centre and the northern side and the relaively new and growing setlement in the southern and eastern side. Primary as well as secondary data are collected for the assessment of the vulnerability of the case study area. The building atribute data is collected at a detailed level in the irst site visit through discussions with experts, pracicing architects, civil engineers and contractors. Here, 2 to 3 samples of each typology (Bungalow, Row Housing or Apartments) are taken for modeling out the exact types of buildings exising in the site area with respect to their design, foundaion corresponding to soil type, construcion materials used, type of technology in use, compliance with bye laws, etc. 86 The second ield visit was used to conduct a rapid visual building survey in all the 12 wards of Solan Planning Area. The footprints of the surveyed buildings are delineated at the individual level using GPS. Around 350 building samples are taken through photography and rapid visual screening. The sampling is done using the straiied random sampling method. The Rapid Screening Process (RSP) is aimed to idenify potenially hazardous buildings, without going into detailed analysis (Agrawal, 2004). RSP uilizes a methodology based on visual inspecion of a building and noing the structural coniguraion (Agrawal & Ajay, 2004). The building’s structural coniguraion parameters form the factors considered for damage calculaion of the building. These factors will give the Basic Structural Hazard (BSH) score, which ranges from 1.0 to 8.5. The next consideraions are Performance Modiiers, which range from -2.5 to +2.0, depending on whether they modify from the overall seismic performance of the building. Table 2 shows series of scores and modiiers based on building atributes. The methodology begins idenifying the primary structural lateral load resising system and material of the building. Table 2. Parameters and associated modiicaion factors Modiiers High Rise Descripion Up to 2 storey 0.0 Between 3-7 storey -0.2 More than 7 storey -0.5 High Quality of construcion Verical Irregularity Sot Storey Plan Irregularity Pounding Cladding Soil Condiion Slope Ambience Modiicaion Factor 0.0 Medium -0.25 Low -0.5 Steps in elevaion -0.5 Without Verical Irregularity 0.0 Open on all sides -0.5 Building on silts -0.5 Without sot storey 0.0 “L”, “U”, “E”, “T” -0.5 Without plan irregularity 0.0 With pounding -0.5 Without pounding 0.0 Large heavy cladding -0.5 No cladding 0.0 Rocks (SR) 0.0 Cohesion less soil (SC) -0.3 Black coton soil (BC) -0.6 Gentle -0.1 Moderate -0.2 Steep -0.3 The digital footprint of the buildings is prepared using a ield survey map. A database was created in Excel for the building atributes collected from the detailed survey of all housing typologies. Similarly the building atributes collected from the rapid screening process are also included in the database. Locaion point for each of these buildings was taken through a GPS Device. These ID’s were also incorporated into the data sheet. The buildings in the two datasets are related by using these ID’s and the cadastral plot number of the buildings. 87 Figure 3. Digital footprint of surveyed buildings Figure 4. Building Stock Map 6. DATA ANALYSIS A. BUILDING TYPE AND CHARACTER ANALYSIS The building character was analyzed by tabulaing the informaion collected through the primary survey. There are two types of building system pracices in the study area: • Framed structure built up of RCC columns and beams as structural elements with inill masonry wall. (Used in newer setlements of the study area) • Load bearing structure with unreinforced inill masonry wall. (Used in old buildings of the city and limited to small secion of the total built up area of urban setlement) Figure 5. Building Typology in Study Area ► ► Out of the 350 buildings surveyed, the RCC framed structures form the major chunk followed by brick and stone. RCC lat roofs are the most common type, followed by pitch roofs of wooden raters and GI sheets. Figure 6. Structure Types in Study Area 88 Figure 7. Age of Buildings in study Area ► ► ► Maximum numbers of buildings are of three loors. The last 40 years have seen the maximum construcion acivity in Solan. A few old buildings also survive. The buildings are generally maintained in a good condiion. Even 90 year old buildings are standing intact. Figure 8. Maintenance of Buildings in Study Area Figure 9. Building Heights in Study Area B. BUILDING STOCK ANALYSIS A map of the complete building stock of the city is superimposed on the development plan and the residenial areas are extracted out. So the resuling map is of the residenial building stock. • 37.5 % of total urban populaion reside in Solan Planning Area. • Total houses in SPA= 15,007 • No. of loors in a building = 3 (Mode) • Hence, total no. of buildings= 7000 approx. • No of buildings on the map= 7269 Table 3. Atributes used and the correlaion coeicients Building atribute Correlaion Coeicient Typology 0.885 Building shape 0.169 Structural type 0.639 Height of the building 0.080 Maintenance 0.687 R2 = 0.781 During the regression analysis, many of the atributes which according to common belief were thought to be important were showing very insigniicant correlaion to building damage. So they were removed from the analysis before the analysis was carried out. Finally, four atributes could explain the building damage to a higher extent as shown in Table 3. C. BUILDING VULNERABILITY ANALYSIS The surveyed buildings were analyzed for their damage potenial, based on the parameters which relect building vulnerability and the modiicaion factors from the HAZUS. The age of buildings and the structure type are the main parameters, along with the ive typologies present in the area. The other parameters for which the building stock is analyzed are- sot storey, roof type, roof material, height, setbacks, and proximity to nearby structures. These are projected on a map of the planning area boundary for analysis through ArcGIS. 89 A Regression Analysis was carried out for all the 25 parameters of the detailed quesionnaire. The prominent variables or parameters explaining the variance in damage were noted down. These ive variables of Typology, Structure Type, Sot Storey, Height and Maintenance were used to make another short quesionnaire for another ield survey. This quesionnaire also contained a scoring format based on FEMA HAZUS for assessing the vulnerability of the buildings to damage. A map of the complete building stock of the city is superimposed on the development plan and the residenial areas are extracted out. So the resuling map is of of the residenial building stock. On this map the average age of the buildings is extrapolated for the enire stock, taking the reference of the surveyed buildings. The structure type for all buildings is also incorporated into this map. The next step involves analyzing the terrain of the place, so a slope map is added to the exising map. Once the age, structure type, and other building parameters are incorporated along with the slope in one map, it is analyzed based on the damage factor. This gives us the building’s vulnerability to earthquakes. Figure 10. Map Showing the Vulnerable Buildings Figure 11. Slope Map of Study Area D. DAMAGE FACTOR PREDICTION Damage factor for each building surveyed was calculated based on the following modiicaion factors. The parameters which were considered were height, verical irregularity, sot storey, plan irregularity, cladding and soil condiion. A low modiicaion score meant High Damage factor (High-5 and Low-1). This method corresponds to the HAZUS technique. Figure 12. Predicted Damage Factor 90 A second regression analysis was carried out for all the 350 buildings surveyed using the 5 parameters, which were shortlisted from the 25 parameters based on the highest variance factor. The results of the regression analysis are as follows: Damage factor was predicted for each building based on the independent variables of regression analysis. The equaion was derived using the above variables based on the following concept: Damage =∑ ∫ (Typology, StrucType, Ht_lr, Maintenance)…..(1) The inal equaion used for predicing the damage factor was: {Predicted Damage=0.815*Typology+0.635*Structure Type+0.709*Maintenance-1.616}……(2) The HAZUS damage factor and the predicive damage factor were compared for the error percentage. It was observed that this method was applicable with a 5% error margin. Table 4. Predicted error of the model based on the housing typology Typology Error of predicion Bungalow 0.015 Row Housing -0.204 Low Rise 0.265 Mid Rise -0.125 High Rise 0.085 E. ZONATION ANALYSIS Figure 13. Map showing the High Damage Zones in the Study Area We delineate the vulnerable zones and classify them into categories based on potenial damage and loss. These zones would further help in the formulaion of inal guidelines and implementaion plan. Final results of the study area are shown in Figure 14 (page: 12). This study can be used for future development aciviies in Solan Planning Area. While preparing the Development Regulaions, the same should be kept in mind. 91 SCOPE FOR FURTHER RESEARCH We are envisaging that the study provides a simpler and economical way which can help the planning bodies of seismically vulnerable ciies to assess the situaion in their area. Further, we can assess the accuracy of the data with the aid of some level of ground informaion, which is proposed in future. With the addiional ield data, the inaccuracies in the data interpolaion can be minimized and the data can be put to beter use. Figure 14. Map showing Vulnerable and Non Vulnerable Zones in the Study Area REFERENCES Agrawal, S. K. (2004). Microzonaion studies as impacted by recent earthquakes in India. In BMTPC (Ed.), World Congress on Natural Disaster Miigaions (p. 10). New Delhi: Building Material and Technology Promoion Council. Agrawal, S. K. & Ajay, C. (2004). Esimaion of seismic vulnerability of buildings in Delhi. World Congress on Natural Disaster Miigaion, The Insituion of Engineers (I), New Delhi. Ansari, J. H. (2004). Urban planning and development management reforms in India. ITPI Journal, 1(1), 7-17. Arya, A. S. (1999). Vulnerability Atlas of India. New Delhi: BMTPC. Arya, A. (2002). Earthquake Disaster management in India. In GSDMA (Ed.), Earthquake disaster miigaion: Future needs and challenges (p. 90). Ahmedabad: Gujarat State Disaster Management Authority. BIS. (1982). Explanaions on IS:1893-1975 criteria for earthquake resistant design of structures. Indian Standards, 1. New Delhi: Bureau of Indian Standards. BMTPC. (2003). Urban earthquake vulnerability reducion project. New Delhi: BMTPC, FEMA. (1998). Recommended rapid visual screening procedure. Washington, DC.: Federal Emergency Management Agency (FEMA), Naional Insitute of Building Sciences (NIBS), GOI. (2001). Primary census abstract of utranchal-2001. In GOI (Ed.), Census records. New Delhi: Census of India Ministry of Home Afairs. 92 Goyal, D. (2003). RS and GIS based methodology for the preparaion of a sustainable development plan-A case study of Indore city. Indore Development Authority, Indore, M.P., India. Gupta, J. P. (2006). Land use planning in India. Journal of Hazardous Materials, 130(3), 300-306. Jain, A. (2002). UDPFI Guidelines vis-à-vis 74th CAA. Presented at the MOUD&PA Workshop on UDPFI Guidelines, New Delhi. Kircher, C. A. & Whitman, R. V. (1997). Esimaion of earthquake losses to buildings. Earthquake Spectra, 13(4), 708718. Roy, A. U. K. (2007). Changing scenario and emerging planning norms for educaional infrastructures in planned townships: Case study of New Town, Kolkata. East Zone Conference of Insitute of Town Planners India, Mesra. UN/ISDR. (2004). Living with risk: A global review of disaster reducion iniiaives. Inter-Agency Secretariat for internaional Strategy for Disaster Reducion, Geneva. 93 SURVIVAL STRATEGIES OF THE PAST HUMAN UNDERGROUND HISTORICAL CITIES: CASE STUDY RESEARCH ON NOOSH-ABAD OF IRAN UNDERGROUND CITY *Reza Najai Sayyar, Aboozar Shoara and Bahram Izadi *Ailiaion: Non-proit and nongovernmental insitute of Hafez of Shiraz E-mail: Flightland@gmail.com ABSTRACT The world and its progress is indebted to past human aciviies and an understanding of how our ancestors coped with problems, helping us to opimise our physical and non-physical developments today. Although in the 21st century we are now are able to conquer natural problems with progressive, sustainable development, the survival of our descendants should persuade us to learn from our predecessor’s quality of life. Today, increasing human development has led to issues like global warming, increases in populaion and shortage of biological spaces. Humans have a tendency towards verical development, such as skyscrapers, while vast underground spaces are also favored. The current study reviews an underground historic city, “Noosh-Abad”, which consists of 3 loors (18 metres deep) underneath the modern city that was used by residents for defensive purposes since the Mongol invasion up to the Qajar period. This essay has been based on the use of ield research, historical resources, and photography on an illuminaing case study of underground architecture and urbanism recently discovered in “Noosh-Abad”, Kashan. Further research on it is currently ongoing. The discussions focus on its passive defensive framework and quality of life design features - such as air venilaion, water collecion around the aqueduct, sewage disposal and the methods of providing light underground – that show it to be an advanced historical city. The results of this paper show that this underground city was based on urban planning rules to create an appropriate livable space with defensive funcions, and has many urban sustainability features. KEYWORDS: Sustainable city, Underground city, Defensive city, Noosh-Abad INTRODUCTION Indigenous people and their socieies, because of their experience and knowledge, have a vital role in the development and management of the environment. Due to the abiliies of indigenous architecture, which exists in the ield of sustainability, we can propose principles from advanced socieies in the past for improving energy use. Indigenous architecture has much history that modern architecture follows, consising of environment and energy issues, but it has been forgoten by the modern age and has no value from the public point of view. However, invesigaing the examples of previous socieies can help us to develop modern responses. The soil construcions are not in compeiion with tradiional construcions but in compeiion with modern construcions: with cost efecive insulaion and energy consumpion, “today the rival of underground spaces is super insulaion construcions” (Sterling & Carmody, 1993) [8]. 94 RESEARCH METHOD Invesigaing previous responses in dealing with similar problems can lead to high yield economic soluions. For this reason the underground city of Noosh-Abad in Iran has been selected for study and invesigaion. By studying historical documents and also invesigaing new reports of archeology, iled photographs for compliance with data and plan, the authors collected classiied informaion on this city. By comparaive analysis, it may be possible to know and follow similar intelligent strategies in diferent socieies and eras for understanding and knowing beter this city as an urban and biological sustainable base. Ater reviewing informaion by the GIS sotware and comparing the evidence from the collected documents, this research led to the present results and proposals. 1. An introducion of studied underground city site “Noosh-Abad” is one of the central environs of Aranva Bidgol township in Esfahan Province, 900 meters above the sea surface and with geographical coordinates 51 26 Length and 34 05 width, 7.5 kilometers from “Noosh-Abad” historical city and 2.5 kilometers from Aranva Bidgol historical township. This town has dry and warm weather in the summer and rough and cold weather in the winter. 1.1 Noosh-Abad underground city Noosh-Abad city forms a collecion of ancient tunnels under the current town surface. The extent of this town is wide at both horizontal and verical levels because of its relaion between sectors and to safeguard the life and wealth of people in an insecure. This hand-dug architecture is called “Oui” in Noosh-Abad town. Figure 1. Noosh-Abad underground staircase, captured by authors 1.2 Noosh-Abad “underground city as a hand-dug architecture” The popularity of this underground city is because of its wide area, its depth and also its complex structure which resulted in the formaion of narrow corridors and small rooms. The entrance way of this complex has been created by diferent ways and is hidden in homes or in the brick castle next to the city or populated places, in the runof created under the houses for subterranean water passages, wells inside the mosque, gardens, markets and everywhere that provide a quick way for escape at the ime of enemy atack. In some old houses that dug wells in kitchens for entering these spaces, they hid the bore well in the oven and at the end of oven hid the bore well with clay pans and poured ash and in a case of emergency people entered the underground city through the oven. Throughout the underground city, many rooms with diferent dimensions were dug for temporary housing. Some of the rooms have shelves. In each part in which the people lived, a part has been designed for the kitchen and the structure is such that in the case of ire, the fumes will disperse through the canal and the fumes’ exit is designed so that the enemy thinks that the smoke is coming out of the house oven. In this ield research, the characterisics of construcion and survival are classiied in the following chapters [14]. 95 2. Survival strategies in “Noosh-Abad” underground city 2.1 Passive defense “Any acion that reduce the vulnerability of non-armed human resources, buildings, faciliies, equipment, documents, and arteries of the country against hosile and destrucive operaions of the enemy, [is]called passive defense” [17]. The main causes of the formaion and construcion of this underground city is a security and defense measures to increase security and reduce risk, as described below. 2.2 Defense techniques It can involve decepion, chasing and leeing camoulage, control and protecion, recogniion, surprise, traps, physical, and defensive tools. 2.2.1 Surprise From security point of view, the role of such city can be jusiied as a haven against enemy atacks. Once enemies entered the city, residents took refuge in this underground city so when enemies found the city empty, they got confused and were totally surprised. 2.2.2 Decepion One of the city entrances (No.3) had been designed in a way that if someone was unfamiliar with the city direcion, ater traversing a long distance, he got to this entry way again. Figure 2. Noosh-Abad underground Corridors , Captured by Authors 2.2.3 Escape and prosecuion At the entrance of two of the complexes there is a place that in case of enemy atack, the person can enter the room with a hole at the end of it, then by exiing from it, he will be located behind the enemy and can escape through a diferent way without seeing the enemy. 2.2.4 Camoulage At entrances 1,2 and 3 of the complex, in the path of the canals which connect to the rooms, there are holes which can be hidden using darkness and low lighing so that the enemy can pass without noicing the person who can then overwhelm the enemy from behind or escape through a diferent way. 2.2.5 Control and Protecion In every complex, there are longitudinal plans and each plan has a room for living. Each plan connects to the verical wells to connect to the next plan. So in this case, enemy for gaining access to loors, must have ascended these wells, therefore residents prevented enemy traic by puing huge stones over these wells. 96 Figure 3. Noosh-Abad underground rooms and corridors, captured by authors 2.2.6 Physical Traps In this underground architecture, the existence of wells in the middle of the rooms have so many applicaions, including as traps: due to their lack of recogniion of these wells, enemies fell into the wells in the darkness. Wells in these complexes have the following applicaions:1) traps; 2) air condiioning; 3) communicaion path to the top loors; 4) communicaion path for gaining access to subterranean and drinking water; and 5) lood drainage out of the complex in case of water entering into the complex. Figure 4. Noosh-Abad underground city traps, captured and drawn by authors 2.2.7 Visual illusion In many places the rooms connected to each other by narrow corridors with angular designs to prevent direct observaion. Figure 5. Noosh-Abad underground corridors, captured by authors 97 2.3 Construcion and drilling The teams that had a role in creaing these underground construcions were intelligent and had much knowledge of their own modern sciences, drilling to a depth of 10 meters and with connecing ways. This required exact calculaions and due to the spaces between surfaces they constructed them with the lowest error. 2.3.1 Construcion and Geo-Mechanics The engineering team who at that ime supervised the drilling knew the soil and its resistance, so that ater centuries and despite the iniltraion of loods into the rooms and earthquakes, no damage has occurred. The soil of the “Noosh-Abad” area includes clay, silica, sulfur and lime that will double the resistance. Combinaion of lime with moisture results in creaing a irm material that was used for covering the roofs. The only cause of soil degradaion is sewage penetraion and ammonia gas with sulfur into the soil. Because many surfaces of the city grounds have gardens and agricultural lands that were irrigated through water culivaion, adequate moisture penetrated from the surface to the soil and this caused no cracking and subsidence of the local soil. 2.3.2 Drilling The city was surrounded by huge walls that remained up to the two previous decades, including parts of the brick castle with thick and high clay walls. There were ways from these walls to the underground ciies and the building of these walls and castle required large volumes of soil from excavaion. 2.4 Time measuring Because sunlight did not penetrate the underground city, a type of ceramic instrument with 2 holes (called a ‘Serjeh’) was used to recognize the ime of day and night by puing it on a container full of water so it worked like an hourglass. They also used this applicaion previously to ime agricultural irrigaion. Figure 6. “Serjeh”, Time measuring tool 98 Classiicaion l Based on Form & Construcion methods Based on use reasons Semi below ground Sub surface house Below ground Underground In hill or elevated plain Earth burning or pentraion plan Faith Water supply Food storage Climate Passive defence --- --- --- X X --- --- X --- X X X 1. The 55m deep venilaion shat was also used as a well. 2. Derinkuyu contains at least 15,000 venilaion ducts that provide fresh air deep within the underground city. 3. The 55m deep venilaion shat was also used as a well. Not every loor was provided with water wells up to the surface in order to protect the dwellers from poisoning during raids. 4. The ciies were complete with wells, chimneys for air circulaion, niches for oil lamps, stores, water tanks, stables and areas where the dead could be placed unil such ime as condiions on the surface would allow their proper disposal. --- --- --- X X --- --- X --- --- X X Captured byAaron Van Bokhoven[1] Period :Mongol up to the Qajar Depth : 85m Number of levels:8 Captured by Denise J T Lee[2] 1. Kaymakli underground city is built under the hill 2. The inhabitants of the region sill use the most convenient places in the tunnels as cellars, storage areas and stables, which they access through their courtyards. 3. The venilaion shat can also be seen from the 4th loor. It is a verical well and passes all loors down like on the elevator in an apartment. 4. The depth of the venilaion shat is about 80 meters in total. Captured by Denise J T Lee[2] Period :700-800 BC Depth : Average 18 m Number of levels :8 --- --- --- X X --- --- --- X X X X Derinkuyu underground city Classiicaion ll Kaymakli underground city Classiicaion lll Based on Historical soring of Gideon Golany Earth-Sheltered habit 2.5 Oxygen supply Noosh-Abad underground city Figure 7. Comparison between three underground ciies, drawn by authors based on references 6 , 7 , 8 and 14 Through scieniic invesigaions, the specialists knew the kind of soil of the place and its relaive moisture. The existence of silica in the soil and its combinaion with moisture produced oxygen in the underground spaces. The other method that they understood and had a main role in oxygen supply were several ine holes in the roof. These holes transferred the air from the surface to the rooms and also transferred the toxic gases from breathing and the fuel of the lanterns. Surely at the ime of drilling, the engineers knew that these holes would enable the transfer of the air. 99 There were several beneits in designing this city: all the loors are U-shaped, with height diferences and also narrow wells. Spaces were linked together in a colony and this design provided the required oxygen and air condiioning. These spaces include wells in rooms and at the end of each well narrow canals connected to each other and coninued to the surface. Figure 8. Natural air venilaion ducts and passage wells, captured by authors They also knew what kind of fuel was good for them, providing light without causing choking and breathing diiculies for its residents. 2.6 Water supply Residents of this underground city supplied their water through the “Qanat”1 (aqueduct) of Dolat Abad, with a depth of about 30 meters and 9 kilometers in length. To extract water through the wells which connected to the one part of the “Qanat”, they illed glazed containers and transferred them to the water reserve to avoid going to the surface for water and food in case of enemies. Figure 9. “Qanat” (Kariz), Iranian aqueduct 2.7 Light supply The tools obtained in excavaions include diferent types of tallow light related to diferent periods of history and also a handy torch discovered in the complex. The “Pieh-Sooz”2 light was ixed in a cavity in the walls and lit the rooms at regular intervals from a height. Figure 10. “Pieh-Sooz”light, captured and highlighted by authors 100 They rebuilt old places with candles and knew that, though the illuminaion was low, a large number accurately laid out could provide dazzling light. They achieved the best lightening possible using technical methods and exact calculaions, and they did so with minimum shadow. 2.8 Fuel supply For supplying fuel, they required an oil extracion workshop, known as “Assar khaneh” 3. This shows that the potery industry and fuel supply workshops lourished. Oil provided from oilseeds or sheep tallow was used as fuel. They poured salt on the boiler for providing tallow and transferred them to oil because they did not want to emit smoke from burning tallow. By boiling, all the impuriies were isolated from the tallow and by this method they avoided producing smoke from the fuel. 2.9 Natural hazard Another subject about rooms is the way that their loors were located; they were located higher than pathways with a gentle slope towards them. This meant that the loods did not create any problem for them and did not enter the spaces where there were people. If the lood did enter, before lowing into the pathways to the residenial rooms it was rechanneled into the canals and wells and removed from the complex. 2.10 Regulaion of environmental condiions In summer the temperature of “Noosh-Abad” desert region reaches 50 degrees Celsius and in winter the temperature falls to 10 degrees below zero, but in the complex because the cold and hot water does not go to the complex and because of the moisture in the soil architecture, the temperature luctuates between 15 to 29 degrees Celsius, protecing the people from extreme heat and cold. Source: Drawn by authors 2.11 Environmental health During World War II in Germany, people used natural caves for shelter. It is interesing to know that they inhaled less war-polluted air and breathed more easily as a result. Later scienists proved that people who used caves for sheltering from bombs escaped from asthma diseases, chronic bronchiis and other respiratory diseases. People who were hidden in caves had fewer colds and stronger immune systems than others. The existence of salt in the soil of “Noosh-Abad” region causes this underground city, like salt caves in World War II, to become a treatment shelter against diferent diseases in addiion to a defense shelter against the enemy, guaranteeing the health of residents for a long ime. The air low vents and air supply ducts drilled into the earth permeated the passing air with salt, creaing therapeuic properies, avoiding bacterial growth and special diseases, and improving the health of residents. 101 In addiion the existence of salt in the soil saves and protects seeds and food for a long ime. Also the low temperature of this city in summer, compared with the temperature outside, helps food to remain healthy and avoid deterioraion.[9] 2.11.1 Salt therapy Today we use salt as treatment through salt rooms. There are many beneits in using salt rooms, especially in improving respiratory diseases, asthma, allergies, bronchiis, cold and shortness of breath. [16] Source: www.heal-thyself.us CONCLUSION The present research on the underground city in Noosh-Abad, Kashan, Iran, shows that the designers of this underground city found new methods against human and non-human threats in their ime that should be seriously considered for applicaion in sustainable development strategies today. The main indings from this underground city about sustainable development are summarized as follows: 1) At a depth of 5 to 8 meters, the temperature of the land is ixed: in addiion to thermal adjustment, there is thermal lag at a depth of 3 meters. At this depth, soil temperature falls below surface temperature. This efect can transfer parts of the stored cold in winter to summer and transfer parts of the stored heat of summer to winter. The consumpion of energy in this city is therefore signiicantly less. The success of underground spaces is considered by so many planners that it can be presented to developed countries such as Canada and Japan as a low cost and sustainable soluion against environmental problems. 2) The existence of salt in the soil of this underground city could decrease the risk of chronic diseases. Today this subject can be considered in underground space development, paricularly temporary underground spaces such as subway staions and widespread underground stores. 3) The advanced age of this underground city and the resistance of it against natural destrucive factors such as storms and loods shows that it has survived with limited damage over a period of many years against natural destrucion: this mater is most important in modern city development. Uilizing the potenial of underground development can decrease repair and maintenance costs in a way that is more sustainable and durable with the environment. 4) Historical studies and results of this underground city show that this city is built with the iniial aim of passive defense and applied methods consist of the iniial principles of underground shelter design. 5) Uilizing plant fuel in this city is another important point, as today it is considered a green fuel. 6) One of the indings from the underground city Noosh-Abad and similar case studies in 3 underground ciies is the uilizaion of ducts for air condiioning. These public ducts provide air condiioning and oxygen supply even to the lowest loors. 7) Digging and reusing the removed soil in construcion minimizes the damage to the environment and is one of the important characterisics of this city. 102 ACKNOWLEDGEMENT Special thank to Arch.Ali.Sedaqat because of everything! and also: Dr.L.PapoliYazdi Dr.K.Kamalisarvestani Mr.H.MirzajaniNooshabadi Arch.A.Heshmai Cultural Heritage organizaion of Aran o Bidgol township Non proit and nongovernmental Hafez Shiraz Insitute DESCRIPTION 1 2 3 Underground duct with low slope for delivering groundwater from the mountain. Lighing known as Pie-Sooz (tallow light), glazed in both parts and illed with lammable oil and a coton wick. A place that provides grape juice and vegetable oil. REFERENCES Bannon-Harwood, B. (1980). Earth shelters are here to stay. The Aberdeen Group. Barker, M. (1986). Using the Earth to Save Energy: Four Underground Buildings. Tunneling and Underground Space Technology, 1(1), 59-65. Bishop, W. M. (1991). Storage of grain in soluion mined Caverns. SMRI Fall Mtg. Energy Eiciency and Renewable Energy. (1997). Earth-sheltered houses. Department of Energy. United States of America. Godard, J. P. (1999). Sub-surface development in the urban environment – 10th Australian Tunnelling Conference: The Race for Space (21-24 March 1999). Melbourne, Australia. Godard, J. P. (2000). Underground space development in urban area. Seminar on Underground Works– Saniago (14 December 2001). Chile. Godard, J. P. (2002). Why Go Underground in Urban Areas. ACUUS 2002 Internaional Conference (14-16 November 2002). Torino: Italy. Golany, G. & Ojima, T. (1996). Geo-space urban design. Canada: John Wiley. htp://www.hamshahrionline.ir htp://www.heal-thyself.us/salt_cave.html htp://www.saltcave.ir Internaional Tunneling Associaion (ITA-AITES). (2002). Why go underground ? Contribuion of the Use of Underground Space to Sustainable Development. TRIBUNE (Special Issue – March). Mirzajani, N. H. (2012). Archeological report on underground city of Noosh-Abad. Document Center of Cultural Heritage Organisaion of Aran o Bidgol township. Reddy, P. (2003). Going underground: A Cumbrian perspecive. Technology, 23-28. Sarookhani, Z. (2001). Review and idenify the prehistory west premises in Kashan. Master degree Thesis, University of Tehran. Sterling, R. & Carmody, J. (1993). Underground space design. Van Nostrand Reinhold. Wendt, R. L. (1982). Earth-sheltered housing: An evaluaion of energy-conservaion potenial. Oak Ridge Naional Laboratory. Oak Ridge: Tennessee. 103 CONSTRUCTING PLACE-IDENTITY: TRANSIT-ORIENTED CONDOMINIUM DEVELOPMENTS IN BANGKOK Russell Moore Mahidol University Internaional College, 999 Phuthamonthon 4 Road, Salaya, Nakhonpathom, Thailand 73170 E-mail: Russell.moo@mahidol.ac.th ABSTRACT The Skytrain system was introduced in Bangkok in 1999 in order to move towards a more sustainable urban environment. More recently, the mass transit lines have been extended into areas away from the immediate center of the city, which has resulted in the building of many new luxury condominiums within close proximity to the mass transit lines and staions in these areas. Jenks (2003) has argued that the Skytrain and the places it connects to represent a ‘global world’ that is separate in form and character from the local one outside. In light of this and the fact that the neighbourhoods in which the new condominiums are placed in are oten devoid of the cosmopolitan faciliies of the central city, this paper aims to examine how the developers of these condominiums construct a place-idenity for their developments in their markeing material and the extent to which the idenity that is developed fosters a connecion to the local environment they are placed in. The paper concludes that the local environment is neglected in favour of emphasizing connecions to the cultural, business and inancial icons of the central city and this may have implicaions for the housing choices that the purchasers make and the extent to which the new residents have a connecion to the locality INTRODUCTION The original Skytrain, or BTS, lines serviced predominantly the central areas of the city, and many of these areas have seen the building of transit-oriented developments such as shopping malls and condominiums. Since this ime, the lines have been extended along two main roads that lead out of the city, and the majority of new condominiums built will be along these and proposed mass transit extension routes (Kasikorn Research Center, 2011). These are locaions with litle aestheic value and few faciliies to atract buyers apart from the fact that they are close to the Skytrain. Research undertaken by this author (paper forthcoming) at one condominium found that very few of the residents living there had any connecion to the neighbourhood in terms of previous residence or family and friends and that they predominantly used the Skytrain to go to other places to socialize and work. Given these circumstances, this paper aims to assess how place-idenity is constructed by the developers for these condominiums and to examine the extent to which this idenity fosters either a ‘separaion’ or ‘connecion’ with the local area. To begin, there is an explanaion of Jenks’ (2003) use of the introducion of the Skytrain to represent a separate globalized world and it is shown how new condominiums can be linked to this. Following this, there is an examinaion of previous research into the markeing of condominiums in the context of Bangkok and London, and then a discussion of the results of an analysis of the narraives contained in the markeing websites of fourteen condominium developments in the areas under study. Finally, conclusions are drawn based on the indings of the paper. 104 GLOBAL FORM - THE SKYTRAIN AND CONDOMINIUMS Jenks (2003), in his paper “Above and below the line: globalizaion and urban form in Bangkok” uses the introducion of the Skytrain into the exising urban fabric of Bangkok as a metaphor to examine processes of globalizaion and urban form. He argues that the opening of the Skytrain in Bangkok has created two separate worlds. Towering over the exising street, the BTS represents a globalized world, whereas in the streets below, “…the vibrant chaos of Thailand exists, seemingly untouched by the world above” (Jenks, 2003 p.547). This globalized world of the Skytrain evolved and manifests itself, Jenks explains, in several ways. The mass transit system uses the latest European technology, was designed by professionals from overseas, and is maintained by experts from the USA working alongside local workers. The service provided is eicient, cool and safe, providing quick travel to a variety of desinaions. It provides connecions, either directly via sky bridges or within close proximity to staions, to 32 internaional hotels, 17 internaional shopping malls, 2 tourist orientated night markets and 1 weekend market. This is in stark contrast to the world below: The eicient ordered environment is replaced by the vibrancy, noise and dirt of the streets. There is no single use, but a rich and chaoic mixture of pedestrians, street traders and stalls, shops and eaing-places. So crowded are the pavements that pedestrians spill out onto busy streets to face a vast array of traic, someimes moving, someimes in gridlock, and always polluing. (Jenks, 2003, p. 553) Those with money, Jenks coninues, can go about their everyday lives in separaion from the world below: It is overlaid on the exising street patern, maintaining the same coniguraion, but creaing an enirely diferent symbolic space of its own. Above the streets, if one had suicient money, it is possible to live without any real connecion to the city or to Thailand. (Jenks, 2003, p. 555) ‘Living’ in this symbolic space of the Skytrain and its desinaions has become a reality with the proliferaion of new condominiums that have been built in recent years. Condominiums irst appeared as a type of housing in Bangkok ater the Condominium Act of 1979, and this type of housing grew signiicantly during the 1990s, but in terms of locaion, the focus was on the entertainment and business districts of the center, with these areas accouning for 60% and 32% respecively of all completed ‘luxury’ condominium units (Askew, 2002, p. 234). Lower-cost condominiums tended to be located in suburban areas where land was cheaper. However, the introducion of mass transit has had a signiicant impact on this patern, with the primary aim of developers to build close to transit lines and staions (Colliers Internaional, 2011), and with the decline in land availability in the center, in the coming years the majority will be along proposed mass transit extension routes (Kasikorn Research Center, 2011). Evidence of this is already visible with many condominiums now having been built or being built along the Thonburi and Sukumvit line extensions (the areas chosen for this study) which opened in the last few years, and construcion taking place apace where the lines are expected to open in the near future. With such close proximity to Skytrain staions in many cases, or even with direct access in some developments, residents have quick passage away from the local area to the city center. In addiion, to atract buyers, most have faciliies such as swimming pools and gyms and are secure environments in terms of key card entry and security guards. So, with these characterisics and the fact that the majority of condominiums are now being built away from the center, are they sold as part of this globalized world that Jenks describes, lacking connecions to and difereniated from their local environment? Before this quesions is considered, the following secion examines how housing and condominiums have been marketed in the past in Bangkok, and how markeing was used to sell new condominiums in London that were built at a distance from central locaions. 105 MARKETING A LIFESTYLE Though this lifestyle of condominium living in close proximity to mass transit is fairly new in Bangkok, the concept of property being sold as exclusive and luxury living environments is not new, nor the lifestyle and idenity that is projected along with this. In reference to the popular and predominantly suburban located middle-class housing estates in the 1980s and 1990s, Askew (2002) explained how most media adverising was related to the promoion of these estates and the images focused strongly on aluence, exclusivity, status and comfort. He went on to claim that the social networks and place-idenity associated with these neighbourhoods might be “as signiicant to the middle classes…as they are for the slum dwellers who have received the bulk of atenion in studies of Bangkok’s urban neighbourhoods” (Askew, 2002, p. 171). This construcion of an idenity ied to housing also applied to the many luxury condominiums built during the 1980s and boom of the 1990s in mainly central locaions, which Askew observed produced and marketed a lifestyle, with the provision of total living environments, comprehensive faciliies, privacy and views of the metropolis. This, he argued, was driven by: …both the power of the atracion towards construcing a lifestyle environment in the inner city replete with the physical and aestheic trappings of exclusivity, and the push factor of an urban environment which is counted as one of the worst in the world in terms of air and noise polluion. (Askew, 2002, p.235) Photo: Author Figure 1. Two recently completed condominiums on the Taksin-Thonburi Skytrain extension line with direct access to the BTS. Thus in both urban and suburban contexts, an ideal image and idenity of these living environments was projected. One disincion arising from the diferences in locaion was the fact that the central locaions of the condominiums meant that markeing irms were able to play on their close proximity to city faciliies, oten a short drive or walk away, as a key selling point. More recently and in a diferent seing, Davidson (2007) examined the narraives contained in the markeing material for new condominiums aimed predominantly at the professional classes built along the Thames in London. He examined three developments built on old industrial land in residenial neighbourhoods, but, unlike those condominiums built in Bangkok during the 1980s and 1990s, these were located at a distance from the city center. 106 They were sill sold as luxury living spaces with a variety of onsite faciliies, but he found that connecions to the local area were sacriiced by the developers at the expense of creaing ‘global’ connecions instead. This was evident not only from the global narraives revealed in interviews with developers and architects with their desire to create a ‘global’ and ‘metropolitan’ building, but also in the selling and markeing material, which was used to “begin an exercise in place construcion and markeing” (Davidson, 2007, p. 497). The texts and images created put the riverside developments in the context of a ‘Global London’ in terms of famous central landmarks of culture, business and inance, even though they were not central locaions. This was at the expense of their local environment: ...what is ofered by developers to potenial residents is not a local existence, but rather a global city lifestyle ....Through atemping to link their developments to more celebrated parts of the city, the immediate neighbourhood of the development is oten overlooked (or erased) by markeing rhetoric which emphasizes accessibility to other areas….In this sense, the local neighborhood is devalorized…as something largely unimportant to potenial residents and investors. (Davidson, 2007, p. 497) There appears then to be a commonality in the construcion of place-idenity in both these contexts, with markeing material used to create images of the living spaces that do not necessarily relect the reality of the urban environment they are placed in, though in contrast to the condominiums built in Bangkok, the peripheral locaion of those in London meant a focus on construcing exaggerated spaial connecions to central faciliies. METHODS The purpose of the study was to examine the areas with mass transit away from the immediate center of the city, so condominiums were chosen that had been built along the recently opened Skytrain extension lines – the Thaksin-Thonburi line and the extensions including and ater On Nut. A total of 14 condominiums were found with websites markeing their properies at the ime the data was collected in 2011. The informaion was taken from the ‘project concept’ pages as this contained the narraives used to create an idenity for the homes rather than the other pages which mostly contained factual informaion such as room sizes and costs. Source: Colliers Internaional Thailand Figure 2. The red line represents the Skytrain, and the blue line the underground. The grey areas to the west and south-east are the locaions of the study where the Skytrain has been extended. 107 RESULTS A number of key themes were ideniied in the websites, and a typology of these is presented in table 1. Most of the narraives were around the promoion of new or improved lifestyles, paricularly with regards to improved mental and physical well-being. There was a focus on ‘ime’ and ‘happiness’. Living in the condominium with its onsite faciliies and access to the Skytrain would result in more available ime to relax and enjoy life, as would other services such as house-keeping and laundry. The itness faciliies, which ranged from swimming pools, gyms, and even jogging tracks, would result in greater physical itness. An image of the purchaser as ‘cosmopolitan’ was also projected, with an emphasis on the icons of the city which atract internaional visitors such as the glitzy shopping centers around Siam and the nightlife of Ekamai, Thonglor and Silom. A disincive environment constructed around the image of ‘nature’ was also developed, with words such as ‘green’ and ‘garden’ featuring prominently, as well as ‘blue’ to represent water. The architectural style of the buildings and its furnishings in terms of modernity were also promoted, with references to post-modernism and modern minimalist. Obviously with a key selling point being the proximity to the BTS, all the sites emphasized this, linking it in with the improvements in lifestyle as it would save ime and provide quick travel to central city locaions. Issues of security did not feature prominently on the project concept pages. In only three of the websites reviewed (for all pages of the website) was there any menion of the neighbourhood. These were fairly brief, staing that faciliies in the local area were easily accessible. In this sense then, the developers via the markeing are construcing an idyllic refuge, with images projected that symbolize the perfect place to live. With the excepion of the centrally located internaional faciliies, it is portrayed as an escape from what is outside. These themes are illustrated succinctly from these more detailed excerpts from two condominiums on the Thaksin-Thonburi extension line: Here comes an oasis in a city space. Blissfully embrace the cool winds, touch the sprinkles of warm sunlight through a relecion of crystal blue water and live peacefully at the heart of nature. Ideo Bluecove Sathorn condominium under the design philosophy of simplicity…. At Ideo Bluecove Sathorn you can put yourself in a resful mode ater days of hecic city living...Let the freshness of Bluecove water and shadowy green garden bring back to you the energy of life...a stay in a core of natures emblem. Back to a balance. A illing in of the missing piece of peacefulness. (Ideo Bluecove Sathorn Condominium sales website – Ananda Development Company Ltd) Fuse blends various lifestyles, exploring in a new modern life. Luxury condominium in a prime locaion, 27 loors high, with a private atmosphere that is suitable for a private party with your special person…Escape from the busy city to an ordinary peaceful place…Every room has a stunning post modern design, a new style with com fortable living…Convenience and luxury with a large hallway makes you feel like you are living in the inest hotel. (Fuse Condominium sales website – Pruksa Real Estate PLC) Source: htp://www2.citadines.com/thailand/bangkok/sukhumvit_11.html Figure 3. A typical markeing photo from a sales site for a condominium on Sukumvit Road emphasizes the key atracions of itness, relaxaion and nature 108 109 These images of modernity, nature, and relaxaion are in stark contrast to the world outside. The condominiums in both areas are posiioned on or close to the busy and oten congested main roads running underneath the BTS. The areas are residenial, consising mainly of old town houses and low-rise apartment blocks and, with the excepion of a Carrefour and Tesco around On Nut, are mainly served by small locally managed restaurants and faciliies. The developers have thus undertaken an exercise in place-making that posiions the condominiums squarely within the world of the Skytrain and its faciliies, whilst clearly difereniaing it from and overlooking its local context and the negaive atributes of a large city. CONCLUSION The narraives from the websites examined have shown that the developers construct a place-idenity for the condominiums by associaing them with three things: the icons and famous faciliies of the center of Bangkok; a radically altered and improved life-style; and a perfect and luxurious living environment. Any connecions to the immediate surroundings are weak and usually not referred to at all. This then, is similar to the indings of Davidson in that the neighbourhood, which is lacking in the cosmopolitan faciliies and ameniies that the developers believe the purchasers desire, is erased and seen as unimportant, and in its place, the developers rely on the proximity to the Skytrain and its connecions to central locaions. In efect, although the condominiums are located in peripheral areas, they are spaially associated with the center of the city in the markeing material. People may thus be atracted to live in neighbourhoods that they would not normally have chosen to live in. It is possible then that what is also being seen is a transformaion in the key dimensions that are of symbolic importance in the creaion of the ideal domesic habitat of many middle-class Thais. No longer is the suburban housing estate alone or a condominium in the center enough to create kwaam sabai (comfort and well-being) – what is also required is closeness to mass transit and the cosmopolitan image of place associated with this. Further empirical research would need to be undertaken in order to establish if this is indeed the case. The purpose of this paper and the conclusions drawn from the review of the markeing material are not suggesing that the building of the Skytrain or the new condominiums have been unfavourable. This new mode of transport has improved the daily lives of thousands of people, and certainly not just those buying in the condominiums as many of those living in the neighbourhoods served by Skytrain staions can access various locaions across the city for work and leisure with much greater ease than in the past, and it is hoped it will eventually contribute to reducions in the polluion of the city if more people withdraw from car use, and result in a cleaner and more sustainable city. However, it raises quesions over the extent to which residents in the condominiums may be connected to the neighbourhood they live in. There is a broad consensus that increased mobility in society in terms of people’s work, social and family relaions, due in part to informaion and communicaion technologies, has resulted in a decline in face-to-face contact in local contexts and a weakening in people’s atachment to place (Cuba & Hummon, 1993; Wellman, 2001). Recent research has also focused on how there is an increasing trend of privaizaion of the home which may contribute to a disengagement with local communiies (see for example Atkinson and Blandy, 2007, on the increase in gated-communiies around the world). Askew’s observaions on the markeing of condominiums in the past, and indeed the markeing of suburban housing estates, have shown this method of creaing an idenity of an exclusive environment to atract the growing aluent classes in Bangkok is not new. However, the lack of faciliies in these more peripheral areas and the direct access to the Skytrain may weaken potenial connecions that residents could have to the localiies they live in more than in the past. The changes discussed in this paper and which are represented in the markeing material are fairly recent, but the dynamics in process along these neighbourhood seings in Bangkok could represent what has been seen as a global urban trend of increasingly divided and fragmented landscapes. 110 ACKNOWLEDGEMENT This research is part of a project that was funded by a seed grant from Mahidol University Internaional College, 999 Phuthamonthon 4 Road, Salaya, Nakhonpathom, Thailand 73170 REFERENCES Atkinson, R. & Blandy, S. (2007). Panic rooms: The rise of defensive homeownership. Housing Studies, 22(4), 443458. Askew, M. (2002). Bangkok: Place, pracice and representaion. Routledge. Colliers Internaional Thailand. (2011). Bangkok condominium market (Quarter 1, 2011). Bangkok Condominium Market Report. Cuba, L. & Hummon, D. M. (1993). Construcing a sense of home: Place ailiaion and migraion across the life cycle. Sociological Forum, 8(4), 547–572. Davidson, M. (2007). Gentriicaion as global habitat: A process of class formaion or corporate creaion? Transacions of the Insitute of Briish Geographers, 32(4), 490-506. Jenks, M. (2003). Above and below the line: Globalizaion and urban form in Bangkok. The Annals of Regional Science, 37, 547-557. Kasikorn Research Center. (2011, January 7). Thailand: Sill no oversupply for condos in 2011. Access my library. Retrieved October 15, 2012, from htp://www.accessmylibrary.com/aricle-1G1-245945057/thailand-sill-nooversupply.html Wellman, B. (2001). Physical place and cyber place: The rise of networked individualism. Internaional Journal of Urban and Regional Research, 25(2), 227–252. 111 THE FACTORS IMPACTING ON THE TRAVEL DEMAND OF INBOUND TOURIST ARRIVALS TO LAO PDR 1990 -2007 Saithong Phommavong Faculty of Social Sciences, Naional University of Laos 7322, Vieniane, Lao PDR E-mail: sai7512@yahoo.com ABSTRACT This paper invesigates all possible factors that impact on the travel demand of inbound tourist arrivals to Lao PDR. Two types of data including imes series and dummy variables were used to develop the travel demand model by performing an ordinary least square muliple regression analysis. The irst type of data was consisted of an 18-year (1990-2007) annual ime series data of number of internaional tourist arrivals, exchange rate, gross domesic product per capita of Thailand and USA, domesic and foreign investment in hotels, restaurants, and tourism agencies. The eight dummy variables were the Asian inancial crisis in 1997, the SARS epidemic in 2003, bird lu in 2007, and events and campaigns that occurred in Laos such as the opening of the Mitaphab bridge between Laos and Thailand in 1994, the irst world heritage in 1995, Visit Laos Year 1999-2000, the ASEAN Tourism Forum, Summit, Meeing and IPO Meeing, and special event and campaigns in 2001 and 2007. The results showed that travel demand of inbound tourist arrivals to Laos could be explained by the gross domesic product per capita of USA, SARS epidemic in 2003, bird lu in 2007, and the opening of the Mitaphab Bridge between Laos and Thailand in 1994. KEYWORDS: Economic impact, Tourism, Travel demand, Muliple regressions, Laos INTRODUCTION The research on tourism demand mainly originates from and is based on theory from Western countries and USA (Crouch, 1994a, Qu & Or, 2006). There is limited research about the tourism demand in Asia (Zhang et al, 2008), including in Laos, where a limited study regarding the factor impact of travel demand on inbound tourists has been conducted. Only some studies on internaional tourism and socio-economic impacts (LNTA, 2006) and for poverty reducion in the Lao PDR were conducted (Harrison & Schipani, 2007, 2009, Phommavong 2011). In case of the Lao PDR or Laos, internaional tourist demand is expected to be based on various factors. From the irst inbound tourist arrivals in the late 1980s (Harrison & Schipani, 2007, Hall & Ringer, 2000), the growth of inbound tourist arrivals in Laos increased from 0.04 million in 1991 to 1.7 million in 2008 (LNTA, 2008b). Laos has gradually become well known to many internaional tourists for its many cultural and historical heritages. The tourism sector is expected to have steady growth in the number of tourist arrivals and average range of stay over the next 10 years. The tourist arrivals in 2015 were targeted at 3.5 million. Tourism revenue is forecasted to reach US$ 494 million, an increase of 8% from 2011 (LNTA, 2010). This study aims to (1): idenify the factors that impact on travel demand of inbound tourist arrivals to Laos using quanitaive variables (income of the original inbound tourist and domesic and FDI investment to hotel, restaurant and tourism operators), and (2) assess the qualitaive factors of crisis incidents (the Asian inancial crisis, SARS, and bird lu) and special events and campaigns on the tourism sector in Laos. 112 113 Source: Lao Naional Tourism Administraion (2008b), Bank of the Lao PDR (2009), Asian Development Bank (2009), Internaional Monetary Fund (2009). The real exchange rate was calculated as follows: RERi,t= ei,t x (CPI* i,t ÷ CPIt), Where CPIt is the consumer price index of Laos in a given year t, CPI* i,t is the consumer price index of the US., and ei,t is the nominal exchange rate between Laos Kip (LAK) and the U.S. dollar. The real domesic and foreign direct investment in hotel, restaurant, and tourism agencies was used in the study THEORETICAL POSITIONING A Travel Demand Model The fundamental concepts for tourism demand is to know about the reasons or factors that drive and set limits to the volume of a populaion’s demand for holiday and travel (Burkart & Medlik, 1981, in Vanhove, 2005). Determinants can be derived from consumer behavior (Vanhove, 2005). According to Vanhove (2005) nine sets of determinants of tourism demand are ideniied including economic factors, comparaive prices, demographic factors, geographic factors, socio-cultural aitudes to tourism, mobility, government/regulatory, media communicaions, and informaion and communicaion technology. In pracice, personal income is the most important factor in determining a tourism demand model (Crouch, 1994b, Frechtling, 1996, Vanhove, 2005). The personal disposable income is applied because it has already removed income-related taxes from gross personal income (Frechtling, 1996). The price of foreign currency, price of tourist goods and services in desinaions, the cost of transportaion between countries, and the efect of exchange rate variaions on purchasing power is used to esimate a tourism demand model (Crouch, 1994b). Tourists prefer to use exchange rate to determine the price of travel rather than basing it on knowledge of price level (Crouch, 1994b). Other factors afecing tourism demand are markeing of the desinaion country, trends and fashion, special events and dummy variables (Crouch (1994b). Frechtling (1996) ideniied the relevant factors including push factors (of origin), pull factors (of desinaion), and resistance factors. Those categories share similariies with demographic factors, geographic factors, socio-cultural aitudes, government regulaions, the role of mass media communicaion, the carrying capacity, terrorism, the levels of crime at the desinaion, and an aging populaion (Vanhove 2005). METHODOLOGY Econometric model Tourism demand modeling has two categories: quanitaive and qualitaive methods (Song & Li, 2008). Casual econometric approaches are the most used to esimate tourism demand (Song & Turner, 2006, cited in Song & Li, 2008). Econometric model is considered the most advantageous in this paper as it can analyze the casual relaionships between the dependent variable and its explanatory variables over the ime-series models. The most common approach used to forecast internaional tourism demand is regression analysis (Kulendran & Wit, 2001). Linear regression takes the form: Y= f (X1, X2, X3, …Xn) (1) The esimators of the equaion (1) are: Where: Y = dependent variable, X1…Xn = independent variables a = the intercept constant b = slope coeicients n = number of independent variables e = error term. Y= a + b1X1+ b2X2+… bnXn+e Other recent econometric models include the autoregressive distributed lag model (ADLM), the error correcion model (ECM), the vector autoregressive (VAR) model, and the ike varying parameter (TVP) models (Song & Li, 2008, p. 211). OLS muliple regressions are sill considered appropriate for this study considering the availability of suitable data. 114 Dependent Variables Following Crouch (1996) and Lim (1997), the number of tourist arrivals is used as the dependent variable to esimate the tourism demand model for Laos. The number of tourist arrivals is available from 1990 to 2007. Independent Variables To determine consumer behavior to travel demand, the inluencing factor impacts should consist of both economic and non-economic factors (Crouch, 1994a, b). In this study, two economic factors including income and exchange rates are used. The income of two originaing inbound tourist arrivals, including Thailand and USA, are adopted as explanatory variables. Income factor is considered the most important factor to posiively impact on the number of tourist arrivals to Laos. Exchange rate was a consistently signiicant factor and had a modest impact on tourism demand (Zhang et al., 2008). The variaion in exchange rate is inluenced the decision to travel for tourists. Real exchange rate (RER) was selected for the model development and derived as follows (Ellis, 2001): RERi,t= ei,t x (CPI* i,t ÷ CPIt) Where CPIt is the consumer price index of Laos in a given year t, CPI* i,t is the consumer price index of the US., and ei,t is the nominal exchange rate between Laos Kip (LAK) and the U.S. dollar. Domesic and foreign direct investment in hotel, restaurant and travel agencies are another economic factor impact to tourist arrival to Laos. The sector can help a traveler make reservaions for lodging and other tourism services. Non-economic factors or dummy variables are claimed as the main inluence in explaining the trend of inbound tourism in Laos (LNTA, 2008a, Harrison & Schipani, 2007). Eight dummy variables are selected for this study including “Asian inancial crisis in 1997”, “Severe Acute Respiratory Syndrome (SARS) epidemic in 2003”, “Bird lu in 2007”, “opening of Mitaphab bridge between Laos and Thailand in 1994”, “irst world heritage in 1995”, “Visit Laos Year 1999-2000”, “ASEAN tourism forum, summit, meeing and IPO Meeing in 2004”, and “special events and campaigns” in 2001 and 2007 were used in this study. The dummy variable is quoted as “1” in the year the incident occurred but “0” otherwise (See table 1). Data Data in the form of ime series have been commonly used (Crouch 1994a). Eighteen-year (1990-2007) ime series data was collected. The data included the number of inbound tourist arrivals, exchange rate, gross domesic product per capita of Thailand and USA, domesic and foreign investment in hotel, restaurant, and tourism agencies, and eight dummy variables. Method An ordinary-least square muliple regression analysis was used and twelve explanatory variables were selected as the tourism demand model. The general form of the model is proposed as followed: Y= a + b1X1+ b2X2+ b3X3+b4X4+ b5X5+ b6X6+ b7X7+ b8X8+ b9X9+ b10X10+ b11X11+ b12X12 Where Y is the number of inbound tourist arrivals to Laos, a is a coeicient of intercept, b1… b12 are coeicients of twelve independent variables, X1 is real exchange rate (US$1 to Lao Kip), X2 is GDP per capita of Thailand, X3 is GDP per capita of USA, X4 is domesic and FDI for hotel, restaurant, and tourism agencies, X5 is a dummy variableAsian inancial crises in 1997, X6 to X12 is a dummy variable of SARS epidemic in 2003, bird lu in 2007, opening of Mitaphab bridge between Lao and Thailand in 1994, irst world heritage in 1995, Visit Laos Year in 1999-2000, ASEAN Tourism Forum, Summit, Meeing and IPO Meeing, and special event and campaigns in 2001 and 2007. 115 FINDINGS Travel Demand Model of Inbound Tourist Arrivals in Laos The results of enter muliple regression analysis is presented in Table 2. The staisical results of the travel demand model were signiicant (P<0.000), and explained 99% of the variaion in the number of inbound tourist arrivals to Lao PDR. The signs of regression coeicients of GDP per capita of USA, SARS epidemic in 2003, bird lu in 2007, and opening of Mitaphab bridge between Laos and Thailand in 1994 were as expected and they were signiicant (P<0.05). The signs of other regression coeicients however did not prove to be staisically signiicant in the model (P>0.05), therefore, they were removed from the model. The travel muliple regression demand model for inbound tourist arrivals to Lao PDR was as follows: where ŷ is the number of inbound tourist arrivals to Lao PDR, X3 is GDP per capita of USA, X6 is SARS epidemic in 2003, X7 is bird lu in 2007, and X8 is open Mitaphab bridge between Lao and Thailand in 1994. The coeicient of the ‘GDP per capita of USA’ variable was posiive (b3=79.28) and staisically signiicant (P≤0.000). This indicated that the higher the GDP per capita in USA, the more likely it was that inbound tourist arrival to Lao PDR would increase. If there was an increase of just one US$ in GDP per capita in USA, it would generate an addiional 79 inbound tourist arrivals to Lao PDR per year with other variables remain constant. The coeicient associated with the dummy variable of the ‘SARS epidemic in 2003’ proved to be negaive and staisically signiicant (b6=-244530.72; P≤0.01). The SARS crisis was a signiicant negaive impact on the inbound tourist arrivals to Lao PDR. It showed that the SARS epidemic resulted in a decrease of 244,531 inbound tourist arrivals in the year of the crisis. The decreasing number of inbound tourist arrivals might have been explained by the SAR crisis. The coeicient of the dummy variable of the ‘bird lu in 2007’ proved to be posiive and staisically signiicant (b7=317512.29; P≤0.01). The bird lu crisis was not a signiicant negaive impact on the inbound tourist arrivals to Lao PDR. It showed that the bird lu in 2007 resulted in an increasing rate of 317512 inbound tourist arrivals in the year of the crisis. The increasing number of inbound tourist arrivals might not be impacted by the bird lu crisis as the center of the crisis was not in Laos. The coeicient associated with the dummy variable of the ‘opening Mitaphab bridge between Lao and Thailand in 1994’ proved to be negaive and staisically signiicant (b8=-170625.379; P≤0.05). A standardized regression coeicient of GDP per capita of USA (β=0.937) had the highest posiive impact on number of internaional tourist arrivals. The values of Variance Inlaion Vector (VIF) are sill under the cutof threshold, which is VIF ≤ 10 (Zhang et al., 2008, Hair et al., 2005). Durbin-Watson d-staisic suggests that the esimated equaion does not provide suicient evidence of posiive residual correlaion at α=0.01. CONCLUDING DISCUSSION This study employed ordinary-least square muliple regression to esimate the inbound travel tourism demand model for Lao PDR during 1990 to 2007. It can be concluded that the travel demand model for inbound tourist arrivals in Laos was a funcion of three diferent factors including performance of the global economy (GDP per capita of the USA), regional aspects SARS epidemic in 2003, bird lu in 2007, and naional development (opening of the Mitaphab Bridge between Laos and Thailand in 1994). The income variable, GDP per capita of the USA, was signiicant and posiive for the travel demand model (b3=79.284, P≤0.000). The demand for inbound tourist arrivals to Laos is not only very responsive to changes in GDP per capita 116 117 in the USA’s income level, but also with increasing economic prosperity, the demand for inbound tourist arrivals will coninue to increase steadily. Some dummy variables including the SARS epidemic in 2003 and bird lu in 2007 is related to regional aspects that did not happen within the tourism desinaions of Laos. The SARS epidemic had a negaive impact on inbound tourist arrivals and shared similar results to the studies of Hiemstra & Wong (2002), Tan et al. (2002), and Zhang et al. (2008). The dummy of bird lu in 2007 was also signiicant for this study. The bird lu might have been posiive to inbound tourist arrivals in Laos as this crisis just needed careful cauion and was not a serious case as in neighboring countries. Opening of the Mitaphab Bridge between Laos and Thailand in 1994 is associated with inbound tourist arrivals to Laos. The coeicients of the opening of the Mitaphab Bridge between Laos and Thailand in 1994 proved not to be so high a posiive impact for inbound tourist arrivals to Laos. This factor is related to visa policies. The policy about the visa upon arrival and entrance permit might not be informed by the government; it did not result in much impact to inbound tourist arrivals in that year. Other factors have not impacted on travel demand, including exchange rate, the Asian inancial crisis, and special events and promoions as summarized in other studies (Crouch 1994b, Qu & Or, 2006, Zhang et al, 2008). The study concludes that the performance of tourist arrival is mostly dependent on the performance of the global economy. The factors that impact on inbound tourism to Laos have not been inluenced only by domesic factors but more from global economic factors. Thus global economic factors, together with promoion and campaigns in Laos, are atracive for inbound tourist arrivals to Laos. Some policy implicaions are provided here that other factors have to take into account for future tourism demand models. Other factors in relaion to promoion and campaign, ASEAN economic community (AEC), other Mekong bridges, and a China-Laos railway might facilitate tourist arrivals. REFERENCES Asian Development Bank (ADB). (2009). Exchange rate Lao kip to USD 1990-1993: Key indicators 2007. Retrieved November 2009, from www.adb.org/staisics Bank of the Lao PDR. (2009). Exchange rate of Lao kip to USD1994-2008. Retrieved November 2009, from htp:// www.bol.gov.la/Lao%20web/exchrate.html Burkart , A. J. & Medlik, S. (1981). Tourism: The past, present and future (2nd ed.). Oxford: Heinemann. Crouch, G. I. (1994a). The study of internaional tourism demand: A survey of pracice. Journal of Travel Research, 32(4), 41-55. Crouch, G. I. (1994b). The study of internaional tourism demand: A review of indings. Journal of Travel Research, 33(1), 12-23. Crouch, G. I. (1996). Demand elasiciies in internaional markeing: A meta-analysis applicaion to tourism. Journal of Business Research, 36, 117-136. Ellis, L. (2001, November). Measuring the real exchange rate: Pifalls and pracicaliies, RER, reserve Bank of Australian Bullein, 70-73. Retrieved December 2009, from htp://www.rba.gov.au/ PublicaionsAndResearch/ Bullein/2001/index.html Frechtling, D. C. (1996). Pracical tourism forecasing. Oxford: Heinemann. Hall, C. M. & Ringer, G. (2000). Tourism in Cambodia, Laos and Myanmar: From terrorism to tourism? In C. M. Hall & S. Page, (Eds.), Tourism in south and south-east Asia: Issues and cases (pp. 178-194). Oxford: ButerworthHeinemann. 118 Hair, J. F. Jr., Black, W. C., Babin, B. J., Anderson, R. E. & Tatham, R. L. (2005). Mulivariate data analysis (6th ed.). Upper Saddle River, NJ: Pearson Prenice Hall. Harrison, D. & Schipani, S. (2007). Lao tourism and poverty alleviaion: Community-based tourism and the private sector. Current Issues in Tourism, 10(2&3), 194-231. Harrison, D. & Schipani, S. (2009). Tourism in the Lao people’s democraic republic. In M. Hitchcock, V. T. King, M. Parnwell (Eds.), Tourism in southeast Asia: Challenges and new direcions (pp.165-188). Copenhagen: NIAS Press. Hiemstra, S. & Wong, K. K. F. (2002). Factors afecing demand for tourism in Hong Kong. Journal of Travel and Tourism Markeing, 13(1/2), 41-60. Internaional Monetary Fund (IMF). (2009). Gross domesic product per capita Thailand 1990-2008. Retrieved November 2009, from htp://www.imf.org/external/pubs /t/weo/1999/02 /data/ Kulendran, N. & Wit, S. F. (2001). Cointegraion versus least squares regression. Annals of Tourism, 28(2), 291-311. Lao Naional Tourism Administraion (LNTA). (2006). Internaional tourism: Socio-economic impacts in the Laos PDR: Planning and Cooperaion Department Staisics Unit. Lao Naional Tourism Administraion (LNTA). (2008b). Staisical report on tourism in Laos. Lao Naional Tourism Administraion (LNTA). (2010). Staisical report on tourism in Laos. Lim, C. (1997). Review of internaional tourism demand models. Annals of Tourism, 28, 291-311. Phommavong, S. (2011). Internaional tourism development and poverty reducion in Lao PDR, PhD diss., Umeå University, Sweden. Qu, H. & Or, Y. S. (2006). Determinants of the travel demand model for Canadian tourists to the U.S. internaional. Journal of Hospitality & Tourism Administraion, 7(4), 1-19. Song, H. & Li, G. (2007). Tourism demand modeling and forecasing – A review of recent research. Tourism Management, 29, 203-220. Song, H. & Turner, L. (2006). Tourism demand forecasing. In I. Dwyer & P. Forsyth (Eds.), Internaional handbook on the economics of tourism. Cheltenham: Edward Elgar. Tan, A. Y., McCahon, C. & Miller, J. (2002). Modeling tourist lows to Indonesia and Malaysia. Journal of Travel and Tourism Markeing, 13(1/2), 61-82. Vanhove, N. (2005). The economics of tourism desinaions. Oxford: Buterworth Heinemann. Zhang, Y., Qu, H. & Taviiyaman, P. (2008). The determinants of the travel demand on internaional tourist arrivals to Thailand. Asia Paciic Journal of Tourism Research, 14(1), 77-92. 119 A NEW APPROACH TO ASSESSING RISKS IN URBAN REGENERATION PROJECTS Sukulpat Khumpaisal1, Zhen Chen2 and Emma Mulliner3 Instructor. Faculty of Architecture and Planning, Thammasat University, Thailand 2 Lecturer, School of the Built Environment Heriot-Wat University, Edinburgh 3 PhD Students, Built Environment, Liverpool John Moores University, Liverpool, UK 1 ABSTRACT An urban regeneraion project may be afected by a series of risks those cause some criical impact to the progression of the projects, as well as to the local communiies. This paper aims to review praciioner decision-making procedures in assessing the potenial risks in urban regeneraion projects, then it also introduces the Analyic Network Process (ANP), a muli-criteria decision making model, in order to set up the framework to assess urban regeneraion project risks. This paper commences with an introducion to the risks involved in urban regeneraion projects, followed by an applicaion of ANP as a risk assessment tool. The risk assessment criteria were established in order to assess risks in the aforesaid project efecively: these are deined based on Social, Technological, Economic, Environment and Poliical (STEEP) requirements of praciioners, which are directly involved with urban regeneraion projects. Then, face-to-face interviews with urban planners, developers and praciioners were conducted in order to gather their percepions towards risks in a residenial and commercial mixed-use project in Liverpool City Centre. The result shows that ANP is an efecive tool to support decision-makers in assessing the potenial risks in urban regeneraion projects. However, to apply this ANP model efecively, the risk assessment criteria should be modiied to suit the context of any paricular case. KEYWORDS: Analyic Network Process (ANP), Risk assessment, Risk assessment criteria, Urban regeneraion project (URP), STEEP criteria 120 ANALYZING THE STATUS OF MINING WASTE LAND REGENERATION IN CHINA – ILLUSTRATED BY THE CASE OF DALIAN LIMESTONE MINES Yu Zhang* Jie Zhao1 and Yue Fan2 * Dalian University of Technology, China E-mail: yuzhang@dlut.edu.cn ABSTRACT China is experiencing rapid economic development and large-scale urban expansion. The mining waste land is becoming an obstacle in that development. This aricle summarizes the current strategies that China is using to solve this problem through a typical case study, and takes the transformaion of limestone mines in Dalian City as an example to introduce how local governments, enterprises, schools and other stakeholders made many eforts to achieve this. At the same ime, the aricle also tries to give some new soluions from the angle of sustainable urban planning, through the ongoing related internaional exchange program (United research method of interdisciplinary and culture). KEYWORDS: Regeneraion, Mining waste land, Dalian China INTRODUCTION China is experiencing rapid economic development and large-scale urban expansion. Because compeiion and cooperaion among ciies is increasing steadily and the scale of construcion in ciies is expanding, new problems and contradicions appear coninuously. As a representaive of the industrial age, some of the mining industry is decayed following energy depleion. On the one hand, there are a lot of negaive efects to the environment, economy and society of ciies for this reason. On the other hand, because of the availability of recycling, this can be transformed to a posiive factor of urban revival. 1. Introducion to the current recycling situaion of urban mining waste land in China There are 178 mining ciies currently in China, including the type of coal, metal, non-metal, oil and natural gas. 54 (30%) are in the east of China, 74 (42%) are in the midland and 50 (28%) are in the west. (Figure 1, Table 1) (data source: 刘吴英，“中国矿业城市工业废弃地协同再生对策研究”) As most of the mining areas in these ciies enter the middle and late period, the numerous pits and saps formed by excavaion destroy the ecological environment, besides the threat of exhausion of resources. (Figure 2) Table 1. Distribuion of Mining ciies 1 2 Region Ciies Percent East 54 30% Midland 74 42% West 50 28% Co-Author: Jie Zhao, 赵杰, Postgraduate, Dalian University of Technology, China Corresponding Author: Yue Fan, 范悦, Professor, Dalian University of Technology, China 121 Figure 1. Distribuion of Mining ciies Figure 2. Mined-out spaces Before the 1980s, the measure of ecological restoraion of mining waste land in China was spontaneous forestaion and land reclamaion by each mining area. The aim was to improve the environment, to maintain the safety of the mining area and to relieve the pressure of land demand: however, there was no any theoreical work among these acions. Ater the 1990s, the study of ecological restoraion of mining waste land has made enormous progress and received general atenion in recent years. Over the last couple of years, a series of legislaion and policies has been issued and improved by the Chinese government, with investment in the treatment of the ecological restoraion of mining waste land increasing signiicantly. This includes the MINERAL RESOURCES LAW of the PEOPLE’S REPUBLIC of CHINA (1996.08), LAND ADMINISTRATION LAW (2004.08), the MINE ENVIRONMENTAL PROTECTION and GOVERNANCE PLANNING(2010-2015), and at the provincial level the OVERALL PLANNING of MINERAL RESOURCES (2008-2015), REGULATIONS on the MANAGEMENT of MINERAL RESOURCES, REGULATIONS on LAND RECLAMATION (2011.02) and so on. These legislaions sipulate acions for the development and uilizaion of mineral resources and ecological restoraion, including the treatment of mining areas. We collected 30 cases of pracical regeneraion instances in China, with about 85 percent of mining waste land transformed into landscape including botanical gardens and amusement parks; 10 percent transformed into industrial land; and 5 percent transformed into construcion land. Nevertheless, the proporion of these successful cases is only a small part of the mining waste land as a whole. Lacking funds, regeneraion strategy and social atenion, most of them were abandoned. (Figure 3) 122 Figure 3. Figure 4. Reuse model of Mining Waste Land Because of the intensity of city development, with ciies expanding outward, some land belonging to mine areas in the past has been taken into the city land-use plan. From the conclusion of pracical cases, reclamaion and landscape reconstrucion as the main way of recycling cannot saisfy the various demands of city construcion (Figure 4). The primary problems: 1) Ater becoming city planning land, there is a lack of diverse and feasible methods for the rebuilding of the waste mines. 2) There is a lack of design methods for the construcion planning of the waste mines and their periphery in urban areas. 3) The recycling evaluaion system of whether the waste mines can be rebuilt or has the other uses is incomplete. 4) The technology and design method of interior construcion in the waste mines is insuicient. Three typical cases (Table 2, Table 3): Table 2. Introducion of three cases Project Name Introducion of Project Locaion Use before Regeneraion Use ater Regeneraion 1. Chen Shan Botanical Garden in Shanghai It is an integrated botanical garden containing scieniic research, popular science and sightseeing tour funcions. The garden covers 2.07 million square meters area, the largest botanical garden in east China, opened in 2011. Shanghai Songjiang district Limestone mines Park 2. Hengshan Mine Park 6.5 kilometers in length from north to south, 4.5 kilometers in width from east to west, with a total area of 21 square kilometers. The Jixi Hengshan Mine Park is located in the territory of the Hengshan District, built in coal mining subsidence, opened up in 2007. Heilongjiang Coal mine province, Jixi Park 3. The WTO mine hotel--Water world hotel A ive-star hotel with unique style, a water world that can accommodate 400 guests simultaneously. In construcion from 2010. Shanghai Park Limestone mines 123 Table 3. Comparison between the original state of landform and Re-use situaion original state of landform Re-use situaion Chen Shan Botanical Garden in Shanghai Hengshan Mine Park The WTO mine hotelWater world hotel In this aricle, the regeneraion of mining waste land in Dalian is taken as an example to expound the related works in China and some exising problems at the same ime. 2. Current situaion of Dalian and its waste mining area On the east coast of Asia and the southern ip of Liaodong Peninsula in northeast China, Dalian is bordered on the east by the Yellow Sea and on the west by the Bohai Sea; it is an important port, trade, industry, and tourism city. Dalian covers an area of 12,574 square kilometers, 2,415 square kilometers of which comprises the Old City. Dalian has three county-level ciies, one county and six districts. They are Zhongshan District, Xigang District, Sha Hekou District, Gan Jingzi District, Lu Shunkou District, and Jinzhou District, Wa Fangdian City, Pu Landian City, Zhuanghe City and Changhai County (Figure 5, Figure 6). Gan Jingzi covers an area of 502 square kilometerslocated between Figure 5. Locaion of Dalian 124 Figure 6. Districts urban and rural areas in the northwest of Dalian. There are sill some cement plants in this old industrial district, so a lot of limestone mines exist in it. According to incomplete staisics, there are more than 100 limestone mines in Gan Jingzi district. At present, of the 582 registered mine enterprises, less than 6% concerned with the implementaion of the reclamaion plan. And only 6.1% of total area of mines has been restored. Many mines once were more than 100 metres above sea level but are now pits 50 to 60 metres below the ground, having sufered destrucive mining in the past 30 years. Because there was no plan of reclamaion before 1988, they have to be shelved with no treatment (Table 4, Table 5, Figure 7). Table 4. The distribuion of the waste mines in Gan Jingzi Table 5. The staisics for the number of mining waste land areas in Gan Jingzi Figure 7. The distribuion of waste mines in Gan Jingzi 125 3. The study and pracice in regeneraion of mining waste land by government, enterprises and universiies in Dalian In 2011, a series of study and pracices was started, led by the government and supported by enterprises, in associaion with local universiies (Figure 8) Government Policy Coordination University Enterprises Technical Support Capital Investments Figure 8. The connecion to the government, enterprises, and university. The authors have paricipated in two projects during the last two years, one of them a cooperaive study with a renewable resource recycling company. Iniially, the establishment of cooperaion was due to the reducion and exempion of land-transfer fees and tax by government to encourage enterprises to invest in regeneraing waste mines. The main investor in this recycling project of mine was a renewable resource recycling company very interested in sustainable construcion. As the main members of study and design in the project, the authors researched the following topics: 1) Feasibility study on regeneraion of the waste mines. 2) Planning and design of the land of both the mines and their periphery. 3) Restoraion design of the ecological landscape inside the waste mines. 4) Proposal for the rebuilding of the waste mines. Unil now, the study of the project is going on and the related research results are gradually appearing (Figure 9, Figure 10). Figure 9. Landform and Terrain Analysis Figure 10. Diagrammaic Cross-Secion 126 In 2012, the authors started a project with the theme of “Regeneraion strategy of waste mines in Dalian” in associaion with the University of Technology, Sydney. This is another project in which the authors have paricipated. This project lasted 3 months, sponsored by the enterprise, and was going on in Dalian and Sydney respecively. There are no less than 40 researchers from diferent ciies, countries and diferent disciplines, including Architecture, Urban Planning, Industrial Design, Environment Art Design, Structure Design, Finance, IT and so on. With this diverse cultural and technology background, they gathered together to propose hypotheses and soluions for the regeneraion of urban mining waste land, based on the comprehensive invesigaions of peripheral residents, local government, and related enterprises from an internaional and interdisciplinary perspecive. These proposals could enlighten the future exploitaion of the land and provide an extensive foundaion to the government’s decision making. The achievements of the project are compiling (Figure 11). Figure 11. The achievements of the studio 4. Conclusion China is realizing the importance of protecing its ecological environment in the process of urbanizaion, and is trying to restore the environment that has been destroyed by rough exploitaion. Regeneraion of mining waste land is a crucial subject, is very comprehensive and involves diverse factors. By objecive analysis, the authors believe that the main constraint is economic. Speciically, the high costs of ecological restoraion lead to too low a return on investment for land development. So it is expected that local government and enterprise may have to make some concessions in the balance of interests. Technically, there is a lack of feasibility study and consideraion in the diversity of construcion, bringing these into the system of urban planning and design is a long term strategy. Finally, the study should be more systemaic to ind beter soluions to these conlicts. Although the achievement is litle now, we have atempted to ind the best soluion to this problem. The results of our study will be recognized in the future. REFERENCES 刘抚英,我国矿业城市工业废弃地土地更新利用现存问题与规划对策研究，现代城市研究，2011.02 卞正富，我国煤矿区土地复垦与生态重建研究，中国矿业大学，2005.04 卞正富，国内外煤矿区土地复垦研究综述，中国土地科学，2000.01 王建国，后工业时代产业建筑遗产保护更新，中国建筑工业出版社，2008. 刘伯英，城市工业地段更新的实施类型，建筑学报，2006 Joe Hajdu. (2006). 德国鲁尔的“前世今生”,中国国家地理 Kirsten Jane Robinson,探索中的德国鲁尔区城市生态系统:实施战略(王洪辉译),国外城市规划，2003.06 Elizabeth Glass Geltman. (2000). Recycling land: Understanding the legal landscape of brownield development. Ann Arbor: University of Michigan Press. Niall Kirkwood. (2001). Manufactured sites: Rethinking the post-industrial landscape. 127 ECO-PARTICIPATORY DESIGN: A REVIEW ABOUT SUSTAINABILITY CONCEPTS IN THE DESIGN PROCESS Yusfan Adeputera Yusran Department of Architecture, Faculty of Engineering, Brawijaya University, Malang, Indonesia E-mail: yyusfan@yahoo.ca ABSTRACT Design should be viewed as a process, rather than an outcome. However, design does not occur in a linear manner; it involves integrated thinking where coninuous interacion between the phases takes place. Design is an iteraive process which requires us to think coninually, in an open-ended cycle, and involves phases of analyical understanding, criical thinking, and creaive decision making. This paper arises out of a study about sustainability concepts in the design process which actually our ancestors oten did when they built their dwelling. Someimes we as designers deny this by assuming that our clients do not understand anything about designing. By taking a few examples that have been conducted in Indonesia, such as the Bamboo Mutual Aid Program in Malang and Rumah Turi in Solo, this paper will discuss the design process which involves society, and some results which remind us about the coninuity of life in the community itself. In essence, what to design must respond to the insituions of society, to society’s cultural direcives, and to the overall lexicons of building. This model development can be described as eco-paricipatory design as architectural guidance in serving diversity, besides serving individuality and interests of human, as well as nature preservaion. The result showed that the process is always open-ended, paricipatory, mutually supporive and has been proven to successfully improve lives. The creaion of an eco-paricipatory design process is important to increase society’s sensiivity as well as enhance their concern for the environment. The acive paricipaion of users in addiion to paicipatory methods will ensure that future architects gain a deeper understanding of user needs and are able to create appropriate and quality building and environment. Besides that, this can be a reference in developing urban areas so as not to override the rights of people. KEYWORDS: Eco-paricipatory, Design, Process, Society, Nature preservaion INTRODUCTION Currently, the urgency of sustainable construcion has been quesioned due to misconcepions in understanding. Mostly in design, we are required to design sustainable building and obliged to use modern systems - such as air ilter, photovoltaic, hydroelectricity systems, wind power - but on the other hand, the design does not use materials that are sustainable or at least preserve the process and product. At least, if the client is sill doubful about the sustainable materials that we use in the inal product, we can conduct sustainable approach in the process. 128 Design is oten considered a separate acivity from the producion process, and the design has to fulil its role as a economically products. The design paradigm has increasingly forsaken the world of art and self expression due to the impact of machinery work systems and mass producion. This is in contrast with tradiional design concepts, where design is a part of an art that has a social dimension, a way of art expressing idenity in the form of ornaments that have a strong cultural signiicance. As we know, sustainable concept is how to accomodate human needs at present without disturbing the human needs in the future (Steele, 1997). Sustainable design process has actually been done by our ancestors in constructing their dwelling. This is seen from the buildings which they had made turned into dicionaries in our repertoire of tradiional architecture. The vernacularism that they preserve should be a relecion for us that the design is not always oriented on the products, but also in the process: how they appreciate nature with the appropriate selecion of materials, how they foster a sense of social awareness among others with gotong royong (mutual cooperaion), all of which has begun to disappear. Current quesion that oten arises as a follow-up quesion is how the current human needs develop towards an increasingly complex urban life. This image shows that the social sense in the ciies is gradually geing lost by people’s individualism. Architecture can be visualized as a factual interface relaing culture and nature since its materiality derives directly from the natural sphere while its form and funcion are entrenched in the cultural sphere (Owen, 2008). In this case, there must be a conversaion between culture and nature to create a system that is appropriate with the principles of sustainable architecture. Wines (in Owen, 2008) verbalizes “the conversaion as one of a ‘fusion’ with nature, it would appear that architecture should ideally represent a seamless transiion between culture and nature”. Sustainable concept consists of three viewpoints that have to meet; economic, environment and social (Steele, 1997). Through this viewpoint, this paper describes how important sustainable process in a design by reviewing a mutual aid program in which the author paricipated. Besides that, this paper also reviews how sustainable process in design was implemented in urban development by evaluaing Rumah Turi in Solo. Based on this phenomenon, this paper developed by assessing each object and comparing it with previous research related to sustainable processes. RESULTS AND DISCUSSION Buildings in the past were always driven by the meaning of events in a space bounded by nature and climate, so the form is like birth, growing and then stabilized by further generaions so that it becomes a tradiion. Presently, building is no longer driven to meet needs. Now, there is no necessity to produce a building that sill considers the meaning of the user, but only accommodates what the designer wanted. This is the main problem in the design process of the community service program which the author was involved in. It was seen that the client is sill uncertain with bamboo if it implemented as loors and columns in the construcion of their buildings. Skepicism of bamboo construcion sill dominates their assumpion that bamboo is a temporary raw material. This is quesionable because it has been widely applied in numerous in-depth research of bamboo. These examples can provide an in-depth overview of the importance of paricipatory processes in convincing the client in a design process. In the case of a community service program in which the author was involved, the design process put greater consideraion of the client’s decision in deciding which parts of the building would be designed using bamboo construcion. It is important to solicit the opinion that will be implemented in determining the spaces’ placement so that the construcion load can also be determined by the user. 129 Source: author, 2012 Figure 1. Locaion of community service Meanwhile, the construcion material that the author proposes is bamboo as an efort to reduce our dependence on ferrous material and bamboo is an alternaive material that has been widely applied. Indonesia as one of the largest tropical natural resources can also be a developer in the use of bamboo as sustainable construcion. Research on bamboo has proven that the compressive load and tensile of bamboo is even beter than steel. Source: Budi Faisal, 2012 Figure 2. Bamboo applicaion on building construcion We can exploit this potenial in the process of community service, considering that socializaion is more important if implemented directly rather than solely by theory. The hope is that people can assess the applicability of bamboo as a construcion material, while also gaining insights about the importance of paricipatory design process as well as nature conservaion. Source: author, 2012 Figure 3. Preliminary discussions to introduce assistance team and the methods to be used The method used in this program is a method that focuses on the use of paricipatory research approach (Adimihardja et al. in Pawitro, 2011). In this method the role of paricipatory approaches is used to gauge aspiraions and expectaions about wants and needs through deep social interacion between researcher and user. In the design process, the author tried to play the part of the users who would use the building. Currently, empathy methods are more developed in product designs that want to seize segments of speciic consumers. Of course, as a part of the design discipline, architecture must also be able to elicit this method with the aim of creaing an adaptable design as well. Thus, for architects who have not directly been in contact with the users they receive informaion about, special atenion must be given to the communicaion of user insights (Koskinen and Batarbee in Yusran & Abraham, 2011). Moreover, through paricipatory planning processes, proposals for change will be holisically informed by local wisdom, atachment to place, and networks of interconnectedness and ecological thinking (Hester in Bonilla, 2009). 130 According to Rapoport (1969) architecture is the result of human tradiion by trial and error, resuling in vernacular housing with the following characterisics: 1. Without support by theory or building principle 2. Atuned with their climate and environment, respecful with society and environment 3. Have some ornaments as a symbol of their society 4. Open-ended with site (material resources come from their environment) and acceping changes in their built environment. Because of the uniqueness of these elements, all forms of vernacular architecture are built to meet speciic needs accomodaing the values, economies and ways of life of the cultures that produces them. This is the key that ies tradiional architecture to its locality. Therefore, in this mutual aid program the author sees the potenial of locality. Coincidentally around the site there is a lot of bamboo and not far away there is a village which has lots of bamboo resources, namely Petungsewu village (java: petung means bamboo; sewu means thousand). There, many types of petung (Dendrocalamus asper) bamboo are suitable for building construcion. Source: author, 2012 Figure 4. Bamboo plants around the site The approach is also well represented as a biomimeic-inspired design (BID) which uses analogical or metaphorical reasoning to imitate or take creaive inspiraion from nature to generate sustainable and opimal soluions to human design problems (Eiloui, 2010). Source: Faisal, 2012 Figure 5. Bamboo applicaion as a Biomimeic-inspired design Paricipaion is important because people have the right to paricipate in decision making which directly afects their living condiions. This means direct public involvement in decision making processes whereby people share in social decisions that determine the quality and direcions of their lives (Sanof in Bonilla, 2009). Paricipaion implies an engagement with the environment and with the others living in that environment. Through paricipaion individuals idenify themselves with their environment, their seing, as well as with the group they belong to. They become aware of common needs, idenify with each other and eventually collaborate and take part in collecive acion to transform the place in which they live (Bonilla, 2009). Paricipaion is not just a means to involve users more eiciently in the producion of space, but also a means to redirect architectural culture (Jones et al. in Sani et al., 2011). Therefore, they have the right to paricipate in decision making regarding planning, designing, construcion and evaluaion process of their buildings. 131 AN EXAMPLE OF SUSTAINABLE DESIGN CONCEPTS IN URBAN AREA If the previous descripion is about sustainability in the design process with case studies of micro-scale buildings, the following is an explanaion at the macro scale that is closely related to urban development. Achieving sustainable ciies is a challenge, and at the same ime, a dauning task due to the very complex products of human acivity (Eldemery, 2010). The viewpoint of urban development now may also consider the concept of the Rumah Turi developed by Paulus Mintarga. This hotel model was built on the principles of eco and sustainable consciousness, and cultural and heritage awareness. The concept of paricipaion occurs as the basis of development with regard to equality of human rights in dwelling. Planning such a model is also supported by the policy of the mayor of Solo city who wants hotel development in this city to prioriize the implementaion of the guest house concept. Currently, it is realized that construcion which is merely verically oriented contributes some disarray to the arrangement of ciies. Mintarga (2011) argues that a site is designed as a place for people to connect with nature, community, the arts, culture, and one another with the local community. For Grosz (in Owen, 2008), nature must be seen as a site of poteniality, becoming, force, and malleability that gives rise to the richness of variety of cultural life. Physically, the building has been applying some principles of green buildings. Almost all imber used in the construcion of Rumah Turi is recycled. Most of it originates from the remains of a hotel in Yogyakarta ater it was destroyed by the devastaing earthquake of 2006. Gray water and rainwater is iltered successively in a special tank, in the garden and then again through a mechanical process so that it can be used again to water the garden as ariicial rain and for lushing toilets. When the surge tanks are full, surplus water is directed to the neighborhood sewers. It uses solar panels to heat water (saving electricity) on the rootop, which then gravitates naturally to the rooms. Almost all lamps are LEDs (Light Emiing Diode), which only use 20-30 % of electricity compared to halogen and standard light bulbs. Besides that, Rumah Turi is designed in such a way that the interior is venilated by natural air low. Cross venilaion below the roof and in each room keeps these spaces cool during the day. Meanwhile, the roof garden and ariicial rain also helps to cool the temperature. This efort is a form for sustainable construcion in preparing for and implemening the principles of sustainability and supporing Agenda 21 and the Habitat Agenda (Eldemery, 2010). Source: ield survey and web image, 2012 Figure 6. Sustainable design in Rumah Turi Although not yet fully implemented, the concept of paricipaion in the Rumah Turi management shows that the design of an area must be able to become a magnet for its region. These magnets are not only proitable for the owner but also should be able to improve the living standards of people in the vicinity. Here it can be seen that the early design concept should involve every human being either directly or indirectly in the design. The concept carried out should consider the human aspiraions and the locality’s values. The concept of the Rumah Turi hotel developed similarly to the Heritance Kandalama hotel in Sri Lanka. By opimizing the potency of its surroundings, Rumah Turi became one of the best places to stay in Solo city. Rumah Turi represents a new way of building “homes” that are truly nature-friendly, and that integrate with the surroundings. The basic concept is sustainable architecture that plays a role in conserving natural resources and the environment. 132 By uilizing the verical pot, vegetable crops were culivated as well as shading devices for buildings. The landscape at Rumah Turi consists of “hanging” gardens with vegetables (used for cooking), medicinal plants and fruits and lowers. The verical garden also helps to ilter the air and to beauify the space. Source: ield survey, 2012 Figure 7. Hanging garden in Rumah Turi The building engages in a process of invisibility as the boundaries between inside and outside, between architecture and landscape, are dissolved. This is a common theme in green or sustainable architecture in general and has become one of the best soluions in sustainable issues. It is also a common image in place-based tourism desinaions where buildings are sheathed in cloaks of earth and foliage tending towards an architectural absence (Owen, 2008). However, this does not mean that architecture disappears enirely from view. As Crist (in Owen, 2008) argues, the process of disappearance becomes bound up with a process of re-emergence and it is the slippery movement between the two that is the very condiion for sustainable architecture’s visibility. Cultural development is also one of the development concepts of this hotel. Javanese cultural values that are sill atached to the surrounding communiies are accommodated by a community cultural center in the hotel. People who want to do arts and cultural aciviies such as dancing, puppets performance, etc, could use the facility which is also the incubator for knowledge transfer (workshop) as well as directly enjoyed/viewed by hotel visitors. Source: htp://www.rumah-turi.com/ Figure 8. Some dancing performance in Rumah Turi Ahead, according to Mintarga (2011) this hotel will be developed paricipaively by involving the local community. Visitors who wish to stay can also use local community houses that have been ailiated with the hotel Turi so that the role of ciizens is directly visible in the urban arrangement and residenial areas. Thus, the responsibility and role of the ciizen was signiicant as well as a livelihood for them. In the future, this area is also expected to become an incubator for equivalent and equal development in terms of management, its development respecing the patern of city preservaion and not overriding their lives and culture as local communiies. Another example that can be referred to is the arrangement of Kalicode village in Yogjakarta. 133 Therefore, the culture needs understanding from the perspecive of both the core and the periphery so that the culture will be understood holisically, not only through the paterns of changes. Culture described by its components and expressions of its dismantling, has a core and periphery. In 1983, in dealing with the impact of rapid cultural change on the built environment in developing countries, Rapoport proposed a disincion between the cultural core (changing litle, slowly, or not at all because it is central to the group, its idenity and, possibly, its very survival as a disinct group) and the cultural periphery (changing quickly, easily, and even eagerly), so that in any given case, depending on context, scale, group, seing type etc, diferent elements become important (Rapoport, 2008). This efort is appropriate to be applied in the Nusantara architecture which is made up of varied cultures. Source: Author Figure 9. The theoriical framework of how an architect should undertake a sustainable design process in order to create eco-paricipaive design concepts From this concept it can also be seen that the rearchitecture or recycle concept should not simply be demonstrated by the shape of the building, but also can add a new funcion to it. Addiional funcions can be successful when there is a patern of assimilaion among the local community with the urban development, for example regarding the locality values such as culture and customs. Culture is important in the development of a city because the custom of a society becomes the determinant of the characterisics of an urban region. CONCLUSION It cannot be denied that these days some tradiional ways of building, such as material and norms that transparently appear in work, are slowly becoming obsolete and abandoned due to the emergence of the advanced materials industry, which has the ability to create atracive forms of architecture. The desire to stand out with modern versaile materials creates a globally homogeneus formaion that progressively forsakes the coninuity of individual cultures. Therefore, sustainable development should be interpreted as a movement of change. But this change is not purely at a physical level, but also at the level of concept and process. Through this paper, the sustainable process is treated as one of the prioriies in architecture. Paricipatory processes are prioriized in order to create an appropriate architecture. In addiion to the aspiraions of local culture, this process also increases the sense of responsibility 134 towards agreed conclusions. Moreover, it delivers us from the shackles of the old ways in preserving the tradiional architecture. Aterward, architecture not only provides a visible record of changing cultural ideals and social pracices, revealed in built form as a spaializaion of history, but it also plays a powerful future formaive role in invening other possibiliies. The concept of urban development also should not override sustainable processes. Although achieving sustainable ciies is a challenge, we sill have the opportunity of a more relexive engagement with place and a reframing of human-environment, or culture-nature relaionships. Every human character needs idenity. With that, we will understand the importance of maintaining the idenity coninually. Therefore, cultures should be involved in order to create ideniicaion and idenity of community as well as play a responsible role toward their environment. And for architects as agents of change, it will drive the rebirth of tradiion in the sustainable design process. REFERENCES Bonilla, M. H. (2009). Collaboraive and paricipatory planning processes and methods for local development. Archnet-IJAR [Internaional Journal of Architectural Research], 3(3), 133-146. Retrieved from htp://archnet.org/ Eiloui, B. (2010). Biomimeically correct. Archnet-IJAR [Internaional Journal of Architectural Research], 4(2-3), 429-442, (Special Volume: Design educaion, exploraions and prospects for a beter built environment), Ashraf M. S. & Michael, J. C. (Eds.). Retrieved from htp://archnet.org/ Eldemery, I. M. (2010). Sustainable architectural design: Reviving tradiional design and adaping modern soluions. Archnet-IJAR [Internaional Journal of Architectural Research] 4 (1), 99-110. Retrieved from htp://archnet.org/ Faisol, B. (2012). Arsitektur bambu, potensi kearifan lokal yang terlupakan (presentaion material). 2nd Workshop and guest lecture with naional architect 2012, Department of Archietcture Brawijaya University Malang, 26 May 2012. Mintarga, P. (2011). Environment consciousness (presentaion material). 3rd Workshop and guest lecture with naional architect 2011, Department of Archietcture Brawijaya University Malang, 25 June 2011. Owen, C. (2008). Architecture between the culture-nature dualism: A case study of geofrey Bawa’s Kandalama Hotel. Archnet-IJAR [Internaional Journal of Architectural Research], 2(1), 40-56. Retrieved from htp://archnet. org/ Pawitro, U. (2011). Paricipatory research approach in the structuring acivity of tourism village of ‘Jelekong’ – Bandung Regency. Internaional conference proceedings of local wisdom in global era. Duta Wacana Chrisian University, Yogyakarta, 21-22 January 2011. Rapoport, A. (2008). Some further thoughts on culture and environment. Archnet-IJAR [Internaional Journal of Architectural Research], 2(1), 16-39. Retrieved from htp://archnet.org/ Sani, R. M., Bahar, U. & Pinar, U. (2011). The signiicance of user paricipaion in architectural design: The case of nicosia social housing complex. Archnet-IJAR [Internaional Journal of Architectural Research], 5(3), 25-39. Retrieved from htp://archnet.org/. Steele, J. (1997). Sustainable architecture: Principles, paradigms and case studies. New York: McGraw-Hill. Yusran, Y. A. & Abraham, M. R. (2011). Empathic approach for adapive design. The 12th internaional conference proceedings on quality in research (QiR), Sanur Paradise Plaza Hotel, Bali, 4 – 7 July 2011. 135 SUSTAINING INFRASTRUCTURE DEVELOPMENT AT MUNICIPAL LEVEL: FROM TOWN DEVELOPMENT FUND’S PERSPECTIVE Bijaya K. Shrestha Town Development Fund, Kathmandu, Nepal E-mail: bibiyan_shrestha@yahoo.co.uk ABSTRACT With decentralisaion of iscal powers and service delivery responsibiliies to municipaliies of Nepal, many of them are facing iscal constraints, such as rigid and narrow tax bases, that impede mobilisaion of local resources to inance both services and infrastructure paricularly in the context of rapid urbanisaion. The Town Development Fund (TDF) since its incepion in 1987 has been providing technical and inancial assistance through grants, sot loans and loans with the support of the Government of Nepal and many donor agencies. For sustainable infrastructure development at municipal level, its recent restructuring has clearly set its vision as ‘lender of relevance.’ It has also developed a business plan, established a new organisaion structure, and prepared common new loan and grant policies. However, poor human resources and lack of elected poliical representaives in municipaliies are sill major problems. Technical support to enhance the borrowing capacity of municipaliies for debt services and networking of TDF with similar inancial intermediary insituions abroad, including capacity building of its staf, are suggested. KEYWORDS: Sustainable infrastructure, Town development fund, Municipality, Restructuring, Capacity building, Project appraisal, etc. OVERVIEW AND STUDY OBJECTIVES The annual urbanisaion rate of 6.40% against the naional growth of 2.25% in Nepal is the highest in South Asia. Rapid populaion growth and spaial expansion of urban areas has led to a sharp increase in the demand for physical infrastructure and urban services. This, coupled with the limited iscal ability of municipal governments, has constrained the growth of a balanced city system. Urban infrastructure investments are essenial for socioeconomic modernisaion and improvement of the quality of life of ciizens. There is a huge resource gap to fulil the ever increasing demands of urban infrastructure and services. The Town Development Fund (TDF) since its incepion in 1987 has been supporing sustainable infrastructure development at the municipal level with varying degrees of success. This paper has four objecives. First, it assesses the rapid urbanisaion of Nepal and growing demand of infrastructure and services at municipal level. Second, it reviews TDF’s past business aciviies and ideniies major gaps. Third, it presents organisaional restructuring carried out recently at TDF before proposing some key recommendaions. RAPID URBANISATION OF NEPAL AND GROWING DEMAND OF INFRASTRUCTURE AND SERVICES Nepal is a landlocked country with 26.6 million populaions living over an area of 147,181 square kilometres (CBS, 2012). Internal migrants to urban areas have increased over ime from 13.4% in 1971, 16.3% in 1981, 17.2% in 1991 136 and 26.8% in 2001 (CBS, 2006). The urban populaion increased nineteen fold and the number of municipaliies almost six fold in a period of 60 years (Table 1). Table 1. Growth of urban populaion and subsequent increase in the number of municipaliies Census year Urban populaion (‘000) % of urban populaion No. of municipality 1952 – ‘54 238.30 2.90 10.00 1961 336.20 3.60 16.00 Annual geometric growth rate (%) 4.40 1971 461.90 4.00 16.00 3.23 1981 956.70 6.40 23.00 7.55 1991 1,695.70 9.20 33.00 5.89 2001 3,227.90 13.90 58.00 6.65 2011 4,525.80 17.00 58.00+41.00* 3.38 2016 7,156.80 (esimated) 22.85 4.91 2021 9,047.20 (esimated) 26.48 4.69 Note: * - The government of Nepal recently added 41 more municipaliies but its legal status is yet to be achieved. Source: (CBS, 2003 & 2012) In Nepal, the ‘urban’ area has been deined and redeined over the years without consistency in deiniion. The ‘Nagar Panchayat Act 1962’1 deines the urban area not as a setlement unit per se but as a unit of local selfgovernment. The ‘Municipality Act 1992’ and the ‘Local Self Governance Act 1999’ has redeined and classiied urban areas into three diferent categories: Metropolitan city, Sub-metropolitan city and Municipaliies. The necessary condiions for designaion of a municipality include (a) minimum populaion size of 20,000 in the ‘Tarai’2 and 10,000 in the mountains and hills, (b) annual revenue of NRs. 5 million3 in the ‘Tarai’ and NRs. 500,000 in the mountains and hills and minimal urban faciliies such as electricity, road, drinking water, communicaions and other similar urban faciliies. The universally accepted criteria of populaion density, occupaional structure of populaion and above all the quality of service delivery are hardly menioned. Nepal’s urbanisaion patern is uneven in terms of ecological belts, geographical locaions and development regions (Fig. 1). With regards to the ecological belt, about 54.5% of the total urban populaion lived in 29 urban places in the hills and mountains and the remaining 45.5% of the populaion stayed in 29 places in the ‘Tarai’ belt in 2001 (CBS, 1995; 2003). In terms of geographical locaions, Kathmandu valley used to comprise 82.6% of the total urban populaion in the 1950s, but by 2001 accommodated only 30.9% of the total urban populaion (ibid). Similarly, the urban populaion in the ‘Tarai’ region has increased from 17.4% to 51.3% between the 1950s and 2000s. From the development region perspecive, the central development region was home to half of the urban populaion, followed by the eastern development region, in 2001 (ibid). The mid- and far-western development regions consitute slightly more than 7% of the urban populaion in the 6 municipaliies in each case. Moreover, urbanisaion is not due to an economic structural transformaion but rather as a product of extension of municipal boundaries, high in-bound urban migraion and the addiion of new urban areas. They are seen as poliical, administraive and census enumeraion units. Setlements in ive development regions Road network linking small towns & municipaliies Figure 1. Setlement and infrastructure provision in diferent development regions 137 Infrastructure provisions and urban services vary in diferent ecological, geographical and development regions. In the Kathmandu valley, about 78.3% of populaion have access to piped water whereas this igure falls to just 25.3% in the case of the central ‘Tarai’ region (CBS, 2009). In the hills and mountains, the majority of the populaion are dependent on piped water whereas people of ‘Tarai’ region oten use hand pumps and bored water for their daily needs. About 58% of households have a source of drinking water within their premises, compared to 46% ive years ago (New Era and ICF Internaional, 2012). Toilet coverage has increased from 6% of the populaion in 1990 to 43% in 2009, but a huge gap between urban (78%) and rural coverage (37%) sill exists (Steering Commitee for Naional Sanitaion Acion, 2010). Interesingly, urban toilet coverage has stagnated at around 80% since 2000. The far- and mid-western development regions have the lowest sanitaion coverage at only about 30%, whereas the western development region has the highest coverage with about 53% of the respecive total of the regional populaion (DWSS, 2009). The low road density of about 14.0 km per 100 sq km clearly indicates poor accessibility to various parts of the country. Though investment in urban infrastructure requires 7.5% of gross domesic product (GDP), Nepal’s share at present is only 0.8% of its GDP. There is a need of $37 per capita against the present investment of $13 per capita. There is a inancial gap of $108 million to serve 4.5 million urban populaion. Another study carried out by TDF for municipal inance system and debt inancing esimates the need of NRs. 45 billion (€398 million) per year to implement the projects proposed by 58 municipaliies in their ive year periodic plans, whereas municipaliies have a total revenue of NRs. 8 billion (€70 million), out of which only NRs. 4 billion (€35 million) is available for capital investment in their infrastructures projects. Hence there is an esimated NRs. 41 billion rupees (€ 362 million) revenue deicit required for the capital investment to meet the demand of municipal infrastructures every year. Typical sources of funds for municipality include diferent types of taxes, grants from the central government, user charges and lease income. Municipaliies vary substanially in their revenue basis and tax administraion capacity, and their service delivery potenials and the scope of services provided are diverse TOWN DEVELOPMENT FUND’S PAST BUSINESS ACTIVITIES AND THE EXISTING GAP The Town Development Fund is the only inancial intermediary agency in the country with linkages between central and local governments. Ater agreement between the government of Nepal and diferent donor agencies, it receives the funds from former for loan and grant investment in infrastructure development in municipaliies. TDF Board provided policy direcion, whereas daily aciviies used to be operated through three secions (Fig. 2). Chairperson: Members: Members: Members: Members: Member Secretary: (a) TDF’s old organisaional structure 1-Secretary (MPPW) 2-Joint Secretary (MOF/MLD) 5-Mayors (5 DR) 2 (Specialists) ED (TDF) (11 member Board) (b) TDF’s board Figure 2. TDF’s old organisaional structure and board formaion TDF’s past business aciviies can be grouped into three diferent phases. In the iniial years of existence, it was inanced from three diferent sources: equity from the government of Nepal, credit from the Internaional Development Associaion (IDA)/the World Bank, and a grant from the German Agency for Technical Cooperaion (GTZ)/ udle project4 . Ater successful investment of these funds, TDF in the second phase basically implemented the Town Development Program (TDP) program with inancial support from KfW5 (Table 2). Its main objecive was to create a Revolving Fund at TDF for debt inancing to municipaliies and small towns for the development of municipal infrastructures and services, thereby strengthening the TDF into an autonomous and sustainable inancial intermediary insituion. It also implemented two ADB funded projects – Urban Environmental Improvement Project (UEIP) and 138 Small Towns Water Supply and Sanitaion Sector Project, First Phase (STWSSSP - I). Except for the District Health Project (DHP), all the TDPs projects in the form of grants have been opened to all 58 municipaliies whereas ADB supported projects (loan) are limited to speciied municipaliies and towns. Table 2. Status of various projects supported by diferent donors ill 2009-‘10 S. No. Donor Amount Type Present status 1 KfW (TDP-I) DM 10.00 million (NRs. 34.00 million) in 2000 Grant Completed 2 KfW (TDP – II) € 8.00 million (NRs. 710.00 million) in 2008 Grant Ongoing 3 ADB (STWSSSP - I) US$ 12.00 million (NRs 840.00 million) in 2008 Loan Completed 4 ADB (UEIP) US$3.38 million (NRs.237.00 million) in 2009 Loan Competed 5 KfW (DHP) € 2.22 million (NRs. 200.00 million) in 2009 Grant Almost completed Source: (TDF, 2012) In the third phase, ater long years of modest aciviies, TDF is now faced with a fast growing porfolio expanded in the last few years (Table 3). Currently it has been implemening the ADB-funded Secondary Towns Integrated Urban Environmental Improvement Project (STIUEIP) targeted at three big municipaliies; the STWSSSP (phase – II) project targeing 14 small towns for water supply and sanitaion; the Integrated Urban Development Project (IUDP) targeing four big municipaliies; and the World Bank-funded Urban Governance & Development Programme (UGDP), along with the parallel technical assistance of GIZ for TDF and municipaliies through Municipal Support Team (MST) targeing six emerging towns (i.e. small municipaliies). Table 3. List of the programs supported by diferent donors at TDF (latest status) New inancing programs Other program opions 1 KfW Town Development Program phase III 1 ADB Intuiional Strengthening of TDF in PPP inancing 2 ADB Small Town Water Supply and Sanitaion Sector Phase II 2 GoN Provision of Special Funds for PPP inancing 3 ADB Secondary Towns Integrated Urban Environmental Improvement Project 3 WB Output Based Aid – solid waste management 4 ADB Kathmandu Sustainable Urban Transport Project 4 ADB Broader Town Program 5 WB Urban Governance Development Program: Emerging Town Project 5 Saudi Saudi Fund Program Source: author The total value of the 11 donor programs has reached NRs 6.80 billion; of this, NRs.1.70 billion has been contracted for sub-projects and NRs 1.40 billion disbursed by the end of 2011. On the TDP program, ill now NRs. 757.00 million (€6.70 million) has been spent, NRs. 1.53 billion (€13.60 million) has been commited and only NRs. 328.00 million (€2.90 million) remains, of which NRs. 300.00 million (€2.60 million) is let for construcion loan and grant inancing, for which TDF has already received the projects from the municipaliies and is in the process of appraisal. The status of loan repayment varies with the nature of the program implemented (Table 4). The loan repayment status of ADB supported two projects, in which TDF was not involved in project development and packaging, is low compared to the repayment from other projects. Table 4. Status of loan repayment in diferent programs S. N. Program Repayment to be received (NRs. in million) Repayment received (NRs. in million) Repayment received 1 Town Development Program (IDA) 207.60 203.60 98.10% 2 Town Development Program (gtz) 16.40 100.00% 16.40 139 3 TDP – I (KfW grant) 168.00 160.80 95.70% 4 TDP – II (KfW grant) 116.00 88.10 76.01% 5 STWSSSP – I (ADB) 213.50 95.80 44.85% 6 UEIP (ADB loan) 9.70 2.40 24.68% Total 731.50 567.30 77.56% Source: TDF et al., 2011 There are sill numerous gaps among diferent agencies working for sustainable infrastructure development in municipaliies (Table 5). In the case of TDF, the approved projects in many cases for loan and grant investment at municipal level have not been realised due to diferent terms and condiions for similar projects supported by the government of Nepal and other donor agencies. For instance, the Biratnagar Sub-metropolitan City cancelled the storm water drainage project of NRs. 110 million under the TDP program even ater tending the construcion work simply because it received the ofer of 80% grant (of the total project cost) under STIUEIP supported by ADB. Otherwise, it was a 80% loan investment project under TDP program. Moreover, both TDF and municipal stafs have encountered diiculies in implemening the projects due to diferent provisions in procurement process, guidelines, and interest rates for similar types of projects due to diferent policies and condiions set by donors. Second, the project appraisal system in the TDF unil recently was weak and mainly focused on technical detail with litle consideraion of social and environmental issues. Also, there was no unit and provision for loan recovery mechanisms. The exising organisaional structure was simply inadequate to address the present volume of work and business targets. On the municipal side too, with a limited local revenues base and low levels of borrowing capacity for debt services, it has poor technical and managerial capability to handle projects supported by diferent donors. Lastly, due to the lack of an elected mayor from the last decade, the execuive oicers (government staf) are reluctant to take major decisions and risks associated with infrastructure development. Most of the municipaliies do not even have qualiied engineers, let alone planners, sociologists and environmentalists. In absence of consistent policies, the government of Nepal is also experiencing diiculies in using its scarce resources. Finally, the donors are concerned with loan and grant disbursement, with litle focus on loan repayment mechanisms. Table 5. Gap among various insituions engaged in municipal infrastructure development Insituion Gap and weaknesses TDF (a) Donor guided development with diferent rules, procedures and interest rates for similar type of project; (b) Weak project appraisal and litle focus on post construcion; (c) Inadequate organisaional structure (d) Default by debtors, default to government of Nepal. Municipaliies (a) Confusion about project terms and rules; (b) Limited local revenues base and low levels of borrowing capacity (c) Insituional capacity gap for project preparaion, procurement, post construcion (operaion and maintenance); (d) Tendency of no repayment and defaults on repayment (d) No elected representaives but run by government oicials Government of Nepal (a) Ineicient use of scarce resources; Donors (a) Mainly concerned with disbursement rather than repayment and sustainability; (b) Inconsistent policies, non-viable projects (b) Diferent policies and guidelines including interest rate Source: author 140 TOWN DEVELOPMENT FUND’S RECENT RESTRUCTURING To address the above menioned numerous gaps, TDF restructured its strategy and business aciviies in 2011 at two fronts. At the strategic level, it has prepared - with support from the Government of Nepal, World Bank, KfW, and ADB - a strategic Business Plan (BP), a 5-year Business Restructuring Acion Plan (BRAP), and a Workout Plan for problem loans. The Board has in principle (with its 124th meeing) approved them and is in the process of implementaion now. Acknowledging the fact that TDF as a inancial insituion does not have its own loan and grant inancing policy, the Board as well as the Naional Planning Commission has also approved its loan and grant inancing policy. To achieve TDF’s long term strategy and goals through implementaion of the Business Plan, the Board in its 126th meeing also approved the new organisaion structure (Fig. 3). Figure 3. TDF’s new organisaional structure approved by the Board The new structure comprises three major departments with many divisions within them. It covers not only business promoion and client relaions but also human resources and fund management, including the loan recovery process. Moreover, it also approved new TDF personnel service and beneit regulaion 2011. For daily operaions, it has developed Standard Operaion Procedures (SOP), a comprehensive matrix that not only elaborates each steps to be followed from project ideniicaion to post construcion acivity but also links the relaionships between TDF (and within diferent departments), Municipality, Consultants and Contractor, including the donor agency. Many relevant documents such as the appraisal format, loan and grant applicaion form, and social and environmental safeguards measures have also been developed. A system of Key Performance Indicator (KPIs) has also been established to evaluate each staf’s performance. At present, project appraisal for investment has been carried out by a strong team of technical, inancial, social and environment experts. Business Promoion and Project Development (BPPD division) is working under two diferent modaliies in project development and appraisal. For KfW funded projects, it has started following the standard SOP. However, in the ADB-funded Small Towns Water Supply Sewerage Sector Project, phase-II, it is geing the consultant reports for the appraisal. So far, TDF is not involved in project selecion pre-feasibility study and preparing TORs for the consultants, including the selecion of study consultants. Nonetheless, there is some improvement on this modality too compared to the implemented phase-I project. Similarly, the Project Monitoring and Supervision Management (PMSM division) is faced with a shit in construcion monitoring when municipaliies are taking over the responsibility of procurement of construcion supervisors sill inanced by the TDF grant. 141 CONCLUSION AND RECOMMENDATIONS Though urbanisaion is high in Nepal, the scale of growth, the capacity of municipaliies and investment requirements vary in diferent urban areas, based on ecological, geographical and development regions. Inconsistency in infrastructure investment policies, poor resource base at the municipal level combined with weak project appraisal and inadequate atenion on post construcion aciviies have constrained the opimal use of limited resources, resuling in uncoordinated infrastructure development and poor asset formaion. However, the recent restructuring of TDF has illed up many gaps for long term infrastructure investment at the municipal level. For that, the following key recommendaions are suggested. (a) Alternaive source of funding such as public private partnership, capital market and municipal bond shall be explored to fulil huge inancial gap for infrastructure development in municipaliies; (b) Municipaliies need technical assistance in improving their loan borrowing capacity for debt inancing and technical capability in managing infrastructure projects; (c) Naional urban infrastructure investment policy is essenial so that all loans and grants are disbursed through the Town Development Fund; (d) Since TDF as a inancial intermediary is only based in Nepal, it should develop networks with similar organisaions in other parts of the world for sharing informaion and experiences. REFERENCES Central Bureau of Staisics Nepal [CBS]. (2003). Populaion monograph of Nepal, His Majesty’s Government – Naional Planning Commission /Central Bureau of Staisics (CBS), Kathmandu. Central Bureau of Staisics Nepal [CBS]. (2006). Nepal in Figures, Naional Planning Commission, Government of Nepal, Kathmandu, Nepal. Central Bureau of Staisics Nepal [CBS]. (1995). Populaion Monograph of Nepal. Naional Planning Commission, Kathmandu, Nepal. Central Bureau of Staisics Nepal [CBS]. (2012). Naional Populaion and Housing Census – 2011, Naional Planning Commission Secretariat. Retrieved August 4, 2012, from htp://census.gov.np/ Central Bureau of Staisics Nepal [CBS]. (2009). Report on the Nepal Labour Force Survey: 2008. Naional Planning Commission Secretariat/Government of Nepal/United Naions Development Programme/Internaional Labour Organisaion. Department of Water Supply and Sewerage [DWSS]. (2009). Naional Management Informaion Project (NMIP) Division. Drinking Water Supply and Sewerage Division. New Era and ICF Internaional. (2012). Nepal Demographic and Health Survey 2011. Populaion Division, Ministry of Health and Populaion, Government of Nepal/US Aid Steering Commitee for Naional Sanitaion Acion. (2010). Sanitaion and Hygiene Master Plan. Kathmandu, Nepal. 30 May 2010. Town Development Fund [TDF]. (2012). Retrieved August 4, 2012, from htp://www.tdf.org.np/brief_scenario_of_ all_projects.html Town Development Fund [TDF]. (2011). Business Plan (FY 2011/12-2015/16). 3rd Drat (07 March 2011). Town Development Fund. Kathmandu. Nepal. 142 URBAN ENVIRONMENT BAMBOO-FENCING AT THE EDGE OF TRAFFIC LIGHT INTERSECTIONS: ECO-FRIENDLY URBAN DESIGN TO REDUCE CO EXPOSURE I Made Binar Andromeda and Mochamad Aldis Ruslialdi THE BUSINESS OF LITTERING: A CASE STUDY ON WATERWAYS IN MALAYSIA Ang Sek Chuan and Chan Ngai Weng THE POTENTIAL RISKS OF TOTAL MERCURY ACCUMULATION IN AQUATIC SYSTEM AT LUWUK GOLD MINE, CENTRAL SULAWESI, INDONESIA 2012 Anwar Mollong, Herawai, Salamat F, Fuad M and Hussain MANAGING URBAN FLOOD HAZARDS IN MALAYSIA: EMERGING ISSUES AND CHALLENGES Ngai Weng Chan SOLID WASTE MANAGEMENT TOWARD SUSTAINABLE DEVELOPMENT: CASE STUDY IN HOCHIMINH CITY, VIETNAM, LESSON LEARNT FROM YOKOHAMA CITY, JAPAN Dang Nguyen Then Huong DESIGNED ECOLOGY: AN INTEGRAL DIMENSION OF SUSTAINABLE URBANISM Edward A. Cook EVALUATION OF SUSTAINABILITY IN NEIGHBORHOOD SCALE IN CITY OF TEHRAN Hamed Goharipour, Amir Sameni and Hossein Khani THE ROLE AND CHALLENGES OF PENANG NATIONAL PARK IN THE SUSTAINABLE DEVELOPMENT OF PENANG Chern-Wern Hong, Masazumi Ao and Ngai-Weng Chan FLOOD RISKS IN COASTAL CITIES AND MANAGEMENT STRATEGIES: A CASE STUDY OF LAND SUBSIDENCE IN NORTHERN JAKARTA, INDONESIA Md. Anisuzzaman and Dicky Muslim ENVIRONMENTAL MANAGEMENT PLANNING IN A DEVELOPING COUNTRY SETTING (ANGONO, PHILIPPINES): DRAWING LESSONS FROM CONSTRAINTS, LOCAL LEVEL GOVERNANCE, AND THE ENVIRONMENTAL MANAGEMENT PLANNING PROCESS Mike V. Medina TRAFFIC EMISSIONS AND RELATED HEALTH PROBLEMS IN DHAKA CITY Nahid Morshed, Md. Sabbir Sharif and Adiba Jamal Esa 143 WATER SENSITIVE PLANNING, A CASE OF COASTAL KACHCHH DISTRICT, GUJARAT Nidhi Krishnan and Prerak Shah TSUNAMI DISASTER AND RECOVERY PLAN IN KESENNUMA CITY Nobuharu Suzuki VEHICLE PLANNING PROGRAM (2VEHICLE ARE BETTER): ALTERNATIVE SOLUTIONS TO REDUCE AIR POLLUTION (CO) IN URBAN AREA Nur Aika, Noviaji Joko Priono and Ida Ayu Indira Dwika Lestari LOW-CARBON CITIES IN JAPAN: SEARCHING FOR LOCAL ENERGY SOLUTIONS AND QUALITY OF LIFE IN THE SHADOW OF A NUCLEAR CRISIS Yuka Hayakawa and Hidefumi Imura 144 BAMBOO-FENCING AT THE EDGE OF TRAFFIC LIGHT INTERSECTIONS: ECO-FRIENDLY URBAN DESIGN TO REDUCE CO EXPOSURE I Made Binar Andromeda and Mochamad Aldis Ruslialdi UNIVERSITAS INDONESIA, DEPOK ABSTRACT Air polluion has become a global issue that has negaive health, psychosocial and economic impacts. In urban areas like Jakarta, the bad efects of air polluion are noiceable, along with the increasing volume of air polluion as the numbers of motor vehicles rose 11% annually, compounded by the absence of greening programs such as CO2 absorbents and O2 providers. It deinitely afects the road users who pass through the area everyday, as the bad quality of the air will impact in the long-term on their health and producivity. The CO exposures experienced while drivers waited at the red lights at an intersecion ranged from 6.8 to 14.9 ppm, beyond exising standards. On the other hand, Indonesia has a tropical rainforest that is supposed to be a contributor of oxygen for the earth, but Indonesia itself is sill producing air polluion. This paper is writen to design an eco-friendly system to tackle air polluion in urban areas using bamboo plants as a CO2 absorbent and O2 provider. Bamboo can absorb more CO2 and produce 35% more O2 than the other species in the photosynthesis process in spite of the width and the number of leaves. Also, bamboo can be planted anywhere, can grow quickly, even with limited eforts to take care of it. In the design, bamboo is planted in the two sides along 100 meters before the traic lights with dimensions of 2 x 100 meters. The total 200 m2 of bamboo-fencing need 24.3 kilograms of CO2 for photosynthesis in 12 hours, and at the same ime will produce 16.2 kilograms of O2. It will afect the carbon cycle in that area. From the analysis, the bamboo-fencing is a suitable eco-friendly design in reducing CO exposure in the intersecion areas. KEYWORDS: Bamboo, Bamboo-fencing, Eco-friendly, Exposure, Polluion 145 THE BUSINESS OF LITTERING: A CASE STUDY ON WATERWAYS IN MALAYSIA Ang Sek Chuan1 and Chan Ngai Weng2 Geography Secion, School of Humaniies, Universii Sains Malaysia, 11800 Penang, Malaysia ABSTRACT Litering is a bad habit amongst Malaysians, both individuals and businesses. Despite atempts to control the habit, it has turned out to be a never ending problem in Malaysia. It has afected the environment, the natural waterways and natural ecosystems besides causing a large amount of taxpayers’ money in the cleaning up. This research intends to probe the challenges on litering and waste disposal in the waterways of Malaysia. The methodology uses the visual survey method to idenify rubbish-choked waterways and secondary data via literature research on reports and news on the local policies and the thrash business. Visual survey and documentaion with photographic evidence show that rubbish is thrown into waterways with total disregard for the law and environment. Despite oicial warning of punishment for the culprits, there are not enough eforts by stakeholders in implemening a holisic approach to overcome this dreadful environmental problem. Results from this study show that modern lifestyle based on the “rat race”, apathy and bad habits, an educaion system poor on environmental educaion, low environmental awareness and commitment, economy-centric policies that disregard environmental protecion and poor enforcement of rules and regulaions are some of the problems that contribute to litering problems. As long as there are lukewarm poliical will, low awareness, poor environmental educaion, poor policies, and low stakeholder engagement/involvement, litering will coninue to be an environmental headache to our government, and will lead to clogged waterways that cause polluted waters, loods, poor isheries, maimed ecosystems, disease epidemics, health concerns and degraded intangible value of the natural landscapes. Litering is a serious problem that is the responsibility of all stakeholders and is in great need of a paradigm change in the mindset of all stakeholders. KEYWORDS: Litering, Environment, Malaysia, Thrash, Waterways 1 PhD Student 2 Professor 146 THE POTENTIAL RISKS OF TOTAL MERCURY ACCUMULATION IN AQUATIC SYSTEM AT LUWUK GOLD MINE, CENTRAL SULAWESI, INDONESIA 2012 Anwar Mollong1, Herawai2, Salamat F.3, Fuad M.4, Hussain5 Department of Environmental Health, Faculty of Public Health, Hasanuddin University, South Sulawesi, Indonesia. 2,3,4,5 Faculty of Public Health, Tompo Tika University, Central Sulawesi, Indonesia 1 ABSTRACT This study aimed to invesigate the environmental risks of Total Mercury (THg) accumulaion in a tradiional gold mine in Luwuk and vicinity areas in Central Sulawesi, Indonesia. THg was assessed around the ore amalgamaion process area and panning acivity in the Toili River. Sampling survey for water column, sediment (0-5 cm) – (5-10cm) depth and bivalve (Anadara trapezia Sp.) in river as well as water column, tuna (Thunnus sp.), red ish (L. Campechanus) and oyster (Crassostrea virginica Sp.) in the sea were collected. Furthermore, the potenial environmental risks were evaluated using hazard quoient equaions. Results show that the THg in the water column in the river ranged from (0.13 to 0.48 µgL-1), sediment 0-5cm depth (107.78 to 167.06 µg kg-1dw), sediment 5-10cm depth (95.44 to 128.85 µg kg-1dw) and bivalve Anadara trapezia Sp. (17.33 to 89.02 µg kg-1dw), respecively. Then in the sea, the water THg concentraion ranged from (0.41 to 0.88 µg L-1), Thunnus, SP. (43.49 to 62.37 µg kg-1dw), L. Campechanus (6.84 to 23.37µg kg-1dw), and Crssostrea Virginica Sp (15.50 to 32.34) respecively. The highest elevaion of THg was in St.4 where panning processes occurred as well as the burn amalgam in open pans delivered. Although all the THg concentraions in aquaic system sill met the standard values, some staions are very close to the allowable limit such as the THg in Sediment at Aq4 and Aq.5, where the standard limit is 174 µg kg-1dw, according to the environmental Canadian standard. In addiion, the accumulaion of THg in ish both for Thunnus Sp. and (L. Campechanus) Sp. ish were sill low and safe according to the permited standard from EPA (500µg kg-1dw) for ish consumpion. Those elevated values in aquaic system were consistent and coninuously increased based on the distance from the point source and the size of the biota ish, bivalves and oysters. KEYWORDS: Environmental risk, Total mercury accumulaion, Aquaic system, River, Sea, Arisanal gold mining 147 MANAGING URBAN FLOOD HAZARDS IN MALAYSIA: EMERGING ISSUES AND CHALLENGES Ngai Weng Chan School of Humaniies, Universii Sains Malaysia, 11800 USM Penang, Malaysia E-mail: nwchan@usm.my ABSTRACT Urbanisaion is a major force that has completely changed the landscape in Malaysia. In major ciies, urbanisaion has signiicantly contributed to increasing frequencies and magnitudes of lood hazards, mostly due to land use change from absorbent natural surfaces to impervious ariicial ones. Ciies are therefore more suscepible to lash loods, with their populaions more vulnerable but the least prepared. This paper criically evaluates Malaysia’s lood hazard management strategies in urban areas. Despite rapid development and rapid changes in all spheres, Malaysia is sill heavily reliant on a top-down government controlled techno-centric approach to lood management. The country largely employs expensive structural lood alleviaion measures based on building large-scale engineering structures to control loods while smaller-scale non-structural methods that are less expensive and quicker to implement (but are less popular as they are considered poliically unacceptable) are rarely employed. Oten, sophisicated (imported) lood management systems are alien to the public who are accustomed to tradiional systems, leading to a lack of conidence in the costly new technologies and greater lood loss. In contrast, tradiional methods have been employed for centuries and the locals understand them well as they are used to them. Take away this tradiional system and replace it abruptly with a completely new system will do the vicims more harm than good, as it will probably endanger their lives. Non-structural methods have also been shown to be cost-efecive, faster to implement and easy for locals to understand. The paper emphasises the importance of using non-structural and tradiional lood management strategies vis-à-vis the oicial structural strategies. Public paricipaion and support is necessary to ensure that such strategies are efecive in reducing lood loss. Malaysia can beter manage loods when both oicial and tradiional systems are working in tandem, maximising lood-loss reducion. KEYWORDS: Flood hazard management, Structural and non-structural lood measures, Tradiional lood management systems INTRODUCTION Malaysia is geographically located in a relaively “disaster-free” region in South-east Asia that does not have volcanoes, earthquake disasters or cyclonic winds. However, it is not totally disaster-free as the country is afected by looding, landslides, haze and other man-made disasters. In terms of loods, the major disaster afecing the country, the annual losses are signiicant with tangible and intangible losses as well as direct and indirect losses. Located in the wet equatorial belt, Malaysia experiences seasonal monsoon winds that bring heavy monsoon rains. Coupled with that, rainfall intensity is high with heavy convecional rainfall all year round. It is esimated that about 10 % of the country is lood-prone, afecing more than 3 million people (Hj Keizrul Abdullah, 2002). Other than those living in the east coast of the peninsula and in Sabah and Sarawak states, who are exposed to the annual North-east Monsoon winds that bring heavy rains and seasonal looding, the urban areas are also increasingly 148 afected by lash looding (Chan et al., 2006). In urban loodplains, lack of green space due to conversion of forest to urban landscape was a major reason contribuing to increased looding (Julien et al., 2010). Chan (2011) found that the occurrence of lood hazards in urban areas, especially lash loods, is considered a sign of unsustainable development. This is largely caused by rapid landuse change that radically transformed natural forested areas that atenuate loods to ariicial impermeable landuse such as urban areas. Urbanisaion and rapid physical development (oten haphazard) of urban loodplains such as those in Georgetown, Kuala Lumpur and Kota Bharu has also reduced the drainage capaciies of rivers due to sedimentaion (Douglas, 1999; Chan, 2002a). Chan (2001) found that replacing natural absorbent forests with impervious urban surfaces devoid of vegetaion can result in almost all the rainwater running on land as runof and entering rivers in a very short ime. This results in lash looding as rivers cannot cope with the deluge of excess water. In Malaysia, development is very close to river banks resuling in most rivers in urban areas being very constricted within narrow channels. There is litle bufer zone or river reserve, leaving rivers no room to manoeuvre. Rapid urbanisaion of urban loodplains and upstream development of hill land have changed the characterisics of the hydrological cycle, with rain drops entering the rivers faster and the volume of runof higher. Upstream hill land and hill slope development have also caused accelerated soil erosion and landslides, which in turn cause sedimentaion of rivers downstream and downstream looding. As a result of rapid urbanisaion, lood frequencies and magnitudes have increased, leading to greater lood damage and greater loss of life (Chan & Parker, 1996; Chan et al., 2006). Tradiionally and unil now, lood management in Malaysia has basically been a top-down government responsibility. As lood protecion is not a commercial service, the government is expected to be the sole provider of such protecion. Malaysia is one of the most rapidly developing countries in the world, but strangely, in terms of lood management, it has not kept up with the latest technologies. The oicial lood management is predominantly focused upon lood control measures classiied as “Structural Flood Miigaion Measures”. Hence, construcion of large engineering structures is the favoured strategy to control loods. There is litle use of non-structural measures such as tradiional mechanisms to reduce lood losses, local adaptaion to loods, land use control, lood warning systems, and relocaion. This is evident in the amount of expenditure spent on lood miigaion whereby non-structural measures take up a negligible percentage. For example, in the 10th Malaysian Plan Period (2011-2015), a total of RM3.6 billion was allocated for lood miigaion, but more than 95% of this was for structural measures (Government of Malaysia, 2011). More recently, other issues have surfaced that have hindered the efeciveness of lood management in the country (Chan, 2012). EMERGING ISSUES AND CHALLENGES IN FLOOD MANAGEMENT Over-emphasis on structural measures - Chan (2002a) has found that lood management in Malaysia is hampered by an over-reliance on structural measures that are currently employed by the lood authoriies. The Drainage and Irrigaion Department (DID) Malaysia is the agency responsible for lood management. The DID is essenially an engineering-based organizaion dominated by engineers. Hence, it is not surprising that structural measures are favoured. Measures such as River Improvement and Channelling are regularly used to dredge and deepen major river channels, excavate garbage from rivers, use traps to collect garbage, etc. Flood control and muli-purpose dams are also constructed to control loods. Channel improvement is also necessary. Embankments are also constructed to control bank erosion. Tidal Gates are efecive on smaller rivers and can serve both as a barrier to high ide as well as to assist in irrigaion. Tidal gates in Malaysia are used extensively across many river mouths and are efecive for controlling idal looding. According to Zakaria et al. (2004), urbanizaion has increased the area of paved surfaces to the extent that it has totally altered the hydrologic and hydraulic characterisics of the catchments. Runofs have increased signiicantly, resuling in high incidence of lash lood in urban areas in the country, especially in Kuala Lumpur and major ciies. Tradiionally, the DID has used open drains to miigate lash loods in urban area via convenional drainage system designed to provide the fastest possible transport of storm water runof out of the catchments into the receiving 149 water. This was efecive in the past when much of the land use was sill forested. However, in the present context, the convenional open drainage system (oten referred to as monsoon drains) is not able to control looding, leading to exacerbaion of lash loods downstream of the catchments. Moreover, the convenional drainage system is a hazard to people and invites open dumping, leading to more polluted rivers and therefore worsening the quality of life in the urban community. Consequently, the DID has taken a proacive step by introducing the New Urban Drainage Manual, known as the Storm Water Management Manual for Malaysia (Manual Saliran Mesra Alam or MSMA). From 1st January 2001 onward, all new developments in Malaysia must comply with new guidelines that require the applicaion of Best Management Pracices (BMPs) to control stormwater from the aspect of quanity and quality runof to achieve zero development impact contribuion. These concepts of BMPs will also be able to preserve the natural river low carrying capacity. However, the MSMA has not been well accepted as developers and contractors view it as diicult, more costly to implement and inlaing the cost of houses, amongst other reasons (Sharifah et al., 2011). Hence, one of the major issues and challenges of lood management in urban areas in Malaysia is to ind suitable Urban Drainage designs that would incorporate the MSMA into development planning and implementaion. The MSMA should be integrated together with Diversion/Relief Channels that are constructed upstream of frequently looded locaions. These channels can be closed at normal low but opened during high lows to siphon of a substanial amount of discharge elsewhere. Relief channels allow excess water to be drained away, thus avering looding. Such channels can drain a substanial volume of discharge and relieve pressure on main rivers. Urban drainage can also beneit from addiional Underground Drainage in areas where surface drains are inadequate or where the improvement of surface drains is not feasible. For example, in Georgetown city, the low elevaion and narrow river are inadequate for efecive lood control using the MSMA or the convenional open drainage system. Hence, Retenion Ponds are commonly constructed along looded rivers, as low-lying areas along rivers can be easily converted into retenion ponds which siphon of excess discharge during high lows, thus reducing the probability of loods. During normal imes, the retenion ponds can be used as playing ields (when dry) or maintained as scenic shallow lakes which contribute to the aestheic aspects of river corridors. However, such ponds take up expensive areas that deprive developers from building more houses. Without regulaions, it is unlikely that developers will construct such ponds. Water Pumps are a necessity in highly lood-prone areas as well as near the sea. Such pumps can be acivated either manually or automaically when the river rises to a certain pre-determined criical level. Pump houses may be constructed in criical localiies such as large urban centres with drainage pipes that empty into the sea. Over-emphasis on economic development and its inluence on lood management - One of the biggest challenges facing the adopion of a comprehensive lood management strategy in Malaysia is the fact that both poliicians and policy makers put high priority on economic development. Hence, in every sector (including lood management), the priority is to implement projects/programmes that can boost the economy. In the context of lood management, mega projects that can generate jobs, income and improve GDP would have high priority. Hence, in lood management, building of dams and lood control infrastructures are given top priority. In this context, perhaps the single most ambiious structural lood measure is the massive SMART tunnel with an esimated cost of US$0.53 billion, an amount almost equal to the enire 8 Malaysia Plan (2000 – 2005) budget allocaions for lood management in the whole country (Stormwater Management and Road Tunnel [SMART], 2005). This tunnel is targeted to alleviate the federal capital city of Kuala Lumpur from loods by channeling the incoming water of the Sg Kelang away from the city. It is actually a combinaion of a lood diversion channel and road transport system. The SMART system will be able to divert large volumes of loodwater from entering this criical stretch via a holding pond (600,000 m3), bypass tunnel (1 million m3), and storage reservoir (1.4 million m3). The system is designed to withstand loods with a return period of 1 in 100 years probability. The stormwater tunnel is 9.7 km while the motorway tunnel is 3 km long (within the stormwater tunnel). There are also Ingress and Egress connecions to the motorway tunnel linking exising highways and major roads. There is a storage reservoir at Taman Desa (formerly a mining pond) and a twin-box culvert to release lood discharge from the storage reservoir to Sungai Kerayong. There is also an operaion control centre complete with administraion, supervision, river management and 150 traic management faciliies for management, operaion and maintenance of the SMART system. NGOs have argued against the wisdom of the tunnel, calling it “over-ambiious” and “dangerous”. It remains to be seen whether the tunnel is really that “smart” a project, but more importantly whether it can efecively control the loods in Kuala Lumpur, which all exising methods have failed to achieve. Rapid land use change from natural to ariicial has made convenional open-drainage obsolete – According to Zakaria et al. (2004), the Malaysian economy has evolved rapidly with major structural changes since independence in 1957. Deforestaion during the colonial period and ater independence, followed by agriculture intensiicaion to the current highly industrialized economy, has intensiied urbanisaion and increased the percentage of paved areas, resuling in signiicant changes to the hydrologic and hydraulic characterisics of the catchments. In urban catchments, runof is much higher, lag ime from start of rainfall to rain drops entering rivers is reduced, and river capaciies are curtailed due to sedimentaion. All these have exacerbated the incidence of lash loods in urban areas in the country. Consequently, there was a re-thinking of urban drainage as the fast conveyance of rainfall from catchments into rivers was inefecive. Realising this problem, the Department of Irrigaion and Drainage (DID) Malaysia has taken a 180-degree turn by introducing the new Storm Water Management Manual for Malaysia (Manual Saliran Mesra Alam or MSMA), a kind of “sot” structural measure. Efecive 1st January 2001, all new development projects in Malaysia should comply with the new guidelines that require the applicaion of Best Management Pracices (BMPs) to control stormwater (from the aspect of quanity and quality) to achieve zero development impact, i.e. controlling rainwater at source and delaying it from reaching rivers to allow rivers adequate drainage ime. These concepts of BMPs are envisaged to be able to preserve the natural river low carrying capacity, thus avoiding looding. An example is the Bio-Ecological Drainage System pioneered by the River Engineering and Urban Drainage Research Centre (REDAC), Universii Sains Malaysia (Ghani et al., 2004). So far results have been encouraging. Unfortunately, contractors ind it diicult and oten more expensive to implement. Lack of compliance and enforcement are major hindrances. This has resulted in the MSMA gaining litle ground, although more recently there has been some push for the MSMA to be made mandatory for all new developments with a drainage component. Low salience for using non-structural measures in lood management - Non-structural soluions to lood reducion are those that do not require the construcion of structures. The lood literature compiled by Parker (2000a and 2000b) illustrates that such measures can be efecive in many countries. Hence, they are non-engineering measures. They are less expensive than structural ones (which usually need heavy capital expenditure) and can be used to supplement exising structural measures. Many non-structural measures can also be quickly implemented compared to the construcion of dams and reservoirs, which may take years. In Malaysia, there are many non-structural measures that can be applied efecively. Unfortunately, non-structural measures are viewed with disdain by policy makers and poliicians who see them as “inconveniences” and “not poliically gaining any mileage”. For example, relocaion and resetlement of lood-prone villages is considered poliically sensiive and resisted by the afected communiies. Gazetement of riverine forests into naional parks is also not popular as states feel that their hold on land is threatened. New legislaion and enforcement of the law are also considered cumbersome. Lack of Flood Management –Related Legislaion - In many countries, legislaion is passed to control lood occurrences. In this context, Malaysia has no direct legislaion on lood control but has indirect legislaion relaing to land use, development and environmental degradaion. In Malaysia, while there are many laws relaing to lood control such as The Land Conservaion Act 1960 (aimed at protecing soil erosion and siling, hence prevening downstream looding), the Drainage Works Ordinance 1954, Street, Drainage and Building Act 1974, Mining Enactment 1929, Irrigaion Areas Ordinance, and the Housing Development Act (Licensing and Control) 1965, none of them deal directly with lood protecion or lood control. There is, therefore, a need to pass a new Flood Act, Flood Enactment or River Law dealing directly with lood protecion and control (Hj Keizrul Abdullah, 2002). In relaion to lood legislaion, Chan (2002a) has noted that the Drainage and Irrigaion Department (DID) has very litle power when it comes to evaluaion of development projects that have a lood component. The Gazetement of Forest Reserves, River Reserves and Parks is also necessary to control loods. The authoriies should also Freeze All Developments of 151 Hill Land. Developers are not the only ones who contribute to loods. Squaters and illegal farmers occupying hill slopes are just as much to be blamed. The authoriies should impose and enforce a hety ine for those found to illegally occupy hill slopes, whether for housing, agriculture or other aciviies. Relocate these people where necessary. Poor Public Educaion and Awareness Amongst Policy Makers and Flood Vicims - It is a misconcepion to believe that Malaysians are well adapted to loods since the country has been afected by loods for centuries. Only Malaysians who live in the east coast of the peninsula and the coastal areas of Sabah and Sarawak are sensiized towards looding. Malaysians living in the west coast of the peninsula, making up the vast majority of the populaion, are less aware and less educated about loods. This has increased lood loss in urban areas of the west coast of the peninsula. The authoriies as well as NGOs working in disaster management should pay more atenion to increasing lood awareness and educaion. The public needs to be made more aware of warning systems and should be taught to respond efecively to them, as sophisicated warning systems are of litle use if lood vicims do not understand them. In terms of communicaions, there should be regular campaigns in the mass media to air lood awareness, preparedness, warning and evacuaion programmes, especially just before the rainy season on television to educate the public about the dangers of loods and how to respond efecively to loods. State-controlled TV and radio staions should air public lood awareness and educaional programmes. Relocaion of Flood-prone Communiies - Flood control structures are very expensive. In large ciies where populaion and property are dense, it is jusiiable to build such structures. However, in rural or sparsely populated areas, it would be more realisic and pracical to relocate small communiies rather than build such structures. Floodplain occupaion (both legal and illegal) is one of the main reasons why lash loods sill occur in many urban centres. One of the main problems associated with the construcion of lood miigaion works is to relocate setlements/ communiies located in the lood-prone areas. Refusal to relocate and poliical interference have caused long delays in compleing lood miigaion works. The acquisiion of land, resetlement of afected residents and relocaion of squaters have been problemaic. Gazetement of river corridors and Green Belts should be made mandatory for developers to plant grass and other cover vegetaion in all vacant areas of development schemes, reserving at least 30% of the developed area for parks and vegetaion, irrespecive of whether it is housing, commercial, industrial or otherwise. Environmental Impact Assessment has been a problem area to enforce. The use of Macro EIAs which cover efects not only in the developed area but also downstream and other adjacent areas is an alternaive. The government should encourage the seing up of independent EIA consultants as non-proit organizaions. CONCLUSION Malaysia is a naturally lood-prone country and will remain so, despite lood miigaion. However, lood management can be pro-acive and improvements are needed to reduce exposure, vulnerability and losses. Flood hazards are expected to intensify as urbanisaion and rapid development accelerate in future. To exacerbate lood problems, climate change will make many areas weter. The Malaysian government is commited to protecing people and property as well as reducing lood loss but needs to relook at its lood management strategies. A more comprehensive approach, combining structural and non-structural strategies as well as incorporaing tradiional coping mechanisms into oicial mechanisms, needs to be implemented. Stakeholders must be involved and their capaciies built via public educaion and awareness programmes. Flood legislaion also needs to be passed. In this era of post-Rio + 20 sustainable development, Malaysia needs to embrace the sustainable development and green economy model in its economic development while at the same ime protecing the environment. Successful management of loods will reduce the strain on the country’s economy and reduce poverty, leading to the target of a newly industrialising country (NIC) by the year 2020. ACKNOWLEDGEMENTS This research is funded by Universii Sains Malaysia under the Research University (RU) Grant 1001/PHUMANITI/816106 and FRGS Grant 203/PHUMANITI/6711198. 152 REFERENCES Chan, N. W. (2001). Using Wetlands as Natural Forms of Flood Controls. Paper presented at the Internaional Conference AWS 2001 – Bringing Partnerships into Good Wetlands Pracices, 27 – 30 August 2001, Penang, Jointly organised by Ministry of Science, Technology and the Environment. Malaysia: Universii Sains Malaysia, Ramsar Center Japan and Wetlands Internaional Asia Paciic. Chan, N. W. (2002). Flood hazards and disasters in Malaysia: Causes, impacts and soluions with respect to river loods. In N. W. Chan (Ed.), Rivers: Towards sustainable development (pp. 114-127). Penang: Penerbit Universii Sains Malaysia. Chan, N. W. (2011). Addressing lood hazards via environmental humaniies in Malaysia. Malaysian Journal of Environmental Management, 12(2), 11-22. Chan, N. W. (2012). Impacts of Disaster and Disaster Risk Management in Malaysia. Invited paper presented at the ERIA-Disaster Management Project FY2011 2nd Workshop, 10-11 June 2012. Centre Point Langsuan, Bangkok, Thailand. Chan, N. W., Koh, H. L. & Aminuddin, A. G. (2006). Developing a model of lood hazards on urban loodplains in Malaysia. In Abd. Aziz Tajuddin & K. O. Lim (Eds.), Fundamental Research at USM 2002 – 2005 Vol. 3 (Arts) (pp. 32-54). Penang: Penerbit Universii Sains Malaysia. Chan, N. W. & Parker, D. J. (1996). Response to dynamic lood hazard factors in Peninsular Malaysia. The Geographical Journal, 162(3), November, 313-325. Douglas, I. (1999). Sediment: A Major River Management Issue. Keynote Paper presented at the Naional Conference on “Rivers ‘99: Towards Sustainable Development”, 14-17 October 1999, Penang, Malaysia: Universii Sains Malaysia. Ghani, A., Zakaria, N. A., Abdullah, R., Yusof, M. F., Sidek L. M., Kassim, A. H. & Ainan, A. (2004). Bio-Ecological Drainage System (BIOECODS): Concept, design and construcion. Paper presented at the Internaional Conference “ICHE 2004 – The Sixth Internaional Conference on Hydro-Science and Engineering”, 30 May – 3 June 2004, Brisbane. Government of Malaysia. (2011). 10th Malaysia Plan 2011-2015. Kuala Lumpur: Government of Malaysia. Hj Keizrul Abdullah. (2002). Integrated river basin management. In N. W. Chan (Ed.), Rivers: Towards sustainable development (pp. 3-14). Penang: Penerbit Universii Sains Malaysia. Stormwater Management and Road Tunnel [SMART]. (2005). SMART System. Retrieved June 10, 2005, from htp:// www.smartunnel.com.my/project_smart.htm Julien, P. Y., Ab. Ghani, A., Zakaria, N. A., Abdullah, R. & Chang, C. K. (2010). Case study: Flood miigaion of the Muda River. Malaysia Journal of Hydraulic Engineering, ASCE, 36(4), 251-261. Parker, D. J. (Ed.). (2000a). Floods: Volume I. London: Routledge. Parker, D. J. (Ed.). (2000b). Floods: Volume II. London: Routledge. Sharifah Meryam bini Shareh Musa & Chan, N. W. (2011). Pengurusan Banjir di Malaysia: Pendekatan Baru Berfokus Manual Saliran Mesra Alam (MSMA). In Jamaluddin Md. Jahi, Muhammad Rizal Razman, Kadir Ariin, Deni Eizon, Bustari Hasan, Kadaruddin Aiyub, Azahan Awang and Syarifah Zarina Syed Zakaria (Eds.), Perubahan Persekitaran Di Alam Melayu (pp. 896-904.). Proceedings of the Internaional Seminar No-4 on Ecology, Human Habitat & Environmental Change in the Malay World, Universii Kebangsaan Malaysia, 23-24 May 2011, Universii Kebangsaan Malaysia. Zakaria, N. A., Ghani, A., Abdullah, R., Sidek, L. M., Kassim, A. H. & Ainan, A. (2004). MSMA- A new urban stormwater management manual for Malaysia. Paper presented at the The 6th Int. Conf. on Hydroscience and Engineering (ICHE-2004), 30 May - 3 June. Australia: Brisbane. 153 SOLID WASTE MANAGEMENT TOWARD SUSTAINABLE DEVELOPMENT: CASE STUDY IN HOCHIMINH CITY, VIETNAM, LESSON LEARNT FROM YOKOHAMA CITY, JAPAN Dang Nguyen Then Huong University of Social Sciences and Humaniies, Vietnam Naional University Hochiminh City ABSTRACT Solid waste management is no longer a new concept and it is currently becoming one of the top “hot” social issues in Hochiminh City, Vietnam. As with many previous developing naions, Vietnam is facing an increasing amount of solid waste as a consequence of rapid economic growth and urbanizaion while there is a huge gap between the capacity of solid waste management and a weaken policy on the environment. Moreover, there is no doubt that, the more developed the economy becomes and the more waste is being produced combined with the large amount of product consumers in big ciies there is a need to increase the eiciency of the treatment of waste, especially solid waste in urban zones. Thus, Vietnam is facing the specter of increasing volumes of waste and its disposal. Recently, the concept of 3Rs (Reduce, Reuse, Recycle) have been ideniied as priority measures in integrated solid waste management. Reducion of the amount of waste is considered as the key point to achieve the 3Rs objecives. In Hochiminh city, the 3Rs program has been run as a city program in some pilot districts since 2006. The goal of this city program was source separaion. Unfortunately, the program has to date been unsuccessful. So far, the 3Rs approach sill needs to have further pracice and invesigaion before being set up on the scale of naionwide policy. By analyzing the reason for unsuccessful source separaion program in Hochiminh City, this report will point out the weakness of the solid waste management system in Vietnam and introduce a potenial soluion in order to reduce the amount of urban waste from the experience of Yokohama City, Japan. Although it may be diicult to transfer the Japanese system directly to Vietnam, it may be useful to transfer the process of reducing waste generaion by following various policy tools and eforts to enforce the regulaions. INTRODUCTION Vietnam currently has approximately 87 million inhabitants unevenly distributed throughout the country. Hochiminh city numbering nearly 8 million inhabitants, is considered as the most populous city in Vietnam1 and has been named as one of the six mega ciies in South East Asia2. Although the rate of urban living was 30% in 2010, the United Naion has predicted this rate will increase up to 60% in 20503 and will lead Hochiminh City into arange of complex pressure. The urbanizaion process in Vietnam is closing to “Doi moi4” policy, since then the city has reached some economic achievements (Gubry et al., 2010, p. 9). However, the city has faced not only the social pressure caused by rapid urbanizaion and economic change but also many environmental problems such as air polluion emited from transport exhausion, oil spills, chemical leakages, polluted rivers, contaminated drinking water and dust from construcion which have damaged ciizens’ living condiions. While the transport and construcion air and dust polluion have been frequently appearing in newspaper columns, the solid waste has just recently started seriously concerning its ciizens, especially those living close to the illegal and temporary open dump sites. 154 As in many industrialized and urbanized countries, the need for solid waste management began with urbanizaion and governments becoming responsible for its management for sanitary reasons. While the demand of land use was a priority investment for living, there was not enough land to treat the waste as a tradiional technology. The local government decided to move those wastes out of the city to locaions far away from the city. The problems could not be solved. The wastes were just moved from the city to rural area. Therefore they coninue to harm the environment, degrade the agricultural land, and the government has to spend more for the transportaion of wastes. Meanwhile Yokohama City has been well-known for their efecive waste reducion eforts through the G30 acion plan. They achieved a 30 percent waste reducion target by the iscal year 2005 that had been set for the iscal years 2001-2010. The beneit brought US$6 million in operaing costs saved because of two incinerator closures and the extended life of landill sites. Moreover, the greenhouse gas emissions have been cut by 840,000 tons (Suzuki et al., 2010, pp. 206-207). Yokohama City used to be in a similar situaion as Hochiminh City with rapid populaion expansion (1958-1977), a high populous density (7,810 people/km2 in 2001), and urban environmental problems (air and water polluted, waste generaion caused by an increase in the number of factories in the 1970s) (Planning Bureau, City of Yokohama, 2002). This report proceeds in three parts: the irst part introduces the current situaion of solid waste management in Hochiminh City and focuses on analyzing the so far unsuccessful 3Rs program; the second part is relevant to the history of solid waste management in Japan, focusing on how Japan has been construcing a source separaion system by overcoming problems such as those faced in Vietnam at present; the third part proposes some implicaions which can lead to source separaion as the irst step towards sustainable development success. 1. Solid waste management in Vietnam Rapid economic growth brings wide social changes. Among them which is relevant to solid waste producion is the mass consumpion of a new consumer lifestyle. Look back to the amount of solid waste in Vietnam in 1998. It was 8.1 million tons per year. In comparison to 2008, the amount reached 27.8 million tons per year, over 3 imes higher than 1998 (Figure 1). Source: Vietnam Naional Environmental Report, 2010 Figure 1. Total amount of solid waste in Vietnam in 1998 – 2008 Lifestyle changes have inluenced the quanity and component of waste speciic for ciizen in the two big ciies Hanoi and Hochiminh city. Hence, eaing out and drinking alcohol is becoming a new trend of business lifestyle, plenty of restaurants have arisen for a variety of budgets as well as the tradiional thought that the more food and drink served the more success could bring to the family or to the bussiness although those food and drink would 155 be wasteful ater the paries. The result of those changes are the food waste which could explain for the porion of organic waste consists of 55 percent of the total urban domesic waste in the case of Hochiminh City in 2010. Besides, 41 percent of organic waste in the whole country is discarded, not only from urban waste but also from the agricultural faciliies. Based on this component of waste, the source separaion method focused on two types: organic and inorganic, which means the separaion of food waste and recyclable waste. Organic waste will be the source of making compost and bio-gas, to be used as an energy resource. However, there is only one composing plant in Hochiminh City which has the capacity to convert 600 tons per day. This amount is very small in comparison to the 4,000 tons produced, according to the Vietnam Naional Environmental report in 2010. So far, the mixture of urban, hazardous healthcare and industrial waste have over-loaded the ciies’ incinerators and landills’ capacity and have become a serious environmental risk. There are 97 landills across the country and only 17 are sanitary landills, with distribuion across only 12 of 61 ciies (AIT/UNEP, 2010). Open and uncontrolled dumps are the dominant form of waste disposal in Vietnam. Previously, the waste treatment system was neglected due to its high costs. Only a few incinerators are used in the big ciies such as Ha Noi and Hochiminh City. However, high-technology could not help to reduce the amount of waste when consumpion trends are increasing. Due to the inadequate infrastructure, a shortage of qualiied, experienced staf, equipment and technology, the current waste collecion method is crude and insanitary. Thus, the collecion rates are low even though they have been improving. The average collecion rate for ciies across the country ranged from 65 to 72 percent in the period 2000-2004. This rate rose to 80 – 82 percent in 2008 (Vietnam Naional Environmental Report, 2010). This low rate is also causing the collectors to work to separate out recyclable waste. If they can concentrate on waste collecion, the number of vehicles can be reduced and the collecion rate will be increased. Regarding source separaion, this is not a convenional concept in Vietnam even though in 2006, the 3Rs pilot program was introduced and funded by JICA, staring in Hanoi and with a similar program on a smaller scale run by local government in Hochiminh City. At the end of the programs in 2009, neither of them had been successful5. The main reasons, which in the case of Hochiminh City can be traced back to the level of the ciizenry, consist of: - NIMBY (Not in my back yard) syndrome - Lack of knowledge about organic and inorganic waste. - Lack of high environmental awareness - Lack of designated trash bin support to each household. In paricular, at a management level, the major causes of its lack of successful performance were: - The limited involvement of the local poliicians - The limited number of the collectors - The low working skills of waste pickers - The out-of-date recycling technology - The out-of-date collecion vehicles However, in the author’s view, it is necessary to design an integrated solid management framework. Although the pilot programs had been closed, the city is facing coninual challenges in how to reduce the amount of the urban solid waste and solve the conlict ater reforming the collecion method. Therefore, source separaion is the key to achieve the reducion, but looking for a suitable model needs more research to earn experiences before enforcement. 2. Experiences from solid waste management in Japan: Case study of Yokohama City Looking at the experiences of Japan, their urban solid waste management has a similar story in a historical aspect. As the main focus of this report is source separaion, herein the discussion shows about how Japan has been successful in its source separaion system and its potenial applicaion in Hochiminh City. 156 Ater the end of the war in 1945, the Tokyo Olympics gave an opportunity to change the collecion system in Tokyo. Waste bins were removed, as speciied in a new policy in 1961, so that they would not spoil the beauty of the streets (Fuji, 2008, pp. 23, 27, 30). That implementaion was in accordance with the recommendaions of an American expert, hence residents were required to discard their solid waste at a ixed staion and at a ixed ime using a plasic buckets. Unil now, this policy has worked well and plasic bags are now used instead of bucket. The added advantage of this policy was the disappearance of waste pickers who had been used as an uncontrolled labor force. Those waste pickers or dumpsite scavengers were diicult for local governments to regulate when residents needed to employ them to remove waste. In Vietnam as well as in some South East Asia countries, waste pickers made their own market and form of payment known as “fee corrupion”. Fee corrupion can be thought of as the waste collectors’ interceping the collecion fee paid by residents which they pocket as a ip. Thus, the conlict between the pickers and the new policy became serious in Japan. Successfully, the cooperaion with the authoriies together with waste pickers modernized the public collecion crews. Public collecion crews also became more aware of their role in the new rule of ixed ime, ixed site collecion. Their role had changed into a permanent job which was well trained and has a high standard of social living. On the other hand, the recycling companies were required to get permission from the governor to ease the management system and put an end to the waste pickers. At the city scale, Yokohama achieved a waste reducion up to 42.2 percent in 2009 through the G30 plan, through which the waste reducion target of 30 percent was achieved in iscal year 2005, ive years earlier than expected (Suzuki, 2010, pp. 206-207). The grassroots for this achievement was the successful cooperaion among stakeholders, paricularly ciizens, which did not require any new technology or a huge investment. The case of Yokohama city shows that ciizen power can make a substanial diference in implemening any proposed plans. Although raising ciizen’s consciousness can be achieved to go along with the strong support of policy and high standard of recycling technology, communiies’ involvement plays an important role to obtain the waste reducion target (Ohashi, 2011). 3. Potenial implicaions for solid waste management in Vietnam As with the current condiion in Vietnam, there will be many diiculies to adapt the paricipaing measures in planning a future reform to the exising collecion methods. As the result of unsuccessful 3Rs programs, the fact was that the local poliicians had a trend to advoid being in a highly reponsibility. They asked residents to do source separaion without monitoring the collectors, recyclers and landill operator. In some cases, they contracted out to the private sector and moved the waste outside the ciies to the rural areas. From the lessons learned from Yokohama city, the cooperaion with the communiies will bring about a beter soluion which will beneit their present habitat rather than postpone it or abstain from solving the problems altogether. Although the 3Rs programs failed, source separaion is sill a key point to achieve any improvement in waste reducion. Below are some implicaions could be applied to the case of Hochiminh city, Vietnam from the lessons learnt from Japan: - New unitary legislaion with administraive relevance to solid waste management is required. A clear policy is needed to assist in order to protect against the NIMBY syndrome which is not only inherent in ciizens but also among stakeholders and even local poliicians. In the policy ield, safe landill management, waste reducion and private waste recyclers should be prioriized. - Reform collecion methods should be switched from private sectors to public collecion crews which have good training, higher environmental awareness, a permanent income and a higher social status. Technically, convering the tradiional collecion method to a ixed ime and ixed point collecion system can ease waste separaion and promote community acivity at the same ime. - Source separaion will be divided in two categories as organic and inorganic at the start to try to simplify waste classiicaion. More categories would be developed and introduced ater source separaion has become a daily habit of the ciizens. - Enhance the recyclables market rather than control the waste pickers and collectors. Need to standardize the quality of recyclables and a purchasing policy. - Associate all mediums and small scale recycling companies ease management and raise the quality and strengthen the recyclable market. 157 In order to reform collecion methods and to promote source separaion in the present condiions of Vietnam, the table below summarizes the role of central and local government as well as other stakeholders relevant to solid waste management. Source separaion Levels Collecion Recycle Technology Government Issue new policy: - Two categories of waste (organic& inorganic). - Reduce and plan to put an end of public trash bin in the street & public area. - Fee for shopping plasic bag. - Fixed-ime, ixed place, illegal dumping - Policy for recycling market with recyclable label. - Sort out recycling industrial products. - Support a low interest loan. Local government - Train & monitor staf. - Campaign to promote social awareness - Promote policy & 3Rs in mass media - Associate public collectors with waste pickers. - Monitor collecion aciviies. - Promote use of recyclable products. - Monitor recycler’s faciliies. Community Educaion on awareness. Keep a safe and clean habitat. Promote reducion of low quality product. Ciizen - Implement policy. - Build up policy. Cooperate with crews to keep waste staion clean. Change lifestyle to 3Rs. Business Campaign support community. Legal work with permission. Refuse unideniied input materials. CONCLUSION The current situaion of solid waste management in Vietnam has already faced NIMBY syndrome as well as insuicient infrastructure. Such problems have become serious as a result of rapid economic growth and urbanizaion. Vietnam also has a problem in how to reform tradiional waste pickers and their own market, with its associaion with the low quality recycling technology sectors. While these problems have remained unsolved, the demand for sustainability has been imposed on the country’s solid waste policy. Therefore, the solid waste management today becomes too complex. To simplify this complex, integrated solid waste management is the priority in which 3Rs is to be the main key to success. Although the unsuccessful 3Rs pilot program gave less hope than expected in communiies, the ciizens’ response showed their involvement at a mental level. Therefore, reducing the amount of waste by source separaion is sill a key point to succeed and can be undertaken by coninuing to raise ciizens’ awareness on the environmental factors and how their quality of living could be posiively afected by the successful implementaion of such a policy. From the study of Japan’s historical experience in construcing a source separaion system, an outline of a new policy has been drawn by the author. However, that policy has not the beneit of any site experiment and sill is at the theoreical level. Further analysis, research and an esimaion of the posiive and negaive efects needs to be under taken before the new solid waste policy can be implemented even at an experimental stage. Above all, it is quite clear that in the case of Hochiminh city there is an urgent need for an integrated solid waste management which shows a step-by-step plan based on the current social background in diferent periods. With the preparaion of a fully sustainable model of solid waste management there is a real hope that a higher standard of living is near at hand. 158 NOTES 1 2 3 4 5 Source: Vietnam General Staisic Oice in 2010. Source: Six mega ciies so-called on the project “Towards innovaive, Livable and Prosperous Asian Megaciies”. htp://www.si.or.th World Urbanizaion Prospects: The 2009 Revision Populaion online Database. “Doi moi” is the name given to the economic reform or renovaion policy which started in 1986 with the goal of creaing a socialist-oriented market economy. The local newspaper “Nguoi Lao Dong” brief the 3Rs programs in Vietnam published on 23/3/2011. REFERENCES AIT/UNEP. (2010). Municipal waste management report: Status-quo and issues in Southeast and East Asian countries. p. 9. Fujii, Y. (2008). Successful source separaion in Asian Ciies: lessons from Japan’s experience and an acion research in Thailand. IDE – Insitute of Developing Economies, JETRO, Japan. G30. (2010). Acion plan for waste reducion. Resources & Waste Recycling Bureau. Yokohama City, Japan. Gubry, P., Casiglioni, F., Cusset, J. M., Thieng, N. T., & Huong, P. T. (2010). The Vietnamese city in transiion. Insitute of Southeast Asian Studies, Singapore. Khoa, L. V. (2006). State of waste recycling aciviies in Hochiminh City, Vietnam. Department of Natural Resources and Environment (DoNRE). Khoa, L. V. (2006). Greening small and medium sized enterprises: Evaluaing environmental policy in Vietnam. Wageninger University, Neitherland. Memon, M. A. (2010). Integrated solid waste mangement based on the 3R approach. Internaional Environmenal Technology Centre, Japan: Springer Press. Ohashi, A. (2011). Case study of sound material cycle society in the City of Yokohama: Especially on waste management, the Yokohama G30 plan. Master Thesis, Yokohama City University. Planning Bureau, City of Yokohama. (2002). Building the internaional port city of Yokohama. Planning and coordinaion department. p. 117. UNEP. (2004). State of waste management in South East Asia. Suzuki, H., Dastur, A., Mofat, S., Yabuki, N. & Maruyama, H. (2010). Eco2 ciies: Ecological ciies as economic ciies. Washington, DC. : World Bank. Vietnam Naional Environmental Report. (2010). State of naional environmental report in 2010. Ministry of Natural Resources and Environment (MoNRE). 159 DESIGNED ECOLOGY: AN INTEGRAL DIMENSION OF SUSTAINABLE URBANISM Edward A. Cook The Design School, Arizona State University, Tempe, Arizona, USA 85287-1605 E-mail: edward.cook@asu.edu ABSTRACT The role of nature in making ciies sustainable is oten undervalued. This paper presents a framework by which natural processes can be beter integrated to make ciies more sustainable. Awareness of ecosystem services provided through natural processes is just now increasing and there is greater interest in developing strategies to preserve, restore or reinterpret ecosystems in an urban context. Five types of urban ecosystems are explored within paricular urban situaions to understand the potenial beneits embodied within them. Preserved ecosystems are those that are essenially remnant natural ecosystems, but may be in the early stages of decline resuling from proximate urban transformaions. Principles and strategies including bufers, connecivity and preserving indigenous species are explored. Restored ecosystems are established through direct intervenion to re-create the structure and funcions of previously exising systems. The objecive is to atempt to replicate an appropriate and sustainable condiion and to ensure connecivity to supporing structure and context. Hybrid ecosystems exist where urban transformaion has created condiions in which preservaion and restoraion are not possible, but build on the remnant structure of ecosystems and use some exising atributes blended with introduced elements that acknowledge the changes in the supporing structure and funcion of the surrounding landscape. Syntheic ecosystems result from ecological design that creates viable systems that provide ecosystem services and beneits, but are not based on previously exising ecosystems locaions, structure or funcions. Regenerated ecosystems have re-established following signiicant disturbance or transformaion. The replacement ecosystem may or may not take on characterisics of the naive ecosystem. INTRODUCTION With global shits toward increasing urbanizaion and the understanding that impacts on the environment are seldom contained locally, in recent decades urban ecology has emerged as an important topic of increasing interest to ecologists, urban and regional planners and designers, landscape architects, social scienists, and others. Ciies impact ecological funcions in many ways. Urbanizaion “fragments, isolates and degrades natural habitat; simpliies homogeneous species composiion; disrupts hydrological systems; and modiies energy low and nutrient cycling.” (Alberi, 2005, p. 169) Urban ecosystems and natural ecosystems have similar interacions. Urban ecosystems, however, are a blend of natural and human-created elements and as such, the interacions are signiicantly afected by human intervenion and natural processes. Integraing natural processes into ciies should be an important sustainability goal because: 1) it may help ameliorate human impacts on ecosystems, 2) it enhances ecosystem services, 3) it adds biodiversity value to ciies, 4) it ensures equitable access to nature and resources, and 5) it maintains a healthy funcioning planet for future generaions. One important dimension of urban sustainability is to allow nature to coninue to thrive 160 and manage itself without the infusion of energy and resources to keep urban ecological systems funcioning. This can be addressed through the planning and design processes of urban sustainability. Urban landscapes are a inely structured mosaic of property owners and land uses where compeing interests for undeveloped land are intense. Over ime, ciies have largely been formed as a result of many poliical, economic, cultural, and physical determinants. Resuling urban forms are an amalgamaion of the most resilient human creaions and ecological processes. However, nature’s deep structure is ever-present in our ciies and coninues to provide evidence that when ecological processes are ignored in city design, nature’s response is to recapture parts of the city either through catastrophic natural events or through incremental change. Oten, valuable resources are used in an atempt to hold back the forces of nature or to rebuild urban infrastructure ater recurring natural disrupions such as loods, soil movement, or weathering. A main goal of urban ecology is to understand these forces and work together with natural processes to achieve a sustainable future for ciies. GREEN NETWORKS The concept of green networks is an important urban and environmental planning concept that embraces urban ecology as an essenial determinant of city form that provides a guiding philosophy for sustainable new urban development and opportuniies to retroit exising urban structure to the ecological paterns that nature has shaped over ime. The goal of green networks is to preserve or restore the ecological integrity of criical natural systems while allowing for compaible human aciviies within the network and coninued producive use of adjacent lands. A green network is a system of interconnected or related patches and corridors that provide and sustain ecological values within a human-dominated landscape mosaic. The concept of green networks is a human interpretaion of relaionships that have occurred in nature since the beginning of ime. Green networks are also a response to deleterious efects of fragmentaion and ecological degradaion. If a green network is designed as a coherent system of natural or semi natural landscape elements conigured and managed with the objecive of maintaining or restoring ecological funcions, it will provide opportuniies for the sustainable use of natural resources and ecosystem services. A principle beneit is that this concept allows nature to thrive and essenially manage itself with minimal infusion of energy and resources to keep urban ecological systems funcioning. In some locaions, it may be possible to design green networks based largely on the remaining natural ecosystems and habitats; however, in urban seings, ecological restoraion will have to be achieved by designing a variety of hybrid or syntheic ecosystems (Cook, 2013) that mimic natural systems to establish linkages where no natural connecions are possible. ECOSYSTEM SERVICES AND CULTURAL BENEFITS The principal reason the concept of green networks has gained acceptance as a planning strategy is that there are a variety of ecosystem services (Daily, 1997; Bolund & Hunhammar, 1999; Lundy & Wade, 2011) and cultural beneits that can result. Ecosystem services are the result of the funcion of ecosystems and provide many beneits that we oten take for granted. They are derived from nature and are used extensively to maintain our society. We depend on ecosystems services to provide breathable air, clean and pleniful water, food, pharmaceuicals, clothing, fuel, climate, waste disposal, pollinaion of plants, carbon sequestraion and much more. In addiion, green networks provide a number of cultural beneits that might include increased property value, recreaional opportuniies, sense of community and idenity. A recent report by Odefey et al. (2012) quaniies economic beneits of green infrastructure for ciies. These are things that we have historically relied upon for basic human existence. However, as ecosystems become more stressed both locally and globally, a decline in ecosystem services and cultural beneits is experienced. A variety of ecosystem services and cultural beneits that are oten associated with the establishment of green networks are listed below. - Increased Biodiversity - Hydrologic Processes - Climate Amelioraion 161 - Recreaion Improved Air Quality Carbon Sequestraion Reduced Management and Maintenance Costs Aestheics Educaion and Human Psychology Cultural and Historical Signiicance Land Use Bufers and Markers A number of other funcions could be ideniied, but these are some of the most relevant in urban areas. All of these ecosystem services or funcions would likely not occur simultaneously throughout a green network. However, there may be several compaible funcions with varying levels of priority in certain segments. URBAN ECOSYSTEMS With the global increase in urbanizaion, landscape architects, urban planners and ecologists have recently become more interested in the role of urban ecosystems within ciies. Historically, ciies have existed apart from nature and urban areas have not tradiionally been a focus of ecological research. Humans signiicantly afect ecosystems. This is evident in the development of ciies that extract resources from nature and use natural process to absorb waste. Ciies also have a signiicant impact on ecological funcion. Urbanizaion has resulted in landscape fragmentaion, deterioraion of natural habitat and isolaion efect, modiicaion of hydrologic systems, urban heat island efect, poor air quality and many other problems. Urban ecosystems represent an interesing challenge and opportunity for sustainability in ciies. We are now just beginning to incorporate urban landscape ecological studies, and as the decline of the beneits they have provided to urban populaions throughout history becomes more evident. The challenge is that as a result of fragmentaion, invasion of exoic species and general degradaion of ecological funcions due to human impact, a range of ecosystem services are being lost that urban populaions have come to rely upon. Ecologically funcional urban ecosystems are criical since society is no longer in a posiion to move to the next fronier to exploit prisine ecosystems, obtain fresh water, atain cooling air lows, clean and transform our waste and more. One of the greatest challenges with urban ecosystems is that signiicant damage already exists in many cases and to restore the systems to recapture previously exising values is diicult. Urban ecosystems have been and are subjected to a variety of increased levels of environmental stress. They generally exist as highly disturbed systems and may be subject to rapid change in soil and plant cover, temperature and water availability; all essenial factors of ecosystem health. Urban ecosystems are also generally characterized by non-naive plants and decreased plant density. They are subject to air polluion, road salts and runof, poor soils, frequent drought, limited sunlight, introducion of toxic substances, loss of habitat and food and frequent disturbance by human acivity. The potenial for urban ecosystems is great, but it is important to take a diferent view from the past and consider how we can redeine them, rather than atemping to re-establish a pre-exising condiion that may be unsustainable, expensive and provide fewer ecosystem services. The metric for urban ecosystems should be more heavily weighted with the values of ecosystems services provided rather than looking for naturalness. There are, of course, situaions where naturalness and the presence of naive species is viable and desirable in an urban context, but in every circumstance, speciic consideraion needs to be given to the origin, nature and potenial of the system in its current condiion and context. Nature has provided and does provide us with excepional examples of funcional, eicient ecological systems. We can use these to inform the process of design and restoraion of urban ecosystems. The more we know about how nature funcions, the beter we will be at designing systems that will provide the beneits we seek. However, we 162 also have to embrace technology along with natural sciences to develop efecive strategies for designing urban ecosystems, resuling in a range of ecosystem types from natural to ariicial. URBAN ECOSYSTEM TYPOLOGIES Urban ecosystems are generally signiicantly modiied from ecosystems that were formerly present and as such should be considered within a modiied set of parameters that include signiicant human intervenion due to the urban context. Urban open space systems contribute to the quality of the urban environment in many ways. The range of open space types includes urban plazas to remnant natural open space or natural parks. Each of these plays an important role in the dynamics of an urban landscape. However, urban open spaces which are valued for their natural qualiies are in a precarious posiion. Research has demonstrated that over ime the qualiies that are so valued in these “natural” places will deteriorate because of fragmentaion from the supporing structure, resuling in isolaion. Thus, it is important to establish methods for preserving and re-establishing natural qualiies in funcioning, self-sustaining ecosystems. The following are descripions of typologies for reconsidering urban ecosystems. Preserved Ecosystems – Preserved ecosystems in an urban context are oten rare, and when present diicult to maintain at a high level of ecological funcioning over ime. They would typically be in natural or near-natural condiions with intact internal landscape structure or content. Supporive connecive systems are also important in order to maintain lows and other funcions criical to the process of natural regeneraion. This is an important dimension of facilitaing dynamic development of the ecosystem. Adjacent land uses or landscape character also have signiicant inluence. Land use compaibility or the existence of bufer zones will be important to ilter contaminants, limit the intrusion of invasive species and reduce the potenial for other deleterious edge efects. The principle aim is to ensure the ecosystem preserves the ability to funcion and evolve as if it were sill exising and funcioning as a natural system in a predominantly natural context. While preservaion of natural systems in an urban context with no signiicant impact is impossible, good planning and efecive management can do much to facilitate the preservaion of something close to the original. Figure 1. Preserved Ecosystem: Chicago Lake Front Birding Trail. Chicago, USA Restored Ecosystems – Restored ecosystems are those that are re-established with similar structure and funcion as the original system. Typically, the original ecosystem has become degraded, modiied, replaced or completely destroyed. The original ecosystem may be used as the model for restoraion if there is suicient knowledge about its former structure and funcion. If there is insuicient documentaion or knowledge about the original system, then another ecosystem with similar condiions as presumed existed in the original can be used as a model. As with a preserved ecosystem, connecing structure that facilitates lows is important to ensure ecological viability. The context should also be evaluated to determine if it is compaible and does not introduce deleterious efects such as increased storm water low, toxic materials, potenial for invasive species and others. In an urban context precise replicaion of a pre-exising ecosystem is diicult and is uncertain in its infancy. The principle aim should be, to the extent feasible, to allow the restored ecosystem to mimic the original, while acceping that adaptaion is required and that over ime the ecosystem will naturally evolve and adapt to changing context and funcions. Most efecive ecosystem restoraion projects explore the ecological history to provide suicient knowledge of the 163 landscape morphology. In this way, it is possible to understand the dynamic nature of the system and appropriately determine what point in the systems evoluion should be used as the model for design. The restored ecosystem should be designed so that the structure represents the model, but funcions that also previously existed should be restored or preserved so that it acts like the original and is also set in moion so that regeneraive capacity is in place. Figure 2. Restored Ecosystem: Spanish Bank Creek. Vancouver, Canada Hybrid Ecosystems – A hybrid ecosystem exists within a frame or locaion of a pre-exising ecosystem and restores some of the original ecological funcions while accommodaing varied landscape context, supporing structure and some funcions. In this case, it is recognized that signiicant changes in context, supporing structure and funcions require and alternaive approach to preservaion or restoraion. Because the hybrid ecosystem is within the same frame or locaion, the inherent characterisics and recurring tendencies of pre-exising natural systems will support the levels of ecological funcioning in the ecosystem, working with the deep structure (Cook, 2011; Steiner, 1996) to increase the odds of long term sustainability. Generally, the use of ecological design principles (observing and documening paterns and processes of nature to inform design) is helpful. Other ecosystems that have similar structure and funcions may be used as models to provide a design framework. Criical design and management concepts might include the predominant use of naive vegetaion, re-establishment of lows and connecivity, periodic intervenion to manage outcomes, and signiicant iniial introducion of some wildlife. Figure 3. Hybrid Ecosystem: Enschede Green Space System. Enschede, Netherlands Syntheic Ecosystems – Syntheic ecosystems establish criical ecosystem funcions through ecological design in locaions where similar ecosystems did not previously exist. They may be useful to ill a gap to establish connecivity and lows or to replace a former linkage in a new locaion and diferent landscape structure. A syntheic urban ecosystem may also be useful to establish alternaive connecions within the larger set of urban ecosystems or green network. They exist where there is no opportunity to work with the deep structure in the landscape. They are designed to establish speciic ecosystems funcions and ecosystem services. They may also provide a variety of other social and cultural beneits embracing the concept of muliple use. Syntheic ecosystems could also be comprised of technological or invented elements that provide certain ecological or “green” values to society. Buildings and other structures, not normally considered as ecological elements, could also be a part of this type of ecosystem. A syntheic ecosystem also contributes to the overall ecological health of a larger system. 164 Figure 4. Syntheic Ecosystem: Bernberger Allee Ecohousing Constructed Wastewater Wetlands. Berlin, Germany Regenerated Ecosystems – Regenerated ecosystems allow for nature to take its course and naturally regenerate an ecosystem that has been previously disturbed, modiied or compromised. Depending on the nature of the disturbance, the result of natural regeneraion may vary substanially. Someimes the result is unpredictable. Generally, this is the least costly opion to re-establish ecological values to a disturbed ecosystem. The trade-of with low cost is acceping the unknown outcome. The ime required to re-establish something viable is another variable that can vary with the ecosystem. In some desert landscapes natural regeneraion can take generaions and then the outcome may be of lesser ecological value. In some cases, where there is potenial for undesirable invasive species, natural regeneraion may not be a desirable strategy for urban ecosystem renewal. Given the range of possibiliies, natural regeneraion should, however, be considered as a viable opion for re-establishing wild areas in ciies (Kowarik, 2005). Figure 5. Regenerated Ecosystem: Monnikensteeg Naturalized Street Corridor. Arnhem, Netherlands CONCLUSION The concept of the urban green networks addresses the ecological funcioning of urban patches and corridors. The best way to ensure the integrity of these systems is to establish the viability of criical ecological systems within the urban landscape context. This requires planning and management at muliple scales. To preserve, rehabilitate or restore the various components of a green network, management strategies must be developed for individual sites on the local level. This will include various types of patches and corridors and the landscape matrix. The viability of any green network or system of interconnected patches and corridors is made possible at the local scale. The types of elements that need to be addressed may include pieces of the main ecological structure of an area (i.e. large remnant patches or corridors) or sites of a more ephemeral nature (i.e. vacant lots). The future value or potenial may also need to be addressed with sites in need of regeneraion or restoraion. The typologies of urban ecosystems described in this paper can be useful to help understand the inherent characterisics and qualiies of urban ecosystems, but can also be a guide for future transformaion. They are important to be used to gauge the level of intervenion or investment that may be appropriate and also to be more explicit about expectaions or outcomes. Strategies developed for preservaion, restoraion, regeneraion or with the creaion of invented ecosystems, such as hybrid and syntheic, will become more realisic with addiional base knowledge and well-ariculated planning and design frameworks. 165 While it is clear that a need exists for maintaining the viability of criical ecological systems in urban areas, it is uncertain whether this can be achieved over the long-term given the current strategies employed in urban planning in many ciies. Ecological and urban theories have evolved in diferent direcions and are only now staring to meet at a point in ime when many urban areas have deteriorated ecosystem values that require substanial eforts to restore. Numerous perspecives exist on how to conserve exising viable systems and restore those with degraded quality. The concept of green networks shows promise in less populated areas and indicaions are that in proper condiions, urban landscapes will also beneit. Linking science, policy, planning, and design is the most promising way to integrate ecology into ciies and help provide a foundaion for a more sustainable future. REFERENCES Alberi, M. (2005). The efects of urban paterns on ecosystem funcion. Internaional Regional Science Review, 28(2), 168-192. Bolund, P. & Hunhammar, S. (1999). Ecosystem services in urban areas. Ecological Economics, 29, 293-301. Cook, E. A. (2011). Embracing nature’s deep structure in sustainable urbanism. In A. Dokart, O. Al Gohari & S. Rab, (Eds.). Conservaion of architecture, urban areas, nature & landscape: Towards sustainable survival of cultural landscapes (pp. 93-104). CSAAR: Amman. Cook, E. A. (2013). Urban ecosystems and the sustainable metropolis. In E. A. Cook & J. J. Lara (Eds.). Remaking metropolis: Global challenges of the urban landscape (p. 323). London: Routledge. Daily, G. C. (Ed.). (1997). Nature’s Services, societal dependence on natural ecosystems. Washington, DC.:Island Press. Kowarik, I. (2005). Wild urban woodlands: Towards a conceptual framework. In I. Kowarik & S. Korner (Eds.). Wild urban woodlands: New perpecives in urban forestry. Berlin: Springer. Lundy, L. & Wade, R. (2011). Integraing sciences to sustain urban ecosystem services. Progress in Physical Geography, 35, 653-669. McPherson, E. (1992). Accouning for beneits and costs of urban green space. Landscape and Urban Planning, 22(1), 41-51. Odefy, J., Detwiler, S., Rousseau, K., Trice, A., Blackwell, R., O’Hara, K., Buckley, M., Souhlas, T., Brown, S. & Raviprakash, R. (2012). Banking on green. American Rivers, the water environment federaion, the American society of landscape architects and ECO Northwest. Steiner, F. R. (1996). Connecing infrastructure to deep structure. Places, 10(3), 60-61. 166 EVALUATION OF SUSTAINABILITY IN NEIGHBORHOOD SCALE IN CITY OF TEHRAN Hamed Goharipour1, Amir Sameni2 and Hossein Khani3 Master in Urban and Regional Planning, Tehran University of Allameh Tabataba’i 2 Master in Urban and Regional Planing, Qazvin University of Imam Khomeini 3 Master in Urban and Regional Planning, Tehran University of Allameh Tabataba’i 1 ABSTRACT Today, sustainability is the world’s concern. By entering the third millennium and urbanizaion of the world – where most of the resources has been consumed and most of the waste has been produced- urban development paterns and human aciviies are going to disturb the environment order. Urban sustainable development has been raised as an important scieniic issue and as major part in urban development struggles of all communiies in recent years. Tehran, capital of Iran, as one of the largest metropolises in developing countries faces many challenges in achieving urban sustainability. In addiion to being the poliical center of country, Tehran is also the most important economic pole. The aim of this paper is evaluaion of sustainability in Tehran. According to this, urban sustainability analysis will be discussed based on four aspects of environmental, economic, social and management. In this regard, irst, dimension’s indicators are speciied; then, by using quesionnaires and oicial staisics, sustainability rate will be evaluated and compared around the city. KEYWORDS: Sustainability, Evaluaion, Tehran, Developing countries 167 THE ROLE AND CHALLENGES OF PENANG NATIONAL PARK IN THE SUSTAINABLE DEVELOPMENT OF PENANG Chern-Wern Hong*1, Masazumi Ao2, Ngai-Weng Chan1 1 Geography Secion, School of Humaniies, Universii Sains Malaysia, 11800 Minden, Penang, Malaysia 2 Internaional College of Arts and Science, Yokohama City University Kanazawa Hakkei Campus 22-2, Seto, Kanazawa-ku, Yokohama 236-0027 E-mail: cwhong1983@gmail.com/nwchan@usm.my/blue@yokohama-cu.ac.jp ABSTRACT Being dubbed and gazeted as a naional park gives Penang yet another plaform for its sustainable development iniiaive. Although the smallest naional park in the naion and arguably the smallest in the world, the Penang Naional Park has notable roles in the sustainable development of Penang. In its economic role, the Penang Naional Park (PNP) could provide sustainable income through eco-tourism as well as a water catchment area for the water manufacturing industry in Penang. From its social role, the PNP forest could provide for eco-recreaional acivity and at the same ime feed environmental educaion and awareness. Under the umbrella of environment, besides maintaining its role as a water catchment area, the PNP also funcions as a carbon sink to moderate the climate and prevent disasters such as lash loods. Though considered to be one of the smallest naional parks in the world, various challenges and threats need to be addressed in a proper manner towards achieving its role in the sustainable development of Penang. KEYWORDS: Penang Naional Park, Sustainable development, Social, Economic, Environment 1. INTRODUCTION 1.1 Sustainable Development Sustainable development is a catch-phrase which has been one of the most menioned words in the past few decades to address global environmental change. According to the popular deiniion by the Brundtland Commission, sustainable development is deined as any development that “meets the needs of the present without compromising the ability of the future generaions to meet their own needs” (Brundtland, 1987). Sustainable development comprises theoreically the three ‘pillars’ of environmental sustainability, economic sustainability and socio-poliical sustainability Social Bearable Equitable Sustainable Environment Viable Economic Source: IUCN, 2006 Figure 1. Three Pillars Concept of Sustainable Development 168 Based on igure 1, the three ‘pillars’ intersect to create an equitable economy for the society, while making it viable for the environment, so that it is bearable for society and thus results in achieving sustainable development. According to Chan (2009), the term “Development” can be stretched to mean a lot of things. They include the widely used term “Sustainable Development” which basically means the management of our natural resources at a rate that does not jeopardise the needs of future generaions. Zhou (2009) deines sustainable development as a common development strategy to maintain harmony on these three ‘pillars’ which are environmental, economic and social. By harmonizing these three pillars, environmental quality could be improved and maintained. Apart from that, sustainable development is also connected and concerned with the carrying capacity of the Earth’s natural systems. The natural resources of the Earth is inite while the populaion of the Earth keeps ‘booming’ every year, thus exering pressures on the inite resources of the one and only Earth. As early as the 1970s, Sivers (1976) stated that “sustainability” was employed to describe an economy “in equilibrium with basic ecological support systems”. In other words, natural resources must be consumed wisely so that it would have the necessary ime be able to regenerate or ‘heal’ to its equilibrium level. According to World Development Report (World Bank 1992), environmental damage can hamper development in two ways. Firstly, it reduces the level of welfare of the society by depleing environmental resources and reducing the quality of the environment. Secondly, it reduces long-term producivity and thereby the future earning power of the populaion. As for the commons, the increase of economic beneits such as annual gross domesic product (GDP) growth of each naion will always go with the decrease of the total environmental beneits. Zhou (2009) further stated that sustainable development, pracically, should be for environmental and economic beneits to achieve equilibrium. In a more economically inclined deiniion, Jurowski and Liburd (2002) deined sustainable development as “a more responsible and balanced form of development that allows for the conservaion of natural resources and the environment while permiing it to be exploited in order to secure coninued economic growth”. 1.2 Penang and the Penang Naional Park Pulau Pinang, or popularly known as Penang Island, is one of the states in Northern Peninsular Malaysia which has been rapidly developing in terms of urbanizaion and industrializaion. The development acivity on this northern state of Peninsular Malaysia has been undergoing phenomenal changes since the independence of Malaysia 56 years ago. According to Chan (1998), with rapid urbanizaion and, industrializaion combined with the commercial housing boom, very litle natural vegetaion is let. Although income levels and standards of living have improved, they have not come without a cost. The impact of development on the environment that resulted in environmental quality deterioraion has somewhat been intensiied since the country endeavoured further industrialisaion (Jamaluddin Md. Jahi 1996, 1999, 2001). Uncontrolled development has actually resulted in environmental hazards and degradaion of the living environment in Penang (Chan et al., 2003) for the past few decades. Source: ArcGIS Explorer Online (2011) Figure 2. Locaion of the Penang Naional Park 169 Chan et al. (2003) further stated that haphazard and irresponsible development planning has also exacerbated environmental hazards and brought about general degradaion of the living environment. Decreasing air quality such as frequent haze and urban heat island efect are caused by the ever increasing number of motorized vehicles, industries, commercial businesses and homes (Sin & Chan, 2004). Consequently, very few natural forested areas are let on the island. As Penang is one of the many ciies in the world which is experiencing climate change, the temperature of Penang has further increased, especially during the month of the hot season in March thanks to the ampliicaion from the haze of Indonesia’s annual forest ires. Chan et al. (2003) have also found that the micro-climate within Penang State is changing. It is stated that the heritage city of Georgetown experiences signiicantly higher temperatures compared to forested areas. Studies from Chan et al. (2003) have found that the trees and their canopies which have cooling efects have reduced the temperatures in the forest, which makes it cooler by about a degree compared to the city. In addiion to that, the relaive humidity inside the forest is also signiicantly higher, due to high and abundant evapo-transpiraion processes. These takes away a signiicant amount of heat from the forest, transporing it into the atmosphere. Hence, the forest remains much cooler even during mid-day. With such statements and results from the studies of Chan et al. (2003), Penang Island deinitely needs a proper, holisic natural green space not only for climate control but for recreaion as well. At the moment, only about 6,406 ha of land (6% of total land area of Penang Island) are gazeted as Permanent Forest Reserve. The administraion and management team responsible for the forest conservaion is under the forestry departments which are provided in the Naional Forestry Act 1984. It is small in comparison to other states as the naional policy proposes that at least 50% coverage of forest must be maintained. According to Hong and Chan (2010a), the limited natural forested areas let on the island are a result of rapid and uncontrolled development of Penang. In the light of the above scenario, a natural green area, located in the northwest of Penang Island (as shown as Figure 2), was declared and gazeted as Penang Naional Park on April 2003. This declaraion would not be a success had it not been for nature lovers in the 1950s who pushed for it to be gazeted. According to Hong and Chan (2009), the Penang Naional Park was also the irst protected area which was legally gazeted under the Naional Park Act of 1980; however, the logging aciviies were only stopped since the year 1996. A naional park or naional forest is an area of special scenic, historical, or scieniic importance, maintained and declared by the federal or central government of any respected countries (Merriam-Webster, 2008). According to the Internaional Union for Conservaion of Nature (IUCN) (2002), naional parks are listed as protected areas under category II, which is mainly for ecosystem protecion and recreaion. In this case, the Penang Naional Park falls under the category II which is categorised as a natural area of land and/or sea, for the purpose of ecological protecion for present and future generaion. Any exploitaion or occupaion which may cause harm to the area is excluded. In addiion to that, naional parks under category II provide a foundaion for scieniic, educaional, recreaional and visitor opportuniies. Penang Naional Park is currently the second largest in the naion ater the ‘Taman Negara’ in Malaysia (Perhilitan, 2008). The Penang Naional Park has unique features which are not found in other naional parks in Malaysia. Although PNP is not a virgin forest as imber extracion has been carried out from the 1910s to 1930 (Chan et al., 2003), it has about 1266 hectares of coastal hill, boasing unique features such as a meromicic lake, wetlands, mangroves, mudlats, coral reefs and turtle nesing beaches (Perhilitan, 2008). The aim of this paper is to show and point out roles which can be played by the Penang Naional Park towards the sustainable development iniiaive of the Penang State Government. 2. THE ROLE OF PENANG NATIONAL PARK IN THE SUSTAINABLE DEVELOPMENT OF PENANG Being dubbed and gazeted as a naional park gives Penang yet another plaform for its sustainable development. Although the smallest naional park in the naion and arguably the smallest in the world, the Penang Naional Park has notable roles in the sustainable development of Penang. 170 2.1 Economic Role The Penang Naional Park is a coastal forest on an island. Inland forests and woodlands extend to the sea and thus form part of the coastal area. According to FAO (1998), they are commonly deined as the interface between land and sea which are diverse in funcion and form. Usually, such formaions controlled and ‘produced’ special forest communiies and climaic factors. These communiies would include beach forests, mangrove areas, peat swamps, periodic swamps and riparian forest. The irst two forest ‘communiies’ menioned above are notable in the Penang Naional Park. Apart from mangrove areas, the Penang Naional Park consists of eight forest beaches, rocky shores and the inner forest itself. Teluk Bahang, Pantai Kerachut, Pantai Mas and Teluk Duyung (Monkey Beach) are the most famous four of the eight prisine and sandy beaches around the forest. On the other hand, the riverines lowing towards the ocean are the Sungai Duyong, Sungai Pantai Kerachut and Sungai Gemuruh. In the context of its economic role, the coastal area of Penang Naional Park provides livelihoods for the ishermen. Fish are not caught only through convenional methods but the aquaculture is also adopted to increase ishery producivity in vicinity of the Penang Naional Park. Most of the ishermen are also part of the local community around the Penang Naional Park. This is a further emphasis of the sustainable development iniiaive, as water is an important and vital asset for an industrial state as well as the well being of the residences (Hong & Chan, 2010a). As menioned, Penang is a water stressed state as 80% of the state’s water supply comes from the Muda River of Kedah. In this case, the Penang Naional Park actually serves as a water catchment area for the nearby Teluk Bahang Dam. The Teluk Bahang dam is one of the three major dams in Penang besides the Air Itam Dam dan Mengkuang Dam in the mainland area of Penang. The fact that George Town City in Penang has been listed as a UNESCO World Heritage Site on 7 July 2008 is another advantage for the Penang Naional Park to be internaionally recognized as well (Hong & Chan, 2010b). The Penang Naional Park could take advantage of the inlux of visitors to George Town. Visitors to the city would not be able to experience ecotourism aciviies and nature, and the Penang Naional Park can ofer both. Ecotourism acivity is generaing sustainable income for the local community, with boaing transportaion alone earning them up to at least RM1000 (approx. USD300) daily in gross revenue, especially during peak season in the midyear. Tourists will usually ride a boat back from the Monkey Beach or Pantai Kerachut to the entrance of the Penang Naional Park. Besides boaing transportaion, other income is being generated through water aciviies such as jet-skiing but only at the Monkey Beach. In addiion to that, tour operators are also ofering tour packages into the mangrove forests as well as islets nearby 2.2 Social Role In the social role factor, the Penang Naional Park ofers recreaional role to the people of Penang. As Penang is an industrial city, the communiies of Penang are working hard to increase the economic status of Penang. But as the old saying goes “all work and no play makes Jack a dull person”. Recreaion in terms of leisure is considered a human right under the Universal Declaraion of Human Rights (1948). The importance of recreaion is utmost vital. Recreaion works as a form of stress relief or fun in your life. Coninuously working can lead to increased stress, illness, disease or more. Stress, illness and disease etc will decrease producivity instead which could afect the state’s economy. The Penang Naional Park provides ‘eco-recreaional’ acivity such as hiking, swimming, bird-watching as hobby, picnicking, ishing and so forth. Environmental educaion is always part of sustainable development. Development without addressing the environment is equal to non-sustainable development. The Penang Naional Park could act as a hub for educaing environmental awareness to the social community of Penang. Educaion and awareness are major components of any intervenions associated with prevening major exploitaion of the forest and are an important part of developing a beter understanding of major environmental issues amongst user groups (tourist, residence and farmers) as a means of creaing a willingness to change aitudes and behaviours. The environmental awareness of 171 the public has always been an issue. Educaion could be used and focused on informing user groups of the negaive impact of their negaive acions on the forest of Penang Naional Park. From an environmental context, smart partnership with the University Sains Malaysia could be further improved to atract more internaional researchers to the PNP. In addiion to that, partnerships with environmental NGOs such as the Water Watch Penang, Malaysian Nature Society, Malaysia Environmental NGOs (MENGOs) and so forth could be forged to create a holisic environmental educaion hub at the PNP (Hong & Chan, 2010b). Environmental educaion in this context is important in raising environmental awareness especially for the locals as a UNESCAP (2003) report stated that environmental awareness in Malaysia is sill at the preliminary stage. This opinion is further supported by a study by Abdul Aziz Shamsuddin (2003) which found that there was no signiicant correlaion between the students’ conceptual understanding of the environment and their willingness to protect the environment. Thus environmental educaion is certainly needed to enhance and support the sustainable iniiaive of Penang. 2.3 Environmental Role Forests are relaively cooler compared to urban areas. Huge canopies of the forests provide cooling efect. Through the high humidity within the forest, evaporaion and transpiraion process are high. In other words these processes take away the heat. Forests also delect the solar rays back into the atmosphere and thus prevening most of the sun rays from reaching the ground. In urban areas or ciies, most of the buildings are with glass windows. When the sunrays reach the window, most of the rays will not be relected back into the atmosphere but be relected onto other glass panes and then inally reach the ground. The relecive zone and the ground area are much hoter. Apart from the usual climate moderaion role, forests also serve many other purposes as well, including as a carbon sink to promote net carbon sequestraion (Sohnge & Sedjo, 2006). Sohnge and Sedjo (2006) stated that the role in carbon sequestraion appears to ofer the greatest near-term potenial for human management. The trees and other loral ecosystem in the forest have the ability to accumulate and isolate huge amounts of carbon in a relaively short ime for decades and centuries. Through photosynthesis process, carbon dioxide is absorbed together with the sun rays (energy) to create their own food. Carbon is ‘sunken’ during this process and at the same ime releases oxygen. As imes goes by, the sink capacity will increase as the forest coninues growing. In other words forests provide oxygen which is one of the vital elements for human survival besides water. Although considered as one of the smallest naional park in the world, to have a forest as a naional park is beter than a metropolitan city with huge green space aka garden or park. As forest also acts as a water catchment area, forests act as a giant sponge absorbing all the rainwater during heavy downpour. As a sponge, it also prevents natural disasters such as lash loods. Ciies tend to sufer from lash loods because there is no vegetaion to absorb the water and overlow of solid waste from polluted storm drainage. 3. CONCLUSIONS AND CHALLENGES AHEAD Penang Naional Park is considered one of the smallest naional parks in the world. Although small in size, it is rich in natural resources and natural heritage including several unique features such as the meromicic lake, prisine beaches, clean rivers, and bio-diversed in lora and fauna. However, to maintain its lustre as a naional park, sustainable management needs to be addressed. Currently, there are many threats such as encroachment from farming, solid waste polluion, and illegal poaching (Hong & Chan, 2010a). It is also a challenge to reduce the threats via strict enforcement and involvement of all stakeholders via empowerment. NGOs and the public should also be invited to work together to manage the park. NGOs can help by running public awareness programmes on biodiversity, lora and fauna, as well as public educaion aciviies on catchment, river and water conservaion. Together the conservaion of the Penang Naional Park will be a sustainable one not only for the current generaion but for the future generaion as well. In addiion to that, the Penang Naional Park is the only area in Penang Island protected by the Naional Park Act of 1980. This act must deinitely remain for the forest. No large scale land clearance must be carried out for major developments. As Penang is facing land scarcity, the state government must not be pressured by developers to degazete the forest reserve. 172 On the environmental management policy, solid waste issue must be implemented. This is to ensure proper waste dumping and not just by burning at the naional park. The total number of tourists must also be controlled each year while a minimal fee must be charged for cost recovery on the park maintenance. Any small development which must be carried out within the park must undergo thorough Environmental Impact Assessment (EIA). Wildlife acts must also be strict against the visitors to prevent any illegal poachers. According to Chan et al. (2003), ater the Penang Naional Park was gazeted, the Wildlife Department was given the sole jurisdicion to manage the park. This is not necessarily a bad thing, as the department has the experise and resources to do so, however, other paries who were involved in the pushing for the gazetement of the Penang Naional Park felt marginalized. This includes not only the NGOs but also various government departments, statutory bodies and local communiies. It is recommended that the involvement of other paries be included in some decision making processes. This could be a good move to prevent any conlict with the government and to increase eiciency and coordinaion as well as providing a win-win situaion to everyone. As the Wildlife Department is under the jurisdicion of the Federal Government, the Penang Naional Park is under the jurisdicion of the Federal Government in a broader umbrella. According to Chan et al. (2004), there is disagreement and some fricion between federal and state governments. This became more and more evident when Penang State fell to the opposiion paries in the 2008 general elecions. This results in poor cooperaion and coordinaion between, the state government and the wildlife department. This challenge needs to be quickly resolved if the Penang Naional Park hopes to be managed in an eicient manner. The Wildlife Department, should invite other government departments and NGOs to work with it for the sake of the park. Funding received from the Federal Government should be used eiciently for park development and conservaion. To achieve its role in the sustainable development of Penang, all the threats and challenges need to be addressed in a proper manner accordingly. BIBLIOGRAPHY Abdul Aziz Shamsuddin. (2003). Conceptual environmental understanding among form 4 geography students. Unpublished Master of Educaion Project Paper. Faculty of Educaion, University of Malaya. Brundtland, G. (1987). Our common future [‘The Brundtland report’]. Oxford: Oxford University Press. Chan, N. W. (1998). Environmental azards Associated with Hill Land Development in Penang Island, Malaysia: Some Recommendaions on Efecive Management. Disaster prevenion and Management: An Internaional Journal, 7(4), 305-318. Chan, N. W., Chan, L. K. & Kanda Kumar. (2003). Chapter 7: Ecotourism in the Penang Naional Park: Issues & Challenges. In N. W. Chan (Ed.). Ecotourism: Issues and Challenges (pp. 58-75). Penang: School of Humaniies, Universii Sains Malaysia. Chan, N. W. (2009). Issues and challenges of managing natural heritage in Penang Naional Park, Malaysia. In M. Badaruddin & S. Morshidi (Eds.). Proceedings of 2nd Naional Symposium on Tourism Research – Theories & Applicaions (pp. 111-123). Penang: Cluster of Tourism Research (TRC) Social Transformaion Plaform, Universii Sains Malaysia, Penang. Food and Agricultural Organisaion of the United Naions (FAO): Integrated Coastal Area Management and Forestry. Retrieved Jun 2009, from htp://www.fao.org/forestry/4302/en/ Hong, C. W. & Chan, N. W. (2009). Conceptual analysis of strength-weaknesses-opportuniies-threats (SWOT) of Penang Naional Park for ecotourism. Naional heritage of Northern Peninsular Malaysia. Retrieved April 2010, from htps://docs.google.com/viewer?url=htp://northern.malaysianaturalheritage.com/pdf/naionalseminar 2009/18-HongChan.pdf Hong, C. W. & Chan, N. W. (2010a). Evaluaion of visitors’ environmental percepion and willingness to pay for conservaion of Penang Naional Park Components. In the Proceedings of 2nd Internaional Conference on Human Habitat and Environment (pp. 369-375). 173 Hong, C. W. & Chan, N. W. (2010b). Strength-weakness-opportuniies-threats Analysis of Penang Naional Park for strategic ecotourism management, World Applied Sciences Journal 10 (Special Issue of Tourism & Hospitality), 136-145. Internaional Union for the Conservaion of Nature (IUCN) – The World Conservaion Union. (2002). Management Guidelines for IUCN Category V Protected Areas. Gland. Jahi, J. Md. (1996). Impak pembangunan terhadap alam sekitar. Bangi: Penerbit Universii Kebangsaan Malaysia, 249. Jahi, J. Md. (1999). Striking a balance between environment and development is Malaysia prepared to manage the environment to face challenges in the next millennium. Bangi: Centre for Graduate Studies, Universii Kebangsaan Malaysia. Jahi, J. Md. (2001). Pengurusan alam sekitar di Malaysia: dari Stockholm ke Rio de Janeiro dan seterusnya. Syarahan Perdana Jawatan Profesor, Universii Kebangsaan Malaysia. Bangi: Penerbit Universii Kebangsaan Malaysia. Jurowski, C. & Liburd, J. J. (2002). A Muli-cultural and muli-disciplinary approach to integraing the principles of sustainable development into human resource management curriculums in hospitality and tourism. Hospitality and Tourism Educator, 13(5), 36–50. Perhilitan (Department of Wildlife and Naional Parks of Malaysia). (2008). Retrieved June 2, 2008, from htp:// www.wildlife.gov.my Sohnge, B. & Sedjo, R. (2006). Carbon sequestraion costs in global forests. Energy Journal, Special issue, 109-126. Sin, H. T. & Chan, N. W. (2004). The urban heat island phenomenon in Penang Island: Some observaions during the wet and dry season. In J. Md. Jahi, K. Ariin, S. Surif & S. Idrus (Eds.). Facing changing condiions. Proceedings of the 2nd Bangi World Conference on Environmental Management (pp. 504-518). Bangi: Environmental Management Programme, Centre for Graduate Studies Universii Kebangsaan Malaysia and Environmental Management Society (EMS) Malaysia, . Sivers, R. (1976). The sustainable society: Ethics and economic growth. Philadelphia: Westminster Press. United Naions Economic and Social Commission for Asia and the Paciic (UNESCAP). (2003). CSD Regional imple mentaion meeing for the Asia. Bangkok, Thailand. Universal Declaraion of Human Rights, Aricle 24. (1948). Adopted by the United Naions General Assembly (A/RES/217, 10 December 1948 at Palais de Chaillot, Paris) Retrieved July 2011, from htp://daccess-ddsny. un.org/doc/RESOLUTION/GEN/NR0/043/88/IMG/NR004388.pdf?OpenElement World Bank. (1992). World Development Report. Washington, D.C. Zhou, S. (2009). Study on the management factors of the sustainable development environmental governance mechanism in inner mongolia. Journal of Sustainable Development, 2, 168-172. 174 FLOOD RISKS IN COASTAL CITIES AND MANAGEMENT STRATEGIES: A CASE STUDY OF LAND SUBSIDENCE IN NORTHERN JAKARTA, INDONESIA Md. Anisuzzaman and Dicky Muslim Laboratory of Geotechnical Research, Faculty of Geological Engineering University of Padjadjaran, Indonesia E-mail: anisuzzaman.ru@gmail.com ABSTRACT The recent loods in Thailand, Pakistan and other coastal ciies all over the world have shown the devastaing efects of large loods on socieies and the economy of countries and ciies. Climate change and socio- economic trends such as populaion growth will increase the impacts of lood risks on global coastal ciies if we do not invest in innovaive lood risk management strategies. Jakarta, the capital city of Indonesia, is one of the most vulnerable coastal ciies in the world. This paper provides an overview of the problem of looding in the city of Jakarta and how the adaptaion strategies can be improved for the future. Research methods used are zonaion mapping of subsidence and maps of lood afected areas. The correlaion between the two maps clearly shows that the increase in subsidence enhances the risks of lood in Jakarta and adaptaion strategies are also presented. Innovaive soluions through combinaions with architecture and lood engineering show that measures can be cost efecive and add value to the city. For example, by controlling groundwater extracion, rehabilitaing waterways, wetlands as bufer areas or by building houses on dikes. KEYWORDS: Floods, Coastal ciies, Climate adaptaion, Risk management strategies, Groundwater extracion and rehabilitaing waterways 1. INTRODUCTION 1.1 Background Jakarta, the capital city of Indonesia, is one of the most vulnerable coastal ciies in the world. North Jakarta area is bounded by the coast which extends from east to west. With the increasing populaion growth in Jakarta, the development in coastal areas is also growing very rapidly. Another impact of the growing number of populaion in Jakarta is the excessive use of groundwater. Unfortunately most of the water consumpion in Jakarta is fulilled by groundwater extracion. This excessive discharging of groundwater deepens the piezometric water level inside the middle and lower aquifers and in turn causes land subsidence above it. The groundwater extracion in Jakarta could be categorized into shallow (< 40 m) and deep (> 40 m) extracion. Shallow extracion is mostly done by the populaion. It is well spread over the area, but its extracion rate per well is relaively low. Deep extracion is usually conducted by industry. It is usually more concentrated, and has a relaively high extracion rate per well. This excessive groundwater pumping will usually lead to the deepening of the piezometric water level inside the middle and lower aquifers. According to Soetrisno, et al. (1997), the piezometric level in North Jakarta has changed from 12.5 m above sea level in 1910 to about sea level in the 1970’s, and then deepened signiicantly to 30-50 m below sea level in the 1990’s. 175 The subsidence rate is closely related to the rate of piezometric water level (head) deepening in the middle and lower aquifers. In the case of Jakarta, the increases in both populaion and industry, which require a lot of groundwater, could explain the above declining trend of piezometric heads, as shown in Figure 1. Figure 1. Piezometric water level contours (in metres) inside Middle and Lower Aquifers of Jakarta in 1992; adapted from (Murdohardono and Tirtomihardjo, 1993) The correlaion between land subsidence and excessive groundwater extracion in Jakarta can be illustrated using the subsidence results obtained from leveling surveys. Figure 3 shows the observed land subsidence during the period of 1982-1991 and 1991-97. Maximum subsidence during the period of 1982-1991 is about 80 cm, while for the period of 1991-97 is about 160 cm. In general the subsidence rates in Jakarta area during this period is about 1-5 cm/year and can reach 26 cm/year at several locaions. During the period between 1982 and 1991, the maximum rate of subsidence is about -8 cm/year, while during the period between 1991 and 1997 it is about -26 cm/year. More comprehensive results on leveling-based subsidence in Jakarta can be seen in Abidin et al. (2001). If we compare Figures 1 and 2 it can be realized that the cones of piezometric level depressions inside the middle and lower aquifers more or less coincide with the cones of largest land subsidence measured by the leveling. It should also be noted here that in those areas of subsidence cones, due to their high soil compressibility the situaion could be worse with the setlement caused by the load of construcions. Figure 2. Land subsidence in Jakarta measured from leveling surveys (in metres), Over the periods of 1982 – 1991 (let) and 1991 – 1997 (right) (Abidin et al., 2001) The groundwater level inside the middle and lower aquifers at several locaions in Jakarta seem to sill be decreasing. The groundwater levels are decreasing with at rates of about 0.2 to 2 m/year over the period of 2002 to 2007 176 (Abidin et al., 2008b). In comparison with GPS derived subsidences, it can be seen that the large subsidences are usually associated with the relaively high rates of groundwater level change rates. A more detailed explanaion on GPS derived subsidence and its relaion with groundwater extracion is given in (Abidin et al., 2008a; 2008b). Figure 3. GPS derived subsidence during the period of Sept. 2007 to August 2008. (Hasanuddin et al., 2009) Jakarta is oten faced with the problem of looding. In fact, disasters have oten occurred in Jakarta over the last few centuries. The largest recorded loods ever occurred in Jakarta in 1621, 1654 and 1725. The most signiicant lood occurred in 1918, as a result of forest logging for tea plantaions in Puncak. A type of lood hazard that oten occurs in Jakarta is called idal lood, a looding that caused by high ides. These loods occur because of subsidence of the ground surface. Subsidence in Jakarta occurs due to the consolidaion of soil. It cannot be separated from the increasing level of regional development in Jakarta. The load of buildings exerts high pressure on the soil. Thus, it leads to consolidaion. In addiion, excessive use of groundwater also contributes to consolidaion occurrence. This event is further exacerbated by the poor drainage system in Jakarta. 1.2 Locaion of the study area The study focused on the points in the area of North Jakarta to ind out the details of the decline in soil surface (subsidence) and its relaion with looding area. Figure 4. Locaion of the study area 177 1.3 Physiography of Jakarta basin Jakarta basin is located in the Lowlands of Jakarta Beach. This zone occupies the northern part of West Java, stretching 40 km west to east from Cirebon. This zone is dominated by alluvium deposits, beach deposits and mud lows and the products of Quaternary volcanic acivity (Van Bemellen, 1949). The Jakarta area is relaively lat with topographical slopes ranging between 0° and 2° in the northern and central part, and up to 5° in the southern part. The southern area has an alitude of about 50m above mean sea level. There are 13 natural and ariicial rivers lowing through Jakarta, of which the main rivers are Ciliwung, Sunter, Pasanggrahan, Grogol and their tributaries, which form the main drainage system of Jakarta (Abidin et al., 2001). Figure 5. Physiographic Map of West Java (Modiied ater Van Bemmelen, 1949) 2. METHODOLOGY Research methods used are zonaion mapping of subsidence and maps of lood afected areas. The correlaion between the two maps clearly shows that the increase in subsidence enhances the risks of lood in Jakarta even if the sea level remains unchanged. Geotechnical Data GPS Data Inundation of Jakarta Flood 2007 Flooding Area Map of Jakarta Flood 2007 Zonation Map of Consolidation Correlated Map showing the relation between consolidation and flooding area Figure 6. Flowchart of the research methodology used 178 3. RESULTS AND DISCUSSION 3.1 Zonaion mapping of Consolidaion (Subsidence) A) Water Content, Unit Weight and Speciic Weight Table 1. Water content, unit weight and speciic weight of samples. No. Sample Sampling site Water Content ω (%) Unit Weight γ (gr/cm3) Speciic Weight γs (g/cm³) 1 TS. 04A Cakung 46.16 1.69 2.48 2 TS. 04B Cakung 33.56 1.85 2.59 3 TS. 05 Sunter 82.87 1.45 2.48 4 TS. 08 Wdk. Muara 73.09 1.54 2.56 5 TS. 09 Mr. Angke 33.00 1.83 2.57 6 TS. 13A Tj. Priuk 56.02 1.51 2.40 7 TS. 13B Tj. Priuk 46.93 1.65 2.68 8 TS. 14A Pnt. Kapuk 46.81 1.61 2.49 9 TS. 14B Pnt. Kapuk 56.12 1.53 2.40 10 TS. 18 Semper Brt. 50.71 1.62 2.64 11 TS. 19 Pedongkelan 55.92 1.62 2.55 12 TS. 24 PIK 1-1.3 m 50.58 1.67 2.74 13 TS. 25B PIK 2.5 m 93.87 1.45 2.64 14 TS. 25C PIK 3.5 m 63.78 1.53 2.67 B) Consistency and Plasicity: Table 2. Mean of Consistency and Plasicity Parameters (Plasicity Limit, Liquid Limit & Plasicity Index). No. Sample Sampling Site 1 TS. 04A 2 PL LL IP Cakung 28.61 75.35 46.74 TS. 04B Cakung 29.50 68.42 38.92 3 TS. 05 Sunter 37.93 131.39 93.47 4 TS. 08 Wdk. Muara 38.42 87.72 49.30 5 TS. 09 Mr. Angke 37.43 107.60 70.16 6 TS. 13A Tj. Priuk 39.71 133.42 93.71 7 TS. 13B Tj. Priuk 26.67 79.94 53.27 8 TS. 14A Pnt. Kapuk 36.09 98.60 62.51 9 TS. 14B Pnt. Kapuk 30.04 106.76 76.72 10 TS. 18 Semper Brt. 29.79 105.49 75.69 11 TS. 19 Pedongkelan 30.99 96.00 65.02 12 TS. 24 PIK 1-1.3 m 41.15 104.41 63.26 13 TS. 25B PIK 2.5 m 28.93 73.41 44.48 14 TS. 25C PIK 3.5 m 37.23 115.21 77.98 With the acquisiion of these values, the soil types can be known. The following table is the types of soil based on USCS classiicaion. 179 Table 3. Soil types at sampling site based on USCS classiicaion. No. Sample Sampling Site Coordinate Group Symbol 1 TS. 04A Cakung 06° 08’ 98.0” 106° 55’ 44.8” CH 2 TS. 04B Cakung 06° 08’ 98.0” 106° 55’ 44.8” CH 3 TS. 05 Sunter 06° 08’ 65.7” 106° 53’ 07.4” CH 4 TS. 08 Wdk. Muara 06° 07’ 03.7” 106° 47’ 68.0” MH 5 TS. 09 Mr. Angke 06° 06’ 47.2” 106° 46’ 15.5” CH 6 TS. 13A Tj. Priuk 06° 06’ 38.8” 106° 52’ 44.7” CH 7 TS. 13B Tj. Priuk 06° 06’ 38.8” 106° 52’ 44.7” CH 8 TS. 14A Pnt. Kapuk 06° 06’ 26.8” 106° 44’ 11.8” CH 9 TS. 14B Pnt. Kapuk 06° 06’ 26.8” 106° 44’ 11.8” CH 10 TS. 18 Semper Brt. 06° 07’ 93.0” 106° 55’ 73.2” CH 11 TS. 19 Pedongkelan 06° 10’ 21.3” 106° 52’ 85.2” CH 12 TS. 24 PIK 1-1.3 m 06° 07’ 30.7” 106° 45’ 29.1” CH 13 TS. 25B PIK 2.5 m 06° 06’ 92.7” 106° 44’ 13.6” CH 14 TS. 25C PIK 3.5 m 06° 06’ 92.7” 106° 44’ 13.6” CH Based on table 3, the enire sample is a type of highly plasic soil that is easy to be reformated without cracking or crumbling. C) Consolidaion: Consolidaion test in the laboratory produces muliple values, including: 1. Compression index (Cc); 2. Swell index (Cs); 3. Preconsolidaion stress (σ); 4. Coeicient of Consolidaion (Cv) Table 4. Consolidaion Test Results. Cc Cs Cv (cm /det) 0.3166 0.0637 0.00056 No. Sample Sampling Site 1 TS. 04A Cakung 2 TS. 04B Cakung 0.3789 0.0758 0.00054 3 TS. 05 Sunter 0.8366 0.1465 0.00050 4 TS. 08 Wdk. Muara 0.4188 0.0696 0.00065 5 TS. 09 Mr. Angke 0.2540 0.0423 0.00067 6 TS. 13A Tj. Priuk 0.5969 0.0833 0.00042 7 TS. 13B Tj. Priuk 0.5305 0.0975 0.00050 8 TS. 14A Pnt. Kapuk 0.3798 0.0772 0.00065 9 TS. 14B Pnt. Kapuk 0.5162 0.0749 0.00048 2 10 TS. 18 Semper Brt. 0.5721 0.1043 0.00052 11 TS. 19 Pedongkelan 0.2415 0.0483 0.00059 12 TS. 24 PIK 1-1.3 m 0.3977 0.0986 0.00066 13 TS. 25B PIK 2.5 m 0.6112 0.0660 0.00048 With the Cc value in the range of 0.15 - 1.0, the soil should be classiied as medium clay to sot clay. It can be inferred by looking at table 5. 180 Table 5. Range of Compression Index of any soil types (source: Santosa, 1998, Mekanika Tanah Lanjutan, Chapter 2 p. 36) Soil Type Cc Dense sand 0.0005 - 0.01 Undense sand 0.025 - 0.05 Slightly spongy clay 0.03 - 0.06 Spongy clay 0.06 - 0.15 Medium clay – sot clay 0.15 – 1.0 Organic soil 1.0 - 4.5 0 Rock In the analysis of consolidaion, the values that were obtained earlier become the parameters that afect the soil surface due to consolidaion. These parameters are, among others: - Void raio (γ) - Iniial pressure - Total pressure - Thickness of the layer (h) - Compression index (Cc) - Coeicient of consolidaion (Cv) - Consolidaion setlement (δc) - Time (t) - The ime factor (Tv) - The degree of consolidaion (U) There are three steps of the calculaion to obtain the value of the setlement due to consolidaion for 1 year. a) Calculaion of consolidaion setlement The formulas and equaions used in the calculaion of consolidaion setlement analysis in table 6 can be seen as follows: Po = H - (γs-γw) δc = Cc.H 1+eo log σ′zf σ′zo b) Calculaion of the amount of ime required for the inal consolidaion In this calculaion, the degree of consolidaion is considered to have a value of 90% so that the ime factor has a value of 0848 (see table 7). The formula used in the calculaion of the table 6 to get the value of ime (t) in units of seconds, namely: t= Tv Cv xH2 181 Table 6. Calculaion of the length of ime it takes to achieve a reduced rate. Soil Layer Thickness H (Cm) Degree of Consolidaion U (%) Time Factor Tv Coeicient of Consolidaion Cv TS. 04A 3000 90 0.848 0.00056 13628571429 161094.22 441.35 TS. 04B 3000 90 0.848 0.00054 14133333333 167060.68 457.70 TS. 05 3000 90 0.848 0.00050 15264000000 180425.53 494.32 TS. 08 3000 90 0.848 0.00065 11741538462 138788.87 380.24 TS. 9 1000 90 0.848 0.00067 1265671642 14960.66 40.99 TS. 13A 1000 90 0.848 0.00042 2019047619 23865.81 65.39 TS. 13B 1000 90 0.848 0.00050 1696000000 20047.28 54.92 TS. 14A 2000 90 0.848 0.00065 5218461538 61683.94 169.00 TS. 14B 2000 90 0.848 0.00048 7066666667 83530.34 228.85 TS. 18 1000 90 0.848 0.00052 1630769231 19276.23 52.81 TS. 19 2500 90 0.848 0.00059 8983050847 106182.63 290.91 TS. 24 2000 90 0.848 0.00066 5139393939 60749.34 166.44 TS 25B 2000 90 0.848 0.00048 7066666667 83530.34 228.85 TS. 25C 2000 90 0.848 0.00049 6922448980 81825.64 224.18 Sample Time t Second(s) Day(s) Year(s) Tabel 7. Relaionship between the average degree of consolidaion (U) and ime factor (Tv) U(%) Tv 20 0.031 40 0.126 50 0.197 60 0.287 80 0.565 90 0.848 c) Calculaion of consolidaion setlement during one year Calculaion results of this stage can be seen in table 3.7. Meanwhile, formulas and equaions used in the table are: t Tv = .Cv H2 Consolidaion setlement for 1 year = Tv. δtotal Formula to obtain the value of Tv as can be seen above, is determined by the degree of consolidaion that is worth less than 60%. Unit value of ime (t) is seconds. 182 The Relaionship between Each Parameter: a. The relaionship between void raio and total pressure Figure 7. Scater chart of relaionship between pore raio (e) and Total Pressure (σtot) It is clearly described that the greater the pressure received by the ground, the closer the cavity between the pores will be due to compacion. Therefore, the void raio will shrink when the pressure received is greater. b. The relaionship between Void Raio and Consolidaion Setlement Figure 8. Scater chart of relaionship between pore raio (e) and setlement consolidaion (δtot) It indicates that a large value of void raio means the setlement will be easier to proceed. It describes that the large value of void raio indicates that the soil is unsetled. Therefore, soil will be setled when the cavity between every paricle moves closer to each other. c. Compression index and a decrease in total Figure 9. Scater chart of relaionship between compression index (Cc) & setlement consolidaion (δtot) 183 It indicates that the greater the compression index, the greater the setlement will be. The compression index represents the degree of soil compressibility; therefore the setlement will be exacerbated because of the large compression index value. Processing of zonaion map of consolidaion by using Sotware Surfer: Basically, this sotware plots between sampling site locaion with the values of setlement during one year of each tested sample. Every point that has had value of setlement, interpolated by a geostaisical method, kriging, so that the applicaion of spaial structure with a probabilisic model of the contours can be obtained. Kriging is considered to be the most capable method to show the probability of subsidence appearance of the Jakarta’s soil surface because it calculates the spaial correlaion from each of the data points, and also between them with a point/block that will be esimated. Ater the appearance of one-year subsidence of the soil surface is obtained using this method, interpretaion is performed by dividing soil into ive groups. Five groups, among others, is very low (<1 cm), low (1-2cm), moderate (2-3cm), high (3-4cm), and very high (> 4 cm). Zoning is undertaken for interpretaion, and then converted into maps. Figure 10. Zonaion Map of Subsidence (2010-2011) 3.2 Map of looding Area of Jakarta The 2007 lood hit Jakarta and surrounding areas on the night of February 1. In addiion to poor drainage system, looding from heavy rain began which lasted from the aternoon of February 1 unil the next day on February 2, plus the volume of water from 13 rivers originaing from the Bogor Jakarta-Puncak-Cianjur, and also high ides, resuling in nearly 60% of the Jakarta area looded with depths reaching up to 5 meters at some locaions. Figure 11 shows the lood afected areas of Jakarta in 2007. 184 Figure 11. Flooding area map of Jakarta, 2007 (source: Posko Bakornas Operaions Centre, 2007) 3.3 The correlaion between the Zonaion Map of Consolidaion (Subsidence) and the Flooding Area Map The correlaion between the above two maps (the zonaion map of consolidaion and looding area map of Jakarta, 2007) clearly shows (Figure 12) the relaion between the consolidaion (subsidence) and the area of looding. The relaion shows that the more consolidaion (subsidence) occurs, the more area goes under lood water even if the sea level remains the same. Figure 12. The relaion between the consolidaion (subsidence) and area of looding 185 Table 8. Shows the result of consolidaion (subsidence) and sea level rise (source: Illustraion of topography of Jakarta, modiied ater Heri Andreas, Geodesy, ITB, 2011) No Year Area under MSL Area above MSL Total Percentage 1 2000 3287.3 Ha 61352.5 Ha 64639.8 Ha 5.1 2 2007 5483.6 Ha 59156.14 Ha 64639.8 Ha 8.5 4. MANAGEMENT STRATEGIES Considering the present status of looding in Jakarta with the special emphasis on soil consolidaion (subsidence) the following management or miigaion strategies can be suggested: • Controlling Groundwater Extracion: As excessive groundwater extracion is one of the major causes of land subsidence, there must be groundwater extracion regulaion so that the excessive extracion of groundwater can be controlled. • Land use planning: Land use change is another cause of land subsidence which has an ulimate relaion with looding in Jakarta. Thus, land use planning is essenial as a miigaion way. • Restoraion of wetlands as bufer area: Sea water intrusion has a signiicant impact on land subsidence in Jakarta-restoring the wetlands can prevent this intrusion. • Rehabilitaing water ways: Studies show that the most beneicial step for lood miigaion in Jakarta is to rehabilitate the city’s lood management system back to its original design capacity. In addiion to dredging, lood miigaion would also beneit from rouine operaion and maintenance. • Developing seawalls along the coast: High ide also causes sea water looding in Jakarta. The embankments on Jakarta’s coast are 300 cenimeters high and high ides have been recorded to reach 250 cenimeters and it could get worse. To anicipate this idal looding in Jakarta the city would raise the embankments over the next few years. • Building houses on dikes: In lood prone coastal areas this pracice may also reduce lood risks. 5. CONCLUSION Jakarta is regularly afected by loods. In this paper the correlaion between the land subsidence and looding area shows that the increase in subsidence rate enhances the lood risks in extended areas in Jakarta City. The present work had very limited scope to consider detailed incorporaion of all the factors afecing lood risks in Jakarta City. A simple approach was taken to show the relaion between the Geotechnical properies of the soil and lood risks in the study area. Finally, to reduce lood risks in the city, several miigaion ways are suggested such as land use planning, restoraion of wetlands as bufer area, rehabilitaion of water ways, developing seawalls along the coast, and so on. In reality lood management in Jakarta is complex, requiring eforts to resolve diicult issues on many fronts, each of which may be under the insituional responsibility of diferent stakeholders. REFERENCES Abidin, H. Z., Dajaja, R., Drarmawan, D., Hadi, S., Akbar, A., Rajiyowiryono, H. & Sudibyo, Y., et al., (2001). Land subsidence of Jakarta (Indonesia) and its geodeic monitoring system. Natural Hazards, 23(2-3), 365-387. Abidin, H. Z., Andreas, H., Djaja, R., Darmawa, D., & Gamal, M. (2008a). Land subsidence characterisics of Jakarta between 1997 and 2005, as esimated using GPS surveys. GPS Soluions, 12(1), 23-32. Abidin, H. Z., Andreas, H.,Gamal, M., Susani, P., Hutasoit, L.,Fukuda, Y., Deguchi, T., Maruyama, Y. (2008b). Land subsidence characterisics of the Jakarta Basin (Indonesia) as esimated from leveling, GPS and InSAR and its Relaion with Groundwater Extracion. Paper to be presented at the XXXVI IAH Congress in Toyama Japan, 26 October – 1 November 2008. Internaional Associaion of Hydrogeologists. 186 Putrohari, R. (2010). Bisakah Banjir Jakarta Dikurangi?. Retrieved May 10, 1012, from htp://rovicky.wordpress. com/2010/12/30/bisakah-banjir-jakarta-dikurangi/ Bemmelen, R. W. (1949). The geology of Indonesia. California: Govt. Prining. Das, B. M. (1988). Mekanika tanah - Jilid 1. Jakarta, Indonesia: Erlangga Publisher. Djaja, R., Rais, J., Abidin, H. Z. & Wedyanto, K. (2004). Land subsidence of Jakarta metropolitan area. Paper presented at 3rd FIG Regional Conference, 3-7 October 2004. Jakarta, Indonesia. Abidin, H. Z., Andereas, H., Gumilar, I., Gamal, M., Fukuda, Y. & Deguchi, T. (2009). Land subsidence annd urban development in Jakarta (Indonesia). Paper presented at 7th FIG Regional Conference, 19-22 October 2009. Hanoi, Vietnam. Andreas, H. (2011). Illustraion of topography of Jakarta. Geodesy: ITB (unpublished). Murdohardono, D. & Tirtomihardjo, H. (1993). Penurunan tananh di Jakarta dan rencana pemantauannya. Proceedings of the 22nd Annual Convenion of the Indonesian Associaion of Geologists, Bandung, 6-9 December, (pp. 346 - 354). Posko Bakornas Operaions Centre. (2007). Flooding area map of Jakarta. Indonesia: Author. Santosa, B., Suprapto, H. & Suryadi, H. (1998). Dasar Mekanika Tanah. Jakarta, Indonesia: Gunadarma Publisher. 187 ENVIRONMENTAL MANAGEMENT PLANNING IN A DEVELOPING COUNTRY SETTING (ANGONO, PHILIPPINES): DRAWING LESSONS FROM CONSTRAINTS, LOCAL LEVEL GOVERNANCE, AND THE ENVIRONMENTAL MANAGEMENT PLANNING PROCESS Mike V. Medina Technical & Administraive Training Insitute, Sultanate of Oman ABSTRACT Environmental management planning in the Philippines can either be integrated in the Comprehensive Development Plan (CDP) as part of the development sector, or it can be a separate plan presented in a more detailed manner addressing the management of the environment. To support Angono’s (a municipality in Rizal Province, Philippines) emerging role of becoming a mixed industrial and residenial zone within the region, and being dubbed as the Art Capital of the Philippines, an environmental management plan was developed and formulated. The development of the Angono Municipality Environmental Management Plan established its environmental vision, goals, targets and acions for the next ten years and beyond. It addressed the themes of energy and emissions, water, waste, plants and animals. Prioriized acions have been developed to improve the health and funcion of the environment, and reduce environmental impacts of development and increasing populaion. Acions will be delivered through demonstraion, advocacy and partnerships to posiion the municipality as a model of cleanliness and best pracice in environmental protecion. Valuable insights from the perspecive of a developing country can be drawn from this planning exercise and categorized into three groups. Firstly, constraints (i.e. logisics, priority areas, data validaion) were iniially ideniied and eventually experienced throughout the planning process. Secondly, local level governance may have the commitment but can sill be limited by poliics, exising programs, resources (i.e. inancial, infrastructure) and insituional gaps. Thirdly, the environmental management planning process provided opportuniies and constraints in idenifying issues to be considered in the inal plan. These lessons can provide a feedback mechanism for streamlining and encouraging future environmental management planning aciviies in the Philippines and other developing countries. KEYWORDS: Environmental management plan, EMP, Environmental management, Planning process, Urban planning, Planning constraints, Local governance, Planning strategy, Philippines INTRODUCTION Environmental management refers to the management of human aciviies to miigate actual or prevent potenial impacts on the environment. In relaion to sustainable development, it only focuses on environmental factors (Meyer and le Roux 2006). Environmental management planning (EMP) is used as a general tool to support comprehensive planning and at the same ime as a secional planning instrument i.e. polluion control, environmental conservaion, etc. (Takeuchi and Lee 1989). 188 In the Philippines, environmental management planning at the local government level can either be integrated in the Comprehensive Development Plan (CDP) as part of the development sector, or it can be a separate plan presented in a more detailed manner addressing the management of the environment. A local government EMP describes the processes that an organizaion will follow to maximize its compliance and minimize harm to the environment. This plan also helps the municipal government to map its progress toward achieving coninual improvements. THE NEED FOR AN ENVIRONMENTAL MANAGEMENT PLAN IN ANGONO, RIZAL, PHILIPPINES There is a need to plan for its environment because Angono has a small land area and is experiencing rapid urbanizaion within and in nearby municipaliies that brings environmental risks and hazards. Angono’s high density and major physical constraint as a lood-prone area presents to the municipality challenges that must be addressed and miigated so that Angono as a whole can coninue living in a normal and comfortable environment throughout the year. Angono has reached a point in which any expansion would only result in more costs than beneits to its residents. However, it cannot stop totally any future development in the area: land use planning regulates the development while the EMP will speciically dictate both spaial and non spaial strategy to avoid further damage of the environment. There is a need to plan for its environment because the main drainage, the Angono River, lows to the Laguna de Bay. Its watershed areas are in the upper slope municipaliies of Rizal, like Teresa and Anipolo, and a coordinated efort is needed for this watershed to regain its vegetaive cover. The issue of environment versus economy is no longer a major concern for the municipality because of its classiicaion as a irst class municipality that presently has several large industries. There is a need to plan for its environment because insituional efort in the past to manage the environment has been least prioriized. Moreover, there was no insituional body created as overseer in the management of the environment and in the monitoring of environment-related cases. Hence, private and public actors in Angono must learn to enhance their capaciies to iniiate and manage the environment. The Southern Tagalog Mainland composed of Cavite, Laguna, Batangas, Rizal and Quezon, popularly known as the CALABARZON region, which Angono belongs to, is expected to become the driving force for further industrializaion in the country, together with Metro Manila and other areas in the naional industrial core region. The CALABARZON region, as a mater of truism, will have to coninue to accommodate the overspill of populaion from Metro Manila. At the same ime, the decentralizaion of economic aciviies is another major thrust of naional development policy, which should be planned out to regulate and anicipate its efects on the environment; a full blown EMP will speciically help the CLUP in adoping sustainable development. ANGONO ENVIRONMENTAL MANAGEMENT PLAN To support Angono’s (a municipality in Rizal Province, Philippines) emerging role of becoming a mixed industrial and residenial zone within the region, and being dubbed as the Art Capital of the Philippines, an environmental management plan was developed and formulated. The development of the Angono Municipality Environmental Management Plan established its environmental vision, goals, targets and acions for the next ten years and beyond. It addressed the themes of energy and emissions, water, waste, plants and animals. Prioriized acions have been developed to improve the health and funcion of the environment, and reduce environmental impacts of development and increasing populaion. Acions will be delivered through demonstraion, advocacy and partnerships to posiion the municipality as a model of cleanliness and best pracice in environmental protecion. 189 EXPERIENCES AND INSIGHTS IN THE CONDUCT OF PLANNING The conduct of this planning exercise provided valuable insights from the perspecive of a developing country that can be categorized into three groups. A. Constraints Funding. Majority of the local governments in the Philippines either have no allocated budget for their planning exercises or have never prioriized the development of an EMP. The lack of funding greatly afects the whole process and various aciviies such as technical workshops for idenifying the gaps related to the various aspects of the planning process, data gathering and ground-truthing, awareness campaigns, etc., may be limited or enirely cancelled. The lack of funding also afects the hiring of competent staf or the training of exising staf to make them more competent. Lack of competent personnel. The municipality does not have suicient competent and trained technical staf to conduct and make use of methods for data gathering and analysis. Tools to gather data and develop a database emphasized in other studies such as aerial surveys, GIS (e.g. Boukalová et al. 2006; Hofman et al. 2002), biodiversity inventories, assessment of current status of resources (e.g. Brabecand Lewis 2002) such as water, trees or watershed dynamics, socio-economic assessments, modeling (e.g. Jensen et al. 1998) and establishment of geo-indicators (e.g. Marin-Duque et al. 2002) are generally based on secondary data or requested from other government or private agencies. Limited personnel also afect how ield surveys and data validaion are done and the issue of logisics becomes apparent if the acivity is limited only to a number of weeks. Cost of environmental data. Since there is a lack of qualiied staf, there is a tendency to signiicantly depend on other government or private agencies to obtain certain data i.e. maps, lora, fauna, etc. The problem arises if such data are not updated and there is a need to validate these through further ield surveys. Data obtained from other agencies also cost more, hence, if there is no funding for procuring such data, analysis of whatever data has been gathered is severely afected. General lack of awareness. A signiicant porion of the populaion in the ten barangays (=community) generally have litle appreciaion of the close linkages among the diferent components of the ecosystem. For example, there is litle awareness of the linkage between trees and looding as sporadic felling of trees sill occurs in the watershed areas, or waste dumping in the lake (Figure 1) and ish kills. Moreover, natural resources are usually just viewed and taken for granted since these are easily available and may be thought of as always being there. Even though the country in general is exposed to a number of mulimedia, the general lack of awareness at the municipality level can be atributed to the lack of proper channels for informaion disseminaion and awareness campaigns. Figure 1. One of a number of open dumping sites found adjacent to Laguna de Bay in Angono, Rizal, Philippines 190 B. Local level governance may have the commitment but can sill be limited by poliics, exising programs, resources (i.e. inancial, infrastructure) and insituional gaps. It has been argued that beter local governance is a key to meeing urban challenges (Meyer and le Roux 2006). There is growing consensus globally that naional governments cannot manage and control complex ciies and towns. Only strong, decentralized local governments, in touch with and involving their ciizens, and working in partnership with naional governments, are in a posiion to do so (Jordan and Magnoli 2002). This is also echoed by Agenda 21 (UNCED 2002), a comprehensive plan of acion on the environment, which raised the proile of urban issues (Lai 2002). Inadequate or no available data. Angono municipality has seen litle success in implemening management intervenions due to inadequate environment, socio-economic and land-use changes data resuling from funding and staf-related issues. Moreover, there is also the inadequate paricipaion and inclusion of stakeholders, which is usually the norm rather than an exempion (Rojas-Caldelas et al. 2008), that could provide a broader range of input in idenifying issues that may otherwise been excluded. This can result in a less integrated urban planning management, which in turn, generally afects the capacity of the municipality for long-term planning and management. Weak implementaion of environmental legislaion. At the municipal level, a number of naional environmental laws do not have any equivalent local ordinance which can be enforced by the local government (Table 1). This also contributes to the generally low level of awareness among the communiies regarding environmental management and protecion. Table 1. Applicable Philippine environmental laws that do not have a local equivalent in Angono. Noice that the closest local equivalent for Republic Act 9003 and Presidenial Decree 825 is only an ani-litering ordinance Philippine Environmental Laws Local Equivalent Air/Noise REPUBLIC ACT NO. 8749 (Philippine Clean Air Act of 1999) Provides for a comprehensive and integrated approach on managing air quality No local equivalent and protecing the public health. The Clean Air Act also provides speciic guidelines and permit requirements for staionary and emission control for mobile sources (i.e., motor vehicles). PRESIDENTIAL DECREE NO. 984 Provides for the revision of republic act no. 3931, commonly known as the Pollu- No local equivalent ion Control Law, and for other purposes. Water REPUBLIC ACT NO. 8041 (Naional Water Crisis Act of 1995) An Act to address the naional water crisis and for other purposes. No local equivalent PRESIDENTIAL DECREE NO. 1067 (The Water Code of the Philippines) A Decree insituing a water code, thereby revising and consolidaing the laws gov- No local equivalent erning the ownership, appropriaion, uilizaion, exploitaion, development, conservaion and protecion of water resources. Waste REPUBLIC ACT NO. 9003 (Ecological Solid Waste Management Act of 2000) Provides for state policy on the adopion of systemaic, comprehensive and eco- Ani-litering ordinance logical solid waste management system. The Act also emphasizes waste minimizaion at source through recycling, re-use, recovery and composing. REPUBLIC ACT NO. 6969 (Toxic Substances and Hazardous and Nuclear Wastes Control Act of 1990) 191 Provides for the rules and regulaion for management of chemicals, hazardous No local equivalent wastes and nuclear wastes. RA 6969 and its IRR (DAO 1992-29) covers the importaion, manufacture, processing, sale distribuion, use and disposal of chemical substances and mixtures that present unreasonable risk/or injury to the health or the environment. PRESIDENTIAL DECREE NO. 856 (Sanitaion Code) Provides speciic provisions for sewage and excreta collecion and disposal system No local equivalent projects. Secion 5 of the IRR, pertains to public sewerage systems. PRESIDENTIAL DECREE NO. 825 Provides the insituion of penalty for improper disposal of garbage and other Ani-litering ordinance forms of uncleanliness and for other purposes. PRESIDENTIAL DECREE 984 Providing for the Revision of Republic Act No. 3931, commonly known as the Pol- No local equivalent luion Control Law. REPUBLIC ACT3931 (Polluion Control Law) Prohibits and penalizes the throwing, running, draining or disposiion into any of No local equivalent the water and/or atmospheric air of the Philippines any mater or substance in gaseous or liquid form that shall cause polluion unregulated substances and mixture in the Philippines. REPUBLIC ACT NO. 7942 An Act insituing a new system of mineral resources exploraion, development, No local equivalent uilizaion, and conservaion. REPUBLIC ACT NO. 7076 An Act creaing a people's small-scale mining program and for other purposes. No local equivalent PRESIDENTIAL DECREE NO. 1899 A Decree that established small-scale mining as a new dimension in mineral de- No local equivalent velopment. Natural Resources REPUBLIC ACT NO. 7161 An Act incorporaing certain secions of the naional internal revenue code of No local equivalent 1977, as amended, to presidenial decree no. 705, as amended, otherwise known as the "Revised Forestry Code Of The Philippines", and providing amendments thereto by increasing the forest charges on imber and other forest products. AGRICULTURE AND FISHERIES MODERNIZATION ACT OF 1997 An Act prescribing urgent related measures to modernize the agriculture and ish- No local equivalent eries sectors of the country in order to enhance their proitability, and prepare said sectors for the challenges of the globalizaion through an adequate, focused and raional delivery of necessary support services, appropriaing funds, and for other purposes. REPUBLIC ACT NO. 7907 An Act amending Republic Act 3844 (Code of Agrarian Reform in the Philippines). No local equivalent REPUBLIC ACT NO. 8550: The Philippine Fisheries Code of 1998 An Act providing for the development, management and conservaion of the ish- No local equivalent eries and aquaic resources, integraing all laws perinent thereto, and for other purposes. REPUBLIC ACT NO. 9147 192 An act providing for the conservaion and protecion of wildlife resources and No local equivalent their habitats, appropriaing funds therefore and for other purposes. REPUBLIC ACT NO. 9072 Naional Caves and Cave Resources Management and Protecion Act No local equivalent REPUBLIC ACT NO. 8485 (The animal welfare act of 1998) No local equivalent REPUBLIC ACT NO. 7900 (High-Value Crops Development Act of 1995) An act to promote the producion, processing, markeing and distribuion of high- No local equivalent valued crops, providing funds therefore, and for other purposes. REPUBLIC ACT NO. 3571 An act to prohibit the cuing, destroying or injuring of planted or growing trees, No local equivalent lowering plants and shrubs or plants of scenic value along public roads, in plazas, parks, school premises or in any other public ground. PRESIDENTIAL DECREE NO. 704: Revising and consolidaing all laws and decrees afecing ishing and isheries (As amended by P.D. No. 1015 dated September 22, 1976; further amended by P.D. No local equivalent No. 1058; further amended by P.D. No. 1819 dated January 16, 1981) ACT NO. 3983 An act to protect wild lowers and plants in the Philippine islands and to prescribe No local equivalent condiions under which they may be collected, kept, sold, exported, and for other purposes. ACT NO. 3572 An act to prohibit the cuing of indalo, akle or molave trees, under certain condi- No local equivalent ions, and to penalize violaions thereof. Natural Hazards PROCLAMATION NO. 2146 Proclaiming certain areas and types of projects as environmentally criical and No local equivalent within the scope of the environmental impact statement system established under presidenial decree no. 1586. Variable coverage of environmental issues. The commitment of the local government may be strong, but due to weak implementaion of environmental legislaion and at the same ime the lack of qualiied staf, there may be a limited focus on what needs to be addressed irst. Further, the issue of jurisdicion among agencies and dependence on data provided by related agencies such as the Environmental Management Bureau (EMB), Department of Environment and Natural Resources (DENR), Naional Staisics Oice (NSO) and Naional Mapping and Resource Informaion Authority (NAMRIA) can further limit the ability of the municipal government to address all issues. C. Environmental management planning process provided opportuniies and constraints in idenifying issues to be considered in the inal plan. Review and analysis of available informaion. At the onset of the planning exercise, opportuniies for analyzing exising informaion, idenifying gaps and at the same ime reviewing the exising process being done at the municipality level can provide new inputs that may not have been ideniied previously. Involvement of all stakeholders (Falkena et al. 2002). All stakeholders in the municipality must be ideniied and their needs explicitly recognized. The stakeholders should be invited to a public consultaion and focused group discussions. The stakeholders may come from the ten (10) barangays, natural resources user-sectors (e.g. ishermen, farmers), municipality, small-scale businesses, tourism, NGOs and relevant government agencies that hold oices 193 in Angono. Further, there must be follow-ups if new informaion or analyses arise. When stakeholders noice the posiive results of communicaion and paricipaion, they are more inclined to look for cooperaion in the future and their expectaions improve also. Development of the EMP. The generaion of a drat paper for the municipality wherein all new informaion are integrated into the plan. The plan is supposedly to be circulated to the ideniied stakeholders for comments and feedback before it becomes a inal document. Public consultaion in which comments and feedback received from the ideniied stakeholders will be discussed ater these are complied and analyzed for merit. Monitoring, audiing and updaing of the EMP. The conduct of monitoring, audiing and updaing of the EMP can provide a feedback mechanism for streamlining and encouraging future environmental management planning aciviies in the Philippines and other developing countries. Increasing awareness through community monitoring. At the cultural level (Abraham 2002), community monitoring can greatly assist in illing in the gaps and at the same ime educate the community. Events like the yearly St. Clements fesival (locally known Higantes fesival) could be used as an avenue to supply informaion and awareness campaigns to improve management. Galleries that abound in Angono, such as those owned by naional arists Carlos “Botong” Francisco and Lucio San Pedro, and other arists can be used as a venue for promoing environmental awareness. Environmental management system (EMS). The presence of an EMP provides the municipality an opportunity to make use of an environmental management system (EMS), a tool for a systemaic framework and approach to minimize risks and manage environmental aspects (i.e. aciviies that cause impacts) and impacts (i.e. efects or changes to the environment resuling from an acivity). An EMS is an iteraive process that requires ongoing commitment from an organizaion, in order to achieve coninuous improvement and enhanced environmental performance (DEAT 2004). Thus, an EMS in place can assess and improve its environmental performance by providing a more consistent approach to address environmental concerns. Emphasis on densiicaion. Studies (e.g. Kazimee 2002; Magnoli et al. 2002; Skovbro 2002) show that urban compacion creates a more sustainable environment since the high density of populaion live within easy access of services, leisure faciliies and green space leading to energy eiciency and support for an efecive integrated transport system. Developing countries like the Philippines should emphasize sustainable urban densiicaion as one of the soluions to the growing need for living space to meet the demand of a high populaion. CONCLUSION There is no universal template where one has an absolute set of criteria to follow in an environmental management planning process. There are also no speciic criteria since each situaion or sets of condiions are unique for a paricular area. The scope of an EMP is largely deined by the visions and goals set by a local government that is working on speciic issues which can range from polluion management, culture conservaion, sustainable development and conservaion, among others, as highlighted in Agenda 21. Insights gained from this EMP exercise can provide a feedback mechanism for streamlining and encouraging future environmental management planning aciviies in the Philippines and other developing countries. 194 REFERENCES Abraham, G. (2002). The comprehensive development plan for the city of Luxor. In C. A. Brebbia, J. F. Marin-Duque, & L. C. Wadhwa (Eds.). The Sustainable City II (pp. 387-396). Southampton: WIT Press. Boukalová, Z., Beneš, V. & Kořán, P. (2006). M3 (Monitoring, Management and Mapping) – tool for the soluion of the conlict: People and environment. Transacions on Ecology and the Environment, 89, 361-368. Brabec, E. & Lewis, McD. (2002). Deining the patern of the sustainable urban region. In C. A. Brebbia, J. F. MarinDuque & L. C. Wadhwa (Eds.). The Sustainable City II (pp. 486-496). Southampton: WIT Press. Department of Environmental Afairs & Tourism (DEAT). (2004). Environmental Management Plans. Integrated Environmental Management Informaion Series 12. Pretoria: DEAT. Falkena, H. J., Moll, H. C. & Noorman, K. J. (2002). Towards a sustainable city: Roles, behaviour and aitudes of ciizens, local organisaions and the authoriies. In C. A. Brebbia, J. F. Marin-Duque & L. C. Wadhwa (Eds.). The sustainable city II (pp. 643-652). Southhampton: WIT Press. Hofman, C., Steinnocher, K. & Petrini-Monteferri, F. (2002). The role of very high resoluion image data and GIS as planning support tools – Case Studies of Belgrade and Shanghai. In C. A. Brebbia, J. F. Marin-Duque & L. C. Wadhwa (Eds.). The sustainable city II (pp. 507-516). Southhampton: WIT Press. Jensen, K. Bach, H. K. & Jensen, A. (1998). Using ecological models to plan and monitor coastal reclamaion projects. Transacions on Ecology and the Environment, 18, 45-55. Jordan, R. & Magnoli, G. C. (2002). Towards more sustainable ciies: The Urban Management and Sustainable Development Project in Lain America and the Caribbean. In C. A. Brebbia, J. F. Marin-Duque & L. C. Wadhwa (Eds.). The sustainable city II (pp. 43-52). Southhampton: WIT Press. Kazimee, B. A. (2002). Sustainable urban design paradigm: Twenty ive simple things to do to make an urban neighborhood sustainable. In C. A. Brebbia, J. F. Marin-Duque & L. C. Wadhwa (Eds.). The sustainable city II (pp. 31-41). Southhampton: WIT Press. Lai, M. (2002). A comparaive study on urban land use planning system between China and Taiwan. In C. A. Brebbia, J. F. Marin-Duque & L. C. Wadhwa (Eds.). The sustainable city II (pp. 497-506). Southhampton: WIT Press. Magnoli, G. C., Talbot, R. D., Atkins, R., Ferrari, G., Shah, K. M. & Chong, T. (2002). Re-building the social capital: Lessons from the City of Edinburgh. In C. A. Brebbia, J. F. Marin-Duque & L. C. Wadhwa (Eds.). The sustainable city II (pp. 663-673). Southhampton: WIT Press. Marin-Duque, J. F., Godfrey, A., Diez, A., Cleaves, E., Pedraza, J., Sanz, M. A., Carrasco, R. M. & Bodoque, J. (2002). Examples of landscape indicators for assessing environmental condiions and problems in urban and suburban areas. In C. A. Brebbia, J. F. Marin-Duque & L. C. Wadhwa (Eds.). The sustainable city II (pp. 467-476). Southhampton: WIT Press. Meyer, T.C. & le Roux, E. (2006). Capacity building for efecive municipal environmental management in South Africa. Transacions on Ecology and the Environment, 93, 445-456. Rojas-Caldelas, R., Ranla-González, A., Pena-Salmon, C., Venegas-Cardoso, R., Ley-Garcia, J., Villegas-Olivar, O. & Leyva-Camacho, O. 2008. Planning the rural-urban interface under sustainable principles: A methodological proposal. Transacions on Ecology and the Environment, 117, 641-649. Skovbro, A. (2002). Urban densiicaion – A sustainable urban policy? In C. A. Brebbia, J. F. Marin-Duque & L. C. Wadhwa (Eds.). The sustainable city II (pp. 517-527). Southhampton: WIT Press. Takeuchi, K. & Lee, D. (1989). A framework for environmental management planning – A landscape-ecological approach. Landscape Ecology, 3(1), 53-63. United Naions Conference on Environment and Development [UNCED]. (2002). Agenda 21. New York: UNCED. 195 TRAFFIC EMISSIONS AND RELATED HEALTH PROBLEMS IN DHAKA CITY Nahid Morshed1, Md. Sabbir Sharif2 and Adiba Jamal Esa3 1 Urban Planner & Masters Student, East West University, Dhaka, Bangladesh. E-mail: nahid_urp06@yahoo.com 2 Lecturer, Khulna University of Engineering and Technology (KUET), Khulna, Bangladesh. E-mail: sabbir_069@yahoo.com 3 Student, Master of Urban and Regional Planning, BUET. E-mail: esa_urp844@yahoo.com ABSTRACT Dhaka is the one of the world’s most air polluted ciies. Atpresent, traic vehicles are the major contributor to its severe air polluion. Rapid populaion growth in the city has raised the total number of traic vehicles. This large populaion directly changes the structure and trends of the traic vehicle populaion. The vehicle populaion increases the emission of SOX, NOX, CO, Pb and Pariculate Maters by the use of low quality fuel. The major contributors of the air polluion in Dhaka city are diesel based busesand trucks, private carsand taxis, and three wheeler vehicles. From July 1999, leaded gasoline is banned and from March 2002, two stroke auto rickshaws are withdrawn and CNG auto rickshaw is imposed in Dhaka city, which has reduced nearly 9% of traic emissions. This study invesigates the growth patern of vehicles as well as the traic emissions. This study also invesigates the health problems related to traic emissions. The study recommends a few strategies for vehicular emission control with the aim of improving exising air quality, which include improving fuel quality, encouraging the use of alternaive fuels, implementaion of beter traic management and strengthening research for a beter understanding of the state of traic management. KEYWORDS: Vehicle, Traic emission, Air polluion, Pollutants, Health problems 1. INTRODUCTION Modern life is absurd without transport. Sustainable economic development of a region depends greatly on a good transportaion system. But there are some negaive impacts of transportaion, especially road transport. Environmental hazards and human health problems are caused by road transport (Krzyzanowski et al., 2005). The air polluion problem is widespread throughout the world and urban areas are one of the major sources of air polluion (Aktar, 2001). Air quality in most urban centers of the world could reach levels high enough to cause substanial impact on the surrounding environment leading to health impacts. The main contributors to air polluion in urban areas are industrial and vehicular emissions. The adverse efect on health of air polluion emited by transport is one of the leading concerns of current situaion. Several researches prove that outdoor air polluion harms health. The present trend of increasing transport volume is related with deterioraing air quality and health (Krzyzanowski et al., 2005). Motor vehicles are considered to be primarilyresponsible (along with industrial air polluion) for health hazardsin urban area because of emission of air pollutants such as Pariculate Mater (PM), Lead (Pb), Carbon mono-Oxide (CO), Sulfur Oxides (SOx), and Nitrogen Oxides (NOx) (Aktar, 2001). Karim (2001) stats that, “Air polluion from transportaion systems in Dhaka occurs due to the use of low quality gasoline without proper catalyic convertors, 196 high sulfur content in diesel, large numbers of high polluing old vehicles, impure fuel, ineicient land use and overall poor traic management”. The main goal of this study is to ind out the trends of traic vehicle and emissions as well astheirimpact over human health. 2. METHODOLOGY The present study is based on secondary data related to the traic emissions of Dhaka city,such as relevant books or journals, published and unpublished documents, web based research, newspapers etc. Most of the studies are collected through the internet. 3. DHAKA CITY Dhaka is the capital and largest city of Bangladesh. It is located in lat plain in Bangladesh. The Mogul Emperor Jahangir established Dhaka in 1608 (Alam et al., 2002). It has gradually turned into a mega city with a current populaion size of 13.0 million covering a total area of 153.84 square kilometers (Staisical Pocket Book, 2008). Road and street faciliies within metropolitan area comprise some 2500 km. About 40 percent of these road faciliies are within the main metropolitan area (Aktar, 2001). The Dhaka city map is shown in Figure 1. Source: Dhaka City Corporaion, 2008 Figure 1. Dhaka City Area 197 3.1 Patern of Traic Vehicle of Dhaka city There is a variaion of demand for transport services in Dhaka city. Table 1 shows the vehicle populaion from 2003 to 2010. From the table, it is found that the total number of vehicles has almost doubled in 7 years,and currently the proporion of privately owned vehicles (79.62%) is higher than that of public vehicles (7.38%). Table 1. Traic Populaion structure in Dhaka city (2003 - 2010) 2003 2004 2005 Motor Car Type of Vehicles 87866 92600 98233 Jeep/ Microbus 32391 34505 37808 42356 46728 51805 58608 65295 10.79 Taxi 9369 9892 10406 10672 10672 10672 10682 10682 1.77 Bus 2614 3393 4121 5070 6152 7296 8210 9311 1.54 Minibus 7460 7828 7946 8021 8098 8205 8317 8459 1.40 Truck 20342 21779 22883 24363 25193 26835 30015 34558 5.71 Auto-Rickshaw 10687 13031 13170 13400 13521 13676 14820 16182 2.67 119299 127171 140050 197350 219443 249707 41.26 13187 14487 16848 305218 326690 353470 Motor-Cycle Others Total 2006 2007 105636 115880 156334 173637 19576 22489 387434 424377 2008 2009 2010 129629 147283 166840 25039 29907 % of 2010 27.57 42132 6.96 472515 529294 605176 100.00 (Source: BRTA, 2011) Due to high populaion growth in Dhaka, transportaion demand has gradually increased, thus acceleraingthe vehicle populaion growth and changing the distribuion patern of their populaion. The growth trend of the vehicle is shown in Figure 2. The igure shows that, with the current growth rate, the number of vehicles will exceed 1.5 million by the year 2020. Source: BRTA, 2011 Figure 2. Growth trend of vehicles in Dhaka city 4. TRAFFIC EMISSION IN DHAKA CITY Aktar (2001) stats that, “Low quality fuel (including high levels of sulfur impuriies), poor land planning, weak traic management and the high levels of dirty emissions produced by many of the city’s vehicle are mainly responsible for traic polluion in Dhaka city”. The main causes of traic emission in Dhaka city are shown in Table 2. 198 Table 2. The main causes of traic emission in Dhaka city • Poor fuel quality, • Many of the vehicles ply on the road are very old, worn out, poorly maintained and oten overloaded, • Poor inspecion and maintenance, • Poor enforcement of exising laws in the MV ordinance, • Street congesion due to mixed traic, • Inadequate faciliies for manually driven tricycle rickshaws, • • • • • • • • Poor traic signaling system, Lack of pavement for street walkers, Preponderance of pre-Euro vehicles on the roads, Bus route overlapping, Unscieniic method of allocaing route permit, Lack of interdepartmental coordinaion, Poor urban transport governance. Poor traic management, Source: Air Quality Management Project, 2006 Necessary air quality monitoring data is limited in Dhaka city. Some occasional surveys by the Department of Environment (DOE) and a few private level surveys indicate that the levels of pollutants such as SPM, SO2 and airborne lead exceed the Bangladesh recommended limits (Karim, 2001). Road Transport Authority (BRTA) oicials have publicly admited that almost half of the vehicles in the capital lack itness ceriicates(LinkedBD, 2006). The density of lead in the air of Dhaka is about 463 nano grams per cubic meter, which is 10 imes more than the acceptable standard and several imes more than the Mexico City. A DoE survey shows that, on average, around 100 kg of lead, 60 tons of carbon monoxide, 16 tons of nitrogen oxide, one and a half tons sulfur dioxide, one ton of hydrocarbons and three and a half tons of other paricles are being emited by vehicles in the city every day (Lycos, 2009). Bangladesh Air Quality Management Project (2004 - 2006) sets appropriate standards for air quality in Bangladesh. In case of Dhaka city the objecives of this standard are violated by ahuge margin. The concentraion of CO, Lead, NO2, SO2 and Pariculate Maters are almost double in most areas of Dhaka and in a few places the amount is almost triple the sipulated limit. The visible evidenceof ambient air quality of Dhaka is indicaing an upward trend in gross emission in recent years. Motor vehicles are responsible for the increase of emission of both local pollutants and green house gases due to rapid growth in the number and use of motor vehicle (Azad and Kitada, 1998). Petrol-driven light duty vehicles and auto-rickshaws contribute a major porion (85%) of CO emission. Diesel buses and trucks also contribute a major porion (84%) of total NOx emission. Auto rickshaws contribute about half of total unburned HC from all vehicles. Diesel buses and trucks contribute about 45% and auto-rickshaws 40% of total PM emissions (Nasiruddin, 2006). For the high growth rate of vehicles, the trend of vehicular emissions is also rapidlyrising. Vehicular emission trends are shown in Figure 3. This shows that vehicular emissions will more than doublein the 20 years from 2000 to 2020. Source: Aktar, 2001 & Karim, 2001 Figure 3. Vehicular emission trend of Dhaka city (1985 - 2020) 199 The main pollutants of vehicular emission are SO2, CO, NOx and Pariculate maters. According to the Air Quality Management Project (2006), the concentraions of these pollutants in Dhaka city vary during the year, with sulfur dioxide peaks between November andMarch,carbon monoxide between October andFebruary, nitrogen oxide betweenOctober andApril, and pariculate mater between November andMarch in Dhaka city. So, the air quality of Dhaka is moderate during the monsoon period. However, during the non-monsoon period the air quality became very poor. 5. IMPACT ON HUMAN HEALTH Motor-vehicle traic leads to pollutant exposure for vehicle occupants, pedestrians, and occupants of nearby homes, schools, and other buildings. Diferent types of pollutants and their health efects are shown in Table 3. Table 3. Diferent pollutants and their health efects Pollutants Descripion Efects Benzene A volaile organic compound (VOC), the major consituent of petrol. It can afect the healthy development of red blood cells and prolonged exposure could also contribute to loss of bone marrow. Carbon Monoxide A very common toxic air pollutant Impairs the ability of the blood to transport oxygen around the body. It causes lack of concentraion, dizziness, headaches, nausea. Poisoning or very high exposure with it cause death. Nitrogen Dioxide Formed via combusion Irritaing to the eyes and respiratory system. Ozone A secondary pollutant formed Exposure on sunny days, when ground-level ozone is high, can by a photochemical reacion cause inlammaion of the airways and respiratory problems. Pariculate Mater Small paricles suspended in the air which are easily inhaled. Pariculates are found mainly in diesel. The smallest pariculates can lodge deep in the lungs and ind their way into the blood stream. Polynuclear Aromaic Hydrocarbons A group of organic compounds Prolonged or long-term exposure may lead to some lung cancers. Sulphur Dioxide A sharp-smelling, acidic gas Trigger asthma atacks and bronchial condiions. Lead Mixed with petroleum Exposure cause anemia, afect learning and memory and can also have an efect on the nervous system. Source: Polluion Issues, 26 October 2009 According to a World Bank report, air polluion kills 15,000 Bangladeshis and causes another 100,000 to sufer various respiratory diseases every year. Lowering polluion levels in its four largest ciies could result in savings of between US $200 million and US $ 800 million a year (0.7 to 3.0 per cent of its gross naional product) (Polluion Issues, 2009). Pregnant mothers and children are the most vulnerable vicims of air polluion. 6. EXISTING AIR QUALITY IMPROVEMENT INITIATIVES Air polluion in Dhaka is a serious concern for both quality of life and public health. Consequently development organizaions are supporing various programs to improve the city’s air quality. In July 1999, the Government of Bangladesh banned the sale of leaded gasoline in the country. Since the decision, “the lead level in air has fallen by about two thirds of the previous high level to well within the Bangladesh standard”(Ahmed, 2005). 200 In Dhaka, buses more than twenty years old and pre-2001 petrol driven three wheeler auto rickshaws have already been scrapped since March 2002 (Dhar and Rahman, 2003). Singh (2005) stats that, “An esimated 80,000 diesel-run auto rickshaws were taken of the streets of Dhaka in 2007 and replaced with vehicles that run on Compressed Natural Gas (CNG).According to the World Bank says, this hascut air polluion by nine per cent and around $25 million has beensaved in health costs”. Dhaka Urban Transport Project for transportaion infrastructure development, supported by the World Bank, focuses on enhancingtraic lowas well as reducing polluion in thecity. The World Bank’s promoted beter air quality management with training iniiaives, equipment and research studies through this project (Karim, 2001). Traic congesion and its accompanying emissions have been lessened by restricing non-motorized vehiclesto selected imes and locaions in the city, as well as through enhanced traic management measures and the development of infrastructure (such as bypasses and lyovers) to ease vehicle lows (Alam, 2007). Bangladesh Air Quality Management Project (2004-2006) wasimplemented by the Department of Environment, Ministry of Environment And Forests, Government of the People’s Republic of Bangladesh and funded by IDA World Bank. The major objecives/outputs of this project was to improve enforcement, seing appropriate standards, piloing of polluion control technologies for diesel vehicles, beter monitoring and disseminaion of informaion, overall evaluaion and evolve an eicient air quality management system for Bangladesh (Nasiruddin, 2006). 7. FUTURE AIR QUALITY IMPROVEMENT DIRECTION To have beter air polluion inventories as well as to improve the air quality of Dhaka City, future direcion of works could be outlined as: Increase the Uilizaion of Alternaive Fuel in Transportaion Sector Government should take proper iniiaives to encourage CNG/ Electricity driven vehicle in Dhaka city. Reduce Sulfur in Diesel The high sulfur composiionof diesel in the countryis unusualhigh and can reach as much as 0.5% (Karim, 2001). So, government should take measures on reining petroleum products with low sulfur. Promoion of Beter Public Transportaion Services Promoions of beter public transportaion services like Metro Rail, Bus Rapid Transit, electric vehicle and water taxis are essenial in Dhaka. The exising transportaion infrastructure in Dhaka cannot bear the current traic loads. Beter level of service of transportaion sector should be ensured by the concerned authority. Land Use Planning and Controls The urban structure of Bangladesh is very centralized. Most of the employment and faciliies are situated in central Dhaka, while the urban populaion has gradually relocated further out of the city. This has resulted in increasing traic and a shit from public to private transportaion. “For achieving a sustainable urban structure, a coninual employment and households decentralizaion process is essenial to improve the quality of environment” (Karim, 2001). Strengthening Vehicular Emission Monitoring It is necessary to strengthen vehicular emission monitoring, which is conducted by DOE. It is also necessary to strengthen research and development aciviies to control traic contribuion to air polluion. 201 Public-Private Partnership A mix of public and private paricipaion in bus services can increase eiciency and take inancial pressure of city government-so long as the public sector remains a principal provider, and also plays a strong regulatory role. But such arrangement requires careful regulaion to ensure that both proitable and unproitable routes are covered, fares are reasonable, and safety standards are enforced (Aktar, 2001). 8. CONCLUSION In Dhaka, transport faciliiesarenot only providing movement of goods and human all over the city but also causing air polluion. About 80 percent of the cars, jeeps and staion wagons of Bangladesh operatein Dhaka city. About 60 percent of the total auto-rickshaws, tempos and other small passenger vehicles are operaing in the Dhaka Metropolis, which is the main mode of transport for low-income and middle-income group (BRTA, 2011). These motor vehicles are considered to be mainly responsible for serious health hazards because of the emission of air pollutants such as pariculate mater (PM), lead (Pb), carbon monoxide (CO), sulfur oxides (SOx), and nitrogen oxides (NOX). With the current growth rate of motor vehicles, it will be impossible to live in Dhaka city in the near future. Several recommendaions are made to improve the air quality of Dhaka, among them: • Coordinaion among development partners is necessary to avoid duplicaion of approaches. • Promoion of beter public transportaion services. • Reduce sulfur content from fuel in a well planned way. • Conversion of urban traic leets to natural gas. The authority should appreciate the potenial role of private inance in transport infrastructure development. The challenge for the government of Bangladesh is to understand the transportaion as well as polluion problems which have been deterioraing urban life. The real challenge is to take immediate acion programs for controlling air polluion in Dhaka. Public awareness about air polluion is necessary to enforce standards. REFERENCES Ahmed, N. (2005). Regional technical assistance to the South Asian subregional economic cooperaion countries for regional air quality management: Bangladesh. Manila, Philippines: Asian Development Bank. Aktar, J. (2001). Traic contribuion to air Polluion: A case study of Dhaka. Unpublished Thesis, Environmental Science Discipline, Khulna University, Khulna. Alam, M., Mainuddin, K., Sharif, M. I. & Rahman, A. (2002). Technological intervenion in urban transport in Dhaka city: Global and local environmental beneit. BCAS report, Bangladesh Centre for Advanced Studies (BCAS), Dhaka, Bangladesh. Alam, M. & Rabbani, Md. G. (2007). Vulnerabiliies and responses to climate change for Dhaka. Environment and Urbanizaion,19(81), Internaional Insitute for Environment and Development (IIED), London, UK. Azad, A.K. & Kitada, K. (1998). Study on the concentraion Distribuion of SO2 and NO2 in the city of Dhaka, Bangladesh in Winter 1995-96. Atmospheric Environment, 32(11), 1991-2005. Bangladesh Bureau of Staisics [BBS]. (2008). Staisical pocket book Bangladesh (2008). Bangladesh: Author. Dhar, N. R. & Rahman, M. A. (2003). Emission Characterisics of In-Use CNG vehicles In Dhaka City. Published Paper, Internaional Conference on Mechanical Engineering (26- 28 December), Dhaka. Karim, M. M. (2001). Status of air quality and state-of-art control measures in Dhaka, Bangladesh. Published Paper, 94th Annual Conference and Exhibiion of Air and Waste ManagementAssociaion, Orlando, Florida, USA. Karim, M. M. & Mannan, M. S. (2002). Feasibility of rehabilitaing exising railway for city commuing in Dhaka Metropolitan. BEN Report, Bangladesh Environment Network, Dhaka, Bangladesh. 202 LinkedBD news. (2009). Dhaka’s deadly air killing 15000 a year. Retrieved October 26, 2009, from htp://www. linkedbd/dhaka/air.html Lycos. (2009). Air polluion: Mass Killer in Dhaka City. Retrieved October 26, 2009, from htp://www.lycos.com/ airpoll.html Krzyzanowski, M., Kuna-Dibbert, B. & Schneider, J. (2005). Health efect on transport related air polluion. WHO Library Catalogue, WHO, Denmark. Nasiruddin, M. (2006). Seing ambient air quality and vehicular emission standards: Dhaka’s experience. Final Report, Air Quality Management Project. Department of Environment, Dhaka. Polluion Issues. (2009). Efect of traic emission. Retrieved October 26, 2009, from htp://www.polluionissues. co.uk/efect-traic-emissions.html Singh, J. P. & Pannu, V. (2005). Economics of CNG vehicle program in Dhaka City. VisionRI Report, VisionRI Connexion Services Private Limited, India. The New Naion. (2009). Old vehicles causing serious environ threat to Dhaka. Retrieved October 26, 2009, from htp://www.naion.itefaq.com/issues/2009/07/29/news0222.html White, R. H., Spengler, J. D., Dilwali, K. M., Barry, B. E. & Samet, J. M. (2005). Report of workshop on traic, health, and infrastructure. Arch Environ Occup Health, 60(2), 70–76. 203 WATER SENSITIVE PLANNING, A CASE OF COASTAL KACHCHH DISTRICT, GUJARAT Nidhi Krishnan1 and Prerak Shah2 1 School of Planning and Architecture, New Delhi, India E-mail: dafynidhi@gmail.com 2 Faculty of Planning and Public Policy, CEPT University, Ahmedabad, India E-mail: ar.prerak.shah@gmail.com ABSTRACT Water is increasingly stressed due to human development and populaion growth. The over exploitaion of the resource has led to its quality degradaion. In India there are many areas which don’t have their own water source and therefore the water has been transported from hundreds of kilometres away by the means of pipeline system. The study has assessed the eiciency of such a system working in India. It has proved to be a high cost, low eiciency system. The cost recovery from such projects ranges from 5 to 40 percent. The study assess that in Kachchh, Gujarat water is supplied from the neighbouring state river Narmada. The water borrowed now serves irrigaion, domesic and industrial sectors. The study has analyzed the distribuion patern concluding the demand-supply gap which sill persists. To study the extent of scarcity of water - water stress mapping was carried out for the region, resuling in classifying stressed areas as: i) water quality stressed areas, ii) water quanity stressed areas, iii) water quality and quanity stressed areas (Todd, 2008). The paper elaborates an alternaive soluion to handle water scarcity in a region i.e. by water sensiive planning. To integrate water as a parameter to spaial planning the process chosen was to understand and assess the present natural seing of the region and then to map the criical recharge areas based on DRASTIC INDEX method. These results help in the ideniicaion of areas which are the most vulnerable to contaminaion in the aquifer. Therefore these areas can be managed for an improved water availability scenario. The paper gives land-uilisaion recommendaions in accordance to the criical area map. 1. INTRODUCTION Water is a basic necessity of life. It is an essenial element as each form of life is dependent on water for its existence. Water being 98% composite of earth only 2.5% is available for drinking. India with its rapidly growing populaion is leading to water stress country in the near future. Gujarat state is one of the most water scarce regions of the country. The state has many ports along its coast in the gulf of Kachchh including one of the largest ports in Asia i.e Mundra port. Due to this there are several industrial estates which are water intensive, raising the water demand in the region. The increasing water demand has led to borrowing of water from Narmada to serve all the three sectors, i.e. Agriculture, Domesic and Industry. 204 Natural seing of the Region Kachchh is the largest district of India, with 45,000sqkm in area. The District has a gradual slope of 4 percent. The maximum elevaion is above sea level id 427m. The region has no perennial river but 95 small rivers which have water only in monsoon ime. The coast is crenulated from one end allowing sea water inland, making the ground water saline. The geomorphology of the coastal belt is of young alluvial plains and basalt. There are majorly three types of aquifers limestone, sandstone and shale. From which shale aquifer is saline in nature in this region (Naional Insitute of Design, 2008). Due to the absence of Perennial River in the region its sole dependency is on ground water. The situaion complexity has risen over the period of ime, due to heavy amount of ground water extracion. As its proximity to the sea, it has contaminated the ground water by salinity ingress. The region faces a high variaion in its rainfall. The average 50year rainfall has been around 343mm and decadal average is 400mm but there has been a consistent increase in the rainfall from the past 5 years in the region. The highest rainfall in the last decade was 682mm. The annual evaporaion rate is 3cm/day, leading to 30% of annual loss of water. Setlement patern The region is very sparsely populated with a density of 46 persons per square kilometre. The concentraion of populaion is mostly near the coast. The major occupaion patern in the region is agriculture and animal husbandry and due to the development of ports and industries near the coast it has involved many people in the teriary sector also (Shah, 2011). Water scenario The region hydrology is very complex: the groundwater depth ranges from 5 to 60m below ground level; it is deeper in near the coast as the extracion is very high for the port services. The salinity ingress is up to 7 km inland from the coast. The ground water is highly saline in the ingress area. The quality is judged by the indicator of Total Dissolved Solids (TDS) in the water. Water is potable when the TDS ranges from 0 to 1000ppm; low saline when 1001 to 2500 ppm; medium saline when 2501 to 5000ppm; and highly saline when 5001 and above. And most of the region lies under low and medium saline (Naional Insitute of Design, 2008). The state government has tried to solve the water problem by lying water trunk lines 439 Km in length carrying 217 Mld amount of water borrowed from Narmada dam in Madhya Pradesh state. The soluion has cost Rs. 478.25 cr. for the enire project. The project was for the agriculture sector only but later a small porion was sancioned for domesic and industrial sector resuling in cuing short from domesic for to saisfy industrial demand. The energy put into maintenance, leakage control and pumping staions to carry that amount of water is massive. In the end ater so much resource uilizaion the project recovery is negligible. The water demand in the industrial sector is 45MLD and 22MCM in the domesic. The demand supply gap for the irrigaion sector is 2,249MCM for the year 2011. 2. DISCUSSION - ANALYSIS OF THE STUDY Water stress index The region is analysed for inding water stressed areas based on deined parameters i.e water availability and water demand. Quality aspect is added further to ind areas which are stressed due to degraded quality of water (Brown). There has been a lot of research done for calculaing Water Stress index i.e. a method for inding the water stressed area in a region. Water stress refers to an area under stress due to a high gap between water demand and supply. It means the areas which have low potenial to fulil the water requirement can be found with this method. Water stress index = water demand/water available Taking the water demand of domesic sector in accordance to the populaion residing at each grid and water available data from water yielding capacity of ground water in the region we get the stressed areas as below. 205 Figure 1. Map showing water stress Index for Kachchh district Figure 1 Explains the area is not water stressed. Water available factor does not include water quality aspect i.e. water available for certain use. Therefore, overlaying the water quality map over WSI map we see more than 75% of the region is water stressed. There are three types of areas in the region, areas which are only water quality stressed, areas which are only water quanity stressed and areas which are both quality and quanity stressed. Figure 2. Water stress mapping for Kachchh district All the above classiied regions need to be treated separately. Some areas are only quanity stressed but the quality of water is good, therefore recharging the ground water has a higher potenial. The next category of area which is only quality stressed i.e. areas having higher concentraion of salinity in groundwater can be used adapively (salt tolerant aciviies like animal husbandry). This way the fresh water demand shall decrease for such aciviies. The areas with both quality and quanity stress must adopt various tradiional community water harvesing techniques which store the rainwater for future use. 206 Ideniicaion of criical recharge areas The DRASTIC INDEX is a well established method for inding criical aquifer recharge areas that are the most vulnerable areas for ground water contaminaion. Criical Aquifer Recharge Areas (CARAs) in Washington are deined as the geographic areas “where an aquifer that is a source of drinking water is vulnerable to contaminaion that would afect the portability of the water” (WAC 365-190-030). Groundwater contaminaion shows that problems vary spaially and not all regions are equally vulnerable (Merchant, 1994). The most widely used method for quanifying suscepibility is the DRASTIC index (Aller et al., 1987; Merchant, 1994). This index uses the weighted average of 7 values corresponding to 7 hydro geologic parameters. These parameters and the weights assigned to them are summarized in the following table: (Assessing Ground-Water Vulnerability to contaminaion, 2002). These parameters are then used to analyse the region for indenifying sensiive zones. Table 1. DRASTIC Index Weightage Parameters Weightage Depth of ground water table 5 Recharge capacity of Aquifer 4 Aquifer material capacity 3 Soil speciic retenion 2 Topography 1 But as there are areas which have an inherent salinity problem; thus eliminaing those aquifer areas and overlaying the resultant recharge areas over the quality map will highlight areas which are highly criical as the water quality is good and thus can be used for recharge purpose. If these strategic areas can be controlled thus the region will be able to make water available in the near future. Figure 3. Criical Aquifer Recharge areas for Kachchh district The criical recharge area is 13% of Kachchh district. When calculated, the amount of water generated every year due to recharge can meet the domesic and industrial demand of the region; also by taking the average rainfall of 50 years, then 70% of the water demand can be met for the same. 207 3. CONCLUSION The agricultural sector can follow the water quality contours to develop cropping paterns accordingly i.e. salt tolerant crops with respect to the water available in each area. This will reduce the fresh water demand from Narmada supply for agricultural sector so it can sustain itself. (S.Foster, 2002)- (Salinty in ground water, 2012). Figure 4. Map showing recommended cropping w.r.t quality of water The highly tolerant crops are date palm, spinach, sugar beet, barley and rape seed, which are salt tolerant up to 5000 ppm. The medium tolerant crops are olive, onions; carrot, potato, cucumber etc which can resist salt in water up to 3500ppm. Water sensiive map & Areas for future development Figure 5. Map for water sensiive planning 208 On mapping the water sensiive areas we can derive the areas that are good for future development and the areas under threat. The areas are mapped under low, medium and high sensiive areas. The high, medium and low sensiive areas are categorised as (Mahajan, 2009): • Low sensiive areas are the areas where industrial development can take place as it would least afect the ground water. • Medium areas are the areas that can be developed with conscious setlement development. • High sensiive are the areas that have to be protected with strict bye-laws enforcement for development. Protecing such criical recharge areas can increase the ground water quality and quanity of the region, making it more self sustainable in future. A planning intervenion for water supply problems is a more economical and safe soluion which does not involve use of extra resources. Also this will beneit future development. A water sensiive land use planning in accordance to the criical recharge zone of the region can lead to a brighter future for Kachchh development. REFERENCES Brown, A. (n.d.). A review of water scarcity Indices and methodologies. Sustainability Consorium . Chuhan, Y. (2004). Coastal salinity report. Ahmedabad. Focazio, M. J., Reilly, T. E., Rupert, M. G. & Helsel, D. R. (2002). Assessing ground-water vulnerability to contaminaion: Providing scieniically defensible informaion for decision makers. United State: U.S. Geological Survey. Foster, S. R. H. (2002). Ground water quality protecion. Washington D.C: The World Bank. INDEXtb. (2008). Industries Commissionerate. Kachchh: Government of Gujarat. India Study Channel. (2012). Salinty in ground water. Retrieved May 5, 2012, from htp://www.indiastudychannel. com/resources/92757 Industrial Extension Bureau. (2011). Water sector with focus on conservaion. Government of Gujarat. Mahajan, A. (2009). Ground water management and ariicial recharge. Ahmedabad: CEPT University. Naional Insitute of Design. (2008). Gujarat jal disha. Ahmedabad. Napolitano, P. A. F. (2004). Criical Aquifer Recharge Areas. Washington D.C. Shah, A. K. (2011). Exposure of coastal populaion of climate change. Chennai: Satyabama University. Todd, D. K. (2008). Ground water hydrology (3rd ed.). New Jersy: John Willey & Sons. 209 TSUNAMI DISASTER AND RECOVERY PLAN IN KESENNUMA CITY Nobuharu Suzuki Internaional College of Arts and Sciences, Yokohama City University ABSTRACT On March 11th 2011, huge tsunamis triggered by Great East Japan Earthquake hit numerous coastal ciies and villages in Japan. The recovery schemes of these sites are sill in the planning stage, giving us opportuniies to rethink the relaionship between the urban form and tsunami. In this paper, the author introduces two cases of recovery plans in Kesennuma City, Miyagi Prefecture. One is the Group Relocaion Promoion Project for Disaster Miigaion in Osawa village, a small ishery village; the other is a construcion of sea wall as a tsunami prevenive measure in Sakana-Machi and Minami-Machi Districts, the oldest parts of Kesennuma downtown. In Osawa village, a series of workshops has been held to seek consensus between residents to relocate their village to higher land, supported by the author’s team of experts. In Sakana-Machi and Minami-Machi Districts, soluions to compromise between efecive tsunami prevenion and keeping the water front landscape were sought in an urban design compeiion. Through the analysis of two case studies, the author ideniies various issues to be solved for the rehabilitaion of the tsunami-hit areas, emphasizing the importance of residents’ involvement in the recovery process. 1. INTRODUCTION The Great East Japan Earthquake occurred on 11th March 2011, causing tremendous damage especially in the north-east part of Japan. The number of fatal vicims conirmed at present has reached 15,867, with 2,909 missing. Most of the vicims were not killed in the earthquake but in the tsunami triggered by the earthquake; the size of the tsunami on the day was far beyond esimaion. Currently many recovery projects have been going on in ciies and villages in tsunami-hit areas, and their largest concern is how to prevent tsunami as large as the one on March 11th. Kesennuma City, Miyagi Prefecture, is one of the coastal ciies in north-east Japan (Figure 1). The city’s populaion is 69,315 with 25,536 households as of 30th June 2012, and the city is famous for its rich ishery industry. However, the tsunami washed away many of the ishery faciliies as well as the houses in the city. The death toll has reached 1,026, with 383 missing, as of 30th September, 2011. So far the city developed an earthquake-recovery plan in October 2011, including relocaion of residenial areas to higher land, and currently the Group Relocaion Promoion Projects for Disaster Miigaion (hereater GRPPDM) has been discussed with residents’ involvement, supported by a team of experts led by the author. 210 In the following secions, two cases of recovery plans will be introduced; irstly GRPPDM in Osawa Village, a small village with ishery port, and secondly the sea wall construcion proposed in Sakana-machi and Minami-machi district, the oldest part in Kesennuma downtown. Through the analysis of these cases, the issues to be solved toward the recovery of the tsunami-hit areas will be discussed. Figure 1. Locaion of Kesennuma City, and the 2 cases: Osawa Village and Sakana-Machi & Minami-Machi district 2. METHODOLOGY To examine the disaster recovery process, two cases from Kesennuma City were selected. Osawa Village was selected for two reasons; irstly the village was a typical tsunami-hit coastal village, and secondly it was among the quickest communiies in establishing the Associaion to promote GRPPDM, showing their willingness for relocaion. Sakana-Machi & Minami-Machi area was selected because it was a typical inner-bay area hit by tsunami, and also a rare case in that it conducted an urban design compeiion as an atempt to solve the controversy over waterfront landscape versus sea wall construcion. By examining the process of the discussions in these two cases, it can be expected that the issues regarding the disaster recovery projects will be ideniied. 2.1 Group Relocaion Promoion Project for Disaster Miigaion: The Case of Osawa Village The tsunami hit from both south-east and north-east direcions in Osawa Village, washing away 140 of 186 houses and taking 40 lives. The village was once relocated before, ater damage by a huge tsunami in 1896 (Meiji-SanrikuTsunami), however, as the populaion increased, the village expanded to the port area. The tsunami on March 11th hit areas including the former relocaion site, Machiyashiki-District. Facing the fact that the previous relocaion project was inefecive, the residents established the Associaion for Group Relocaion Promoion Projects for Disaster Miigaion in April soon ater the tsunami to promote the village’s relocaion to higher land. The author has been acing as a leader of experts’ group including an urban planner, architects, an architectural historian, a landscape designer and students to support the Associaion since August 2011. 2.1.1 The Process of Village Relocaion The support by the experts started with small-scale pre-workshops using a 1/500 model of the village before the tsunami disaster. Looking at the model, the residents talked about three themes: the good points of the village before the tsunami; the residents’ reacion to the tsunami on March 11th; and the approach toward village recovery. Ater two pre-workshops, monthly workshops started in October 2011 to build consensus for village relocaion among residents. During the monthly workshops, residents worked on the following tasks in parallel: coordinaing opinions about the village using the three themes from the pre-workshops; choosing possible sites for village relocaion; developing purposes to be shared for village relocaion; land use policy for areas looded by tsunami; the housing layout in relocaion site and plan for Disaster Recovery Public Housing (hereater DRPH). In what follows, the process and issues on each topic will be explained. 211 Figure 2. Scenes from the workshops in Osawa Village 1) Coordinaing Opinions about the Village on Three Themes In the series of workshops, the consensus was made among the residents that they wanted to live as close as possible to the sea even though there is fear of tsunami, since the village has developed as a ishing village. It was also conirmed that the strong community ie as a ishing village was an important part of the character of the village. Since neighborhood aciviies such as fesivals has contributed to nurturing community, they set a goal to hold fesivals based on shrines and the port ater the relocaion to keep the unity of the community. As for the residents’ reacion to the tsunami, two important facts were found. Firstly the community facility designated as the irst evacuaion place by the municipality was not safe enough in the occurrence of tsunami beyond the scope of expectaion, and caused many deaths. Secondly, as the evacuaion place was not funcioning, the villagers evacuated informally to friends and acquaintances’ homes, supporing each other unil a formal evacuaion place was opened (Figure 3). This analysis on evacuaion behavior contributed to the development of the disaster prevenion and evacuaion plan. Figure 3. The routes and places where residents evacuated (shown in circles) 2) Choosing the Site for Village Relocaion It was diicult to ind appropriate sites that met residents’ will to live near the sea, since Osawa Village has few lat high lands, and also in the coastal area of the village the land use was severely controlled by the Natural Parks Act, designaing the coastal area as naional park (Sanriku Kaigan Naional Park). As for the inland area, the planned longitudinal expressway (Sanriku Jukan Dohro) as a part of the recovery plan for broader areas made it even harder. Besides that, the higher land appropriate for residenial areas was designated by the government as a special area that possibly has middle age relics underground, which require archaeological research. This became another factor hindering the site selecion. 212 Considering the above factors, the possible sites for village relocaion were narrowed down to four places. Among them only one locaion could accommodate the village as a whole, however the ishermen opposed moving to the site since it was far from the sea; inally the residents decided to divide them into two groups, moving to two diferent sites. This decision of relocaion to two places made the negoiaion with the municipality diicult, since usually the GRPPDM premises only one site to save costs. 3) Goals Shared for Village Relocaion Through the series of workshops, the following ive goals in the future vision of the village were developed: 1. Recovery of community ie: village relocaion as a whole, creaing communicaion opportuniies between residents 2. Building a disaster resilient village: keeping the memory of March 11th, preparing for possible disasters 3. Creaing landscape with Osawa’s idenity: integraing new landscape into the exising Karakuwa landscape of sea and mountains 4. Building an environment-friendly village: uilizing renewable energy to build a sustainable village 5. Building the village for the future: not only relocaing to higher land, but also securing workplaces for the next generaion to stay in the village with hopes for the future. The background of these ive goals was to share visions among the residents, making it possible for them to remain opimisic about the future and to prevent populaion ouflow. The big concern was employment; since aging with low birth rates has been occurring, it might become a marginal village in the future even though the village relocaion succeeded. Therefore securing workplaces for young people to stay in the village was important. 4) Land Use Policy in Tsunami Flooded Areas The GRPPDM promotes relocaion from the tsunami looded area (disaster hazardous area) by limiing the housing construcion within the area. While no house can be built in the disaster hazardous area, other buildings can be constructed. Therefore the land use plan for the tsunami looded area was developed for non-residenial use (see plate 4). So the main purposes of the land use plan became to secure workplaces, and to provide the survivors with parial funds to reconstruct their houses by the municipality buying up a part of land in the village. Figure 4. The drat plan of the land use in tsunami looded area. 5) The Housing Layout in the Relocaion Site and Plan for Disaster Recovery Public Housing The plan for housing layout in the relocaion site and plan for DRPH are sill in the development process. So far several proposals are shown in model forms by the author’s team to relect residents’ opinions. The largest problem was the layout of DRPH; the municipality will provide DRPH for residents who cannot reconstruct houses by themselves. Considering the cost and property management in the future, Kesennuma City planned to construct DRPH in a single site, gathering residents from several districts. However, for the Osawa villagers, who aimed at 213 relocaion in a community unit, it was an unacceptable proposal that people who cannot reconstruct houses by themselves, including single elderly people, will be separated from the community. Therefore they negoiated repeatedly with the City to construct DRPH in the Osawa Village. As a result of tough negoiaion, the municipality inally decided to build DRPH neighboring one of the two relocaion sites. This policy is relected in the current plan to integrate DRPH and self-reconstructed houses. In this plan, several ideas were obtained through discussions with residents, such as: creaing park on the border between the GRPPDM areas and DRPH area with community faciliies, and construcing DRPH for the single elderly residents as cooperaive dwellings in a tenement style, accommodaing the possibility to convert the dwellings into day care faciliies for the elderly in the future. 2.1.2 The Issues Regarding GRPPDM Through the series of the workshops in Osawa Village, it was found that the GRPPDM in Kesennuma City has three issues: the slow decision making process and lack of manpower in the municipality; lack of coordinaion between several projects; and the lack of framework to relect residents’ opinions into recovery process. 1) The Slow Decision Making Process and Lack of Manpower in the Municipality At irst, the GRPPDM was planned to be inanced by the naional government for 3/4, and the remaining 1/4 by the municipality. Since Kesennuma City lacked the inancial resources, it did not consider developing the GRPPDM unil the naional government abolished its fund limitaion. The municipality started planning the GRPPDM in October, over six months ater the disaster. This delay in decision making necessitated a short ime for consensus building, as the GRPPDM needs one year for survey and design for execuion, and a few years for housing land development. Due to the lack of manpower, Kesennuma City at irst tried to develop the plan for GRPPDM with the help of consultants hired by the naional government and municipality; however there were more than 30 candidate communiies to be relocated, making it impossible to build consensus in all the communiies in short ime. To solve this situaion, the author’s team started to support the development of the plan and consensus building as a third party (see Figure 5). Figure 5. Change in framework of consensus building for GRPPDM plan. 2) Lack of Coordinaion between Several Projects Not only the GRPPDM, but also several other projects such as the recovery of ports, rivers, construcions of sea walls, and recovery of naional routes are planned separately by the naion, the Prefecture, and the City. These infrastructure projects are not independent of each other and should be planned in an integrated manner, but no coordinaion efort has been made so far. 3) The Lack of Framework to Relect Residents’ Opinions into Recovery Process It is essenial to relect residents’ opinions in the recovery process at the district level. In usual community development processes, residents’ associaions based in each community unit are acing as intermediate organizaions to represent the residents and discuss with the municipality; however, ater the tsunami disaster, many residents’ associaions are not funcioning. Since residents are living in diferent temporary housing far from 214 their original areas, it is diicult to organize the residents to share their opinions. Although the need is very clear to hold workshops or other opportuniies to gather residents to hear their opinions and relect them in the recovery process, the municipality has not yet considered a new system. In the current situaion, the residents must reconstruct or establish their organizaion like Osawa Village if they want to do so. 2.2 Recovery Project in Inner Bay Area in Kesennuma City: The Case of Sakana-Machi and Minami-Machi District In the inner bay area in Kesennuma City, called Sakana-Machi and Minami-Machi, there are two huge concerns in addiion to damage caused by tsunami; dysfuncion of sewage due to ground subsidence of approximately 1m and the increased risk of idal wave, which requires raising the ground by 1 m. Regarding this problem the Miyagi Prefecture proposed sea wall of 6m above sea level, 4.2 m when seen from land. The residents have strongly opposed this proposal because it devastates the view to the sea, damages the town’s idenity as a port town, and the necessity of the sea as a tourism resources; however, the consensus building has not yet been promoted, causing the delay in policy development for the recovery project. This sea wall proposed by the Prefecture is to be constructed to prevent tsunami with a 1-in-100 year risk, which is not enough to prevent a Level 2 tsunami, as was the case for March 11th. The Prefecture’s plan was following the naional government’s basic policy to “prevent disaster for Level 1 tsunami”, and “miigate the damage caused by Level 2 tsunami” (see table 1). 2.2.1 Urban Design Compeiion for Alternaive Sea wall To seek a soluion for efecive prevenion while at the same ime fulilling residents’ needs, an urban design compeiion for disaster recovery was held and the author’s team’s proposal won the Remarkable Idea Prize (Figure 6). The author’s team proposed to construct a movable lap-gate style sea wall in the sea as an alternaive to a sea wall on the land. In this proposal, a simulaion was conducted for a Level 2 tsunami, which showed that the movable sea wall could reduce the maximum inundaion depth by 1.8m compared to the sea wall on the land. In the case of a Level 2 tsunami the sea wall on the land made the inundaion depth 4.2 m, which is the same height as the sea wall, while the movable sea wall in the sea made it 2.4 m. Figure 6. Proposals by the Prefecture (let) and by the authors’ team (right) 2.2.2 Comparing Efects of Proposed Sea Walls In the urban design compeiion, Kesennuma City did not allow people to live in the same loor level as the loodwater depth in case of a Level 2 tsunami; however, in the case of the Prefecture’s sea wall plan, it is clear that people cannot live at the second loor level. On the other hand, the movable sea wall allows people to live on the second loor. In this area there have been many shophouses with shops in the ground loor and houses in the second loor since long before the tsunami, so the plan to construct the sea wall on the land makes it hard for the residents to reconstruct their houses. However this potenial problem has not been explained enough to the residents, which indicates the diiculty of implemening measures against tsunami. 215 Table 1. The Naional Policy for Tsunami Prevenion Level 1 Tsunami Protecion from Tsunami Level - Secure people’s lives and assets by shore protecion faciliies against tsunami with a 1-in-20 to 1-in-130 year risk. - Apply the “protecion from tsunami” level (Level 1 tsunami) to design shore protecion faciliies. Level 2 Tsunami Damage Miigaion from Tsunami Level - Take the utmost measures necessary to protect lives against tsunami over Level 1 (once in 1,000 years) exceeding the protecion capacity of construcion The concern is how to interpret the “utmost measures” shown in the naional policy, which can make a huge diference in the approach of the recovery project. Another problem is the management authority; the sea wall is managed by the Prefecture, so the City is not authorized to change the plan but only to request it. On the other hand, the consensus building among residents is sill ongoing and the sea wall issues coninue to be discussed. 3. DISCUSSION As shown in the cases of Osawa Village and the inner bay area, it is clear that how to relect residents’ opinions in the recovery process is a big issue. For the GRPPDM, the experts’ team has been working on how to ill this gap. And for the sea wall construcion in the inner bay area, informaion disclosure including the actual efect of construcion is essenial. The insuicient coordinaion between the naional government, Prefecture and the City in the recovery process has been pointed out. The lack of coordinaion between Prefecture and the City can be a huge problem, especially in the sea wall construcion plan; this plan needs considering with the town center recovery so the discussion between Prefecture and the City is key to promoing the recovery plan. To go beyond this secionalism, the opportuniies for discussion toward the plan development will be highly necessary. 4. CONCLUSION Through the ield aciviies and discussions in Osawa Village and inner bay area, the following issues were ideniied. a) The need for the framework to relect residents’ opinions in the recovery process b) The need for suicient informaion disclosure to promote consensus building and relect residents’ opinions in the recovery plan c) The need for coordinaion to integrate projects and plans now separately promoted by naional government, Prefecture, and the City. More than a year has passed since the devastaing earthquake and if the reestablishment of daily life is delayed, there is a fear of ouflow of industry and populaion. A speedy recovery process is required, tackling the various issues discussed above. REFERENCES City of Kesennuma. (2011). The earthquake recovery plan for city of Kesennuma: Living with the sea. October. (Japanese) Naional Police Agency Disaster Security Headquarters. Public relaions material on damage situaion and measures by the police related to the north east area paciic earthquake. released on July 11th, 2012. (Japanese) 216 VEHICLE PLANNING PROGRAM (2VEHICLE ARE BETTER): ALTERNATIVE SOLUTIONA TO REDUCE AIR POLLUTION (CO) IN URBAN AREA Nur Aika1, Noviaji Joko Priono2 and Ida Ayu Indira Dwika Lestari3 Student of Environmental Health, Universitas Indonesia,Indonesia 2 Student of Environmental Health, Universitas Indonesia, 3 Student of Occupaional Health and Safety, Universitas Indonesia, Indonesia 1 ABSTRACT Background: Air polluion is increasing with the rising number of motor vehicles. Transport in big ciies is the largest source of air polluion, where 70% of urban air polluion is caused by motor vehicle acivity. Carbon monoxide (CO), which is exhaled by motor vehicles, is very harmful to the environment. Objecive: Therefore, government should create a proper policy that can minimize air polluion problems in urban areas, such as the new concept that we recommend in this paper, “Vehicle Planning Program (2 Vehicle are Beter)”. Method: By using methods / literature review, we compare this concept with the Netherlands. Result: Many people in the Netherlands use their bike or even walk. They choose to use public transport, bicycle or walk when traveling. Private cars are rarely seen passing by on the highway. Crowds can be found in the train staion or bus terminal because they prefer to use public transport to travel. The small number of private vehicles operaing in the Netherlands explains the lack of air polluion there. Vehicle Planning Program (2Vehicle are Beter) is a new and innovaive idea adopted from the family planning program (a program controlling the populaion explosion), modiied by the authors for vehicles to reduce CO. In this program, the government gives a maximum limit of 2 vehicles for each family. Conclusion: It is expected that the Vehicle Planning Program can decrease urban people’s reliance on private motor vehicles, thereby also reducing the amount of CO released by motor vehicles in urban areas. KEYWORDS: 2Vehicle are beter, Air polluion, Carbon monoxide 217 LOW-CARBON CITIES IN JAPAN: SEARCHING FOR LOCAL ENERGY SOLUTIONS AND QUALITY OF LIFE IN THE SHADOW OF A NUCLEAR CRISIS Yuka Hayakawa and Hidefumi Imura Yokohama City University ABSTRACT Climate change countermeasures are considered as a top priority on Japan’s naional environmental policy agenda, and the formaion of low-carbon ciies is a primary theme for environmental urban planning. Many ciies in Japan are undertaking iniiaives aiming to create ciies with high environmental performance. However, the Great East Japan Earthquake, which caused the triple disasters of an earthquake, tsunami, and nuclear accident in 11 March, 2011, cast a large shadow on the iniiaives towards low-carbon ciies. This paper examines public awareness and aitude regarding nuclear safety and future energy scenarios in Japan by reviewing public opinion surveys concluded recently. Then, it discusses a new direcion to create low-carbon ciies in view of interacions among energy, economy and environment in Japan. 1. INTRODUCTION The Great East Japan Earthquake brought to light the importance of local energy management not only for the creaion of low-carbon ciies and a green economy, but also for post-disaster recovery, which will require a stable energy supply together with new thinking on the building of disaster-resilient ciies. The consequence of the failure in the Fukushima nuclear power plant has caused a dilemma between energy needs and concerns about nuclear power across the Japanese society. For energy aspect, the accident provided people with greater concerns about the high risk of nuclear power plants. Faced with radiaion contaminaion, people are more concerned about safety than cost in energy generaion. On the other hand, there are concerns about economic impacts due to a shortage of electricity supply as a result of the stoppage of nuclear power plants. In fact, from July to September 2011, the government issued restricions on electricity usage for commercial-scale uility customers, and many corporaions and factories were forced to take acions that led to a reducion in producivity. Today, Japan must fundamentally reconsider the naional economic, energy and environmental policies. Meanwhile, Japanese public opinion is dramaically split on the topic of nuclear safety. As an environmental impact of the accident, naional green house gas (GHG) emissions may increase due to deacivaion of nuclear power plants. Since Japan agreed upon the GHG emission reducion target under Kyoto Protocol, the Japanese government formulated the plan and promoted measures to achieve the target. However, the previous naional reducion plan was based upon the premise that the use of nuclear power would be stable or even increase. 218 Yet under these circumstances, the desire to create low-carbon ciies remains unchanged. Japanese society is approaching a mature phase. The Japanese economy is staring to lose the dynamism and vigour that it had during its period of rapid economic growth, but people are generally saisied with the quality of life. Moreover, the raio of elderly people in the total populaion is rising, and people seem to demand safety and security today rather than conspicuous aluence. The public is aware that the choice is not between economy and environment, but that it is possible for both to have a favourable impact on each other in a posiive cycle, and the public gives broad support to iniiaives for low-carbon ciies. 2. THE HALT OF NUCLEAR POWER PLANTS AND THE NATIONAL ENERGY POLICY The disaster that occurred in eastern Japan on 11 March, 2011, involved an earthquake, tsunami, and an accident at a nuclear power plant, causing tremendous damage in a wide area along the coast. In total, 15,866 persons lost their lives and 2,946 persons are missing, and many homes, buildings, and workplaces were also collapsed (Naional Police Agency, 2012 (10)). The economic and social impacts were profound. The Tokyo Electric Power Company (TEPCO) that caused the accident to the nuclear power plant supplies electricity to the Kanto region, which is central to the Japanese economy, and covers the metropolitan area around Tokyo holding 42 million people. Immediately ater the disaster, the enire Kanto region was plunged into a severe power shortage. Factories and oices had no choice but to restrict their business aciviies. Households also had to endure scheduled power outages in order to prevent unexpected blackout cause of electric shortage. The Great East Japan Earthquake afected Japanese naional policy in terms of its vision for a low-carbon society. Before the disaster, the Japanese government described the vision with 3 pillars: economic growth, stable energy supply and decarbonisaion. It was based on an energy mix of fossil fuels, nuclear power, and renewable energy. However, people have huge concerns about the security of nuclear power plants as a result of the accident at Fukushima nuclear power plant, and have quesioned whether nuclear power generaion should be the primary energy resource in Japan. It can be said that it is the dilemma between energy needs and the fear of nuclear power. The quesion of how to secure a stable supply of electricity, and what should be the future mix of electricity sources, are criical for the naional energy, economy and environment policy. They have an enormous bearing on environmental policy. Japan has studiously prepared and implemented measures to achieve the naional emission reducion targets for GHG, as agreed under the Kyoto Protocol. It was developing a plan to achieve the medium-term naional target of a 25% reducion in total GHG emissions by the year 2020, and was preparing a road map to that end. The scenario, however, was premised upon greater dependency on nuclear power, as indicated in the naional energy supply and demand forecast (see Table 1). Today, the assumpions underpinning that scenario have collapsed, making it extremely diicult to make future forecasts of GHG emissions. Table 1 shows Japan’s long term energy demand and supply prospect, announced August 2009. It consists of new energy, geothermal, hydroelectric, nuclear, natural gas, coal, liqueied petroleum gas (LPG) and oil. As seen in Table 1, Japanese energy plan was highly dependent on nuclear power generaion. It can be seen that nuclear power was planned to be increased gradually, and expected to be one of the primary energy resource by 2030. Along with this naional strategy, government esimated CO2 emission reducion in line with the targets of the Kyoto Protocol. However, ater the disaster and nuclear power plant accident in Fukushima, there has been discussion across Japan about the use of nuclear power as the country’s primary energy resource. This has implicaions for stable energy supply and low-carbonisaion. 219 Table 1. Forecast of Primary Energy Supply in Japan Up Unil 2030. 2030 2020 Total Amount (Million tons of Crude Oil Equivalent) Oil Breakdown by Source (%) 1990 2005 508 52 BAU* Case A** Case B*** BAU* Case A** Case B*** 588 627 596 553 637 590 515 43 36 36 34 35 35 33 LPG 4 3 3 5 3 3 3 3 Coal 17 21 20 20 19 21 20 18 Natural Gas 11 15 18 17 16 18 16 14 Nuclear 10 12 16 17 18 17 18 21 Hydropower 4 3 3 3 3 3 3 4 Geothermal 0 0 0 0 0 0 0 0 Other New Energy 3 3 3 4 5 5 5 7 * BAU: Business as Usual Case ** Case A assumes that the current level of energy saving efort will be coninued. ***Case B assumes that the maximum level of energy saving efort will be implemented. Source: The Energy Data and Modelling Center, “EDMC Handbook of Energy & Economic Staisics in Japan 2012”, 2012 (11). Unil now, iniiaives about low-carbon ciies were based upon the major premise of a comprehensive naional energy strategy decided by the central government, supported by industry, and an electrical supply system premised upon nuclear dependence. Japan’s electricity supply system is operated by nine power uiliies that enjoy regional monopolies. Problems with the convenional electricity supply system designed with the highest priority on stability of supply were oten pointed out in the past, but in the face of the enormous inluence of the government and power uiliies, quesions and criicisms were drowned out. The power uiliies have been unenthusiasic about the Renewable Porfolio Standard (RPS) system, by which power uiliies are required to purchase renewable energy such as solar, wind, and geothermal power. Although the system has been in efect since 2003, the purchase prices have been kept low based on the power uiliies’ asserion that the supply capacity is variable and unstable. The recent disaster, however, has created the opportunity to re-examine these longstanding issues. A shit is being considered from this RPS system to a ‘feed-in tarif’ system, under which power uiliies are expected to purchase electricity at a price ixed by the government. Higher prices of purchase will provide a larger incenive to develop renewable energy power. Japanese government launched a ‘feed-in tarif’ system in July 2012 to encourage new enterprises to get into the new market of renewable energy, and to provide consumers with alternaive choices of energy supply. Also, the Ministry of Economy, Trade and Industry of Japan (METI) recently announced the policy to consolidate separate system of electrical power producion from power distribuion and transmission from 2014 for ‘electric liberalizaion’ by promoing various companies generaing electric power by renewable energy resources. This trend has led to a drasic change in Japanese energy policy and understanding of sustainable development. 3. CHANGING AWARENESS AND ATTITUDE OF CITIZEN Since the disaster in March 2011, ciizens’ aspects and behaviour towards low-carbon ciies have been drasically changed. Especially, local concerns and opposiion are very strong regarding any plans to restart nuclear power plants that were halted for regular inspecions. As of 5 May, 2012, all nuclear power plants naionwide were unable to restart operaions, even those where regular inspecions have been completed. In regards to restart of nuclear power plants, there has been numbers of discussions. Asahi Shimbun’s public opinion survey by telephone held on 14 and 15 April (4) showed that only 28% of respondents supported the central 220 government, but 55% opposed the government’s statement. However, the public opinion survey by Sankei Shimbun and Fuji News Network on 19 and 20 May 2012 (8) indicates 51.5% of respondents considered that it is appropriate to restart only the power plants inspected and secured safely in case of electric shortage, with 43.6 % opposed. Naional energy strategy and policy also needs to be re-examined fundamentally. There was another survey, which asked respondents paricipaing in discussions about energy mix in 2030 to analyse their consciousness changes before and ater the discussion (see Figure 1). Figure 1 shows that almost half of ciizens require a 0% nuclear usage scenario. In addiion, a naionwide public opinion survey by Kyodo News Service-ailiated group on 11 and 12 June, 2012 (9) showed the result that 82% of respondents insist on abandoning all exising nuclear power plants in Japan immediately, deacivaing them gradually beginning with the ones under regular inspecions or decommissioning them depending on the situaion of electricity demand and supply, while only 14% approved to keep all exising plants. As above, opinion of nuclear energy power plants is split among ciizens and even experts. (Source: Asahi Shimbun Public Opinion Survey, 23 August 2012 (6)) Figure 1. Result of Public Opinion Survey about Nuclear Energy of 2012. <Survey procedure> Firstly, telephone survey to people above 20 years old was conducted and 6849 people answered in July 2012. Then, 285 persons out of all respondents paricipated in the discussion on 4 and 5 August 2012. In this survey, government provided three opions of energy mix with thermal, renewal and nuclear, and these three opions* are based on how much depends on nuclear power generaion in 2030 (0%, 15%, 20-25%). *Three Opions for Energy Mix in 2030 (1) 0% Nuclear (2) 15% Nuclear (3) 20-25% Nuclear 221 Since people experienced criical electricity shortages, awareness raising and behaviour change for saving electricity has been enhanced throughout Japan. In summer 2011 and 2012, people were required to limit electric usage and local government called for acions and praciced campaigns for saving electricity. It can be regarded as an opportunity to raise people’s awareness and change behaviour for saving energy not transiently but coninuously. 4. NEW DIRECTION OF LOW-CARBON CITIES: “FUTURECITY” INITIATIVE In addiion to the above menioned impact of the disaster, it is important to consider the trend of super-aging which a number of ciies face for the new direcion of low-carbon ciies. Government announced “FutureCity” Iniiaive which is one of the 21 Naional Strategic Projects of “New Growth Strategy” on 18 July 2010. It aims to tackle issues regarding environment and super-aging socieies. As seen in Figure 2, while all ages tend to decrease, only the number of people over 65 years old will increase unil 2040. (Source: The Naional Insitute of Populaion and Social Security Research, 30 March 2012 (12)) Figure 2. Japan’s Populaion: 1884–2060. Furthermore, one thing that people noice when watching the local news coverage of disaster-afected areas in eastern Japan is the large proporion of elderly persons. Many of the young move to the city, leaving the elderly behind. Because the populaion is declining, there are fewer local physicians, making it necessary for people to travel long distances to the city for medical services. Those situaions suggest what the future may be like for Japanese society as a whole. In this respect, large ciies like Yokohama are no excepion, with a rising raio of elderly persons in the suburban residenial populaion. In the Tokyo metropolitan area, only elderly persons now live in suburban apartment complexes like Tama New Town, which was constructed during the naion’s ime of rapid economic growth in the 1960s. What is needed to create low-carbon ciies is not only the spread of what are called smart houses and eco-houses with low energy consumpion, but the combinaion of various new ideas, system and technology for urban development, such as improvements in transportaion systems, including buses designed with the convenience of elderly passengers in mind, and an enhancement of nursing care and health services that capitalise on informaion and communicaion technologies to protect solitary elderly persons living alone. 222 Based on compelling observaions such as these, the Cabinet Secretariat of Japan launched the ‘“FutureCity” Iniiaive’ project. Later, in response to the 2011 disaster, this iniiaive came to be seen as an essenial concept for the recovery of the disaster-afected areas. In 2011, planning projects under the Cabinet Secretariat’s budget were started in 11 ciies and towns, of which six had been damaged by the disaster. In those places, while preparing for earthquakes and tsunamis that may recur someday and at the same ime efecively uilising untapped local renewable energy, discussions have begun for city planning that can also contribute to measures to address climate change. It is expected that they will incorporate fresh concepts that are diferent from convenional iniiaives in disaster-afected areas, but discussions have just begun. Table 2 shows a list of these iniiaives. From the cases of this project, various models can be recognised as sustainable low-carbon ciies. There are some common concepts between each project, as follows: 1) response to the new economic, social and technological trends such as recovery and reconstrucion ater the great disaster, and economic revitalisaion by green growth or green innovaion. 2) community-based collaboraion for establishment of CO2 reducion system by including local stakeholders. 3) developing and uilising local resources such as renewable energy resource and human resource including elderly people. 4) strong local iniiaives for energy generaion and management within the region. Those aspects can be considered as trends of post-disaster development and the new direcion of low-carbon cities. If every local government designed their own regional plan by deining locally agreed targets such as low birth rate and longevity, waste management and so on, and using local resources, the whole of Japan would transit to a sustainable society. For transiion to low-carbon ciies, decentralisaion and dynamic social reforms are required. Table 2. Overview of Selected projects for the Future City Iniiaive. Core Concept Descripion and Features Shimokawa Town Forest Future City with people shining • To consolidate a local community where the children, the elderly, and disabled people have a comfortable life with mutual support and cooperaion, and where they can learn from the forest and enjoy their lives in good health, supply fuel to outside areas, and be fully self-suicient by employing renewable sources centered on the forest biomass by creaing an independent forest industry that can make the best proit of their abundant forest resources as a model of a “Forest Future City.” • To deploy sales of poliical measures and business packages from the “Forest Future City” to smaller rural municipaliies in other Asian countries. Kashiwa City Kashiwanoha Campus City Project “Autonomous urban management with partnership among public, private and academia” • The applicaion of upgrading the regional energy management system and an approach for a smart-city plan uilizing the Intelligent Transportaion System (ITS) in an efort to aim for a healthy long life society, which enables people to have an independent and healthy life and to contribute to society even later in life by hiring reired people as health supporters and for the support of ventures with the Industrial Innovaion Town Project by establishing and uilizing a Gap Fund that ills the gap between the university’s foundaion study and business. Yokohama City OPEN YOKOHAMA • Focused on the civil power of the city’s populaion of 3,692,000 and the “Creaive port city historical background of the opening of the port, as well as the accumulated where people, knowledge about the environment, energy assigned as next-generaion things and events energy, social system demonstraion by those environmental model ciies, connect and and the Ministry of Economy, Trade and Industry (METI). develop” 223 Toyama City Construcion of • Focused on LRT as a compact city centering on public transportaion. Toyama style urban • The promoion of shiting from automobile to public transportaion/walking/ management bicycles, marine/forest biomass with eicient use of local character, and the with compact city uilizaion of renewable energy such as small hydroelectric electric energy. strategy “Towards • To promote culivaion of a pharmaceuical producion system that will sustainable and uilize biotechnology and the tradiion and technology of oriental medivalue creaing city cine and medical drugs along with the creaion of a universal design for illed with social public transportaion. capital” Kitakyushu City Environmental Future City • Based on smart community businesses and network industries that connect people’s lives. • To promote the importance and the use of the collaboraion of ciizen, company and the government and the connecions in the local area. * City of Kesen Regional Ofunato, FutureCity City of Rikuzentakata, Sumita Town • Model for small ciies and Tohoku region’s restoraion model to support the recovery of the disaster-afected area by the Great Eastern Japan Earthquake as a future disaster-prevening city. • The installaion of mega-solar power plants with the world’s irst regionally distributed storage batery system; consolidaion of a compact city in two ciies; and a town that consists of residenial houses, medical insituions, commerce faciliies, and communal faciliies on higher ground; and the compact ciies also aims to be well-connected to each other by transportaions, such as EV buses, to promote regional development based on polycentric ideas. * City of Kamaishi Kamaishi Future City Iniiaive • The implementaion of the Kamaishi Recycling Society with a low-carbon (LC) system, energy saving, and natural resource saving • onstrucion of the Kamaishi Industrial Welfare Society through the coaliion of health, medical care, welfare, and nursing care based on the life support center. * City of Iwanuma Reconstrucion with Love and Hope • A collecive relocaion from the largely afected coastal areas to the ecological compact city in the east area. • To make a shit to a smart grid plan based on the mega-solar business and to create harmony with nature by creaing the Hill of Thousand-Year Hope using rubble from the disaster. • Health management and cooperaion by medical organizaions using the medical cloud and research in a high medical technology/consolidaing development center will be implemented. * City of Higashimatsushima Reconstrucion from the Great East Japan Earthquake • The construcion of independently distributed recyclable energy, which focuses on biomass and solar power; buildings with less carbon; and familiarizaion of the EV. • Promoions of housing with health care services uilizing the CASBEE health checklist, support using a mulimedia terminal, and promoions of medical services are listed as special features. * City of Recycle City Minamisoma connecing to the next generaion 224 • To create countermeasures to the changes in populaion composiion, radioacive damage from the disaster, and the decrease in agricultural workers. • The key is “circulaion” and aims for three kinds of “cycling”: energy recycling by shiting to smart-grid based energy consumpion and large implementaion of a recycling energy system, generaion cycling by making the use of special features of apartment complexes and achieving co-housing of several generaions in the same community regarding the collecive relocaion of the disaster-afected area, and regional industry cycling with independent processing/distribuion routes centered on the primary industry. * Shinchi Town Town where you can see the future and hope of environment and life • To revise the connecions between people and local energy producion in the wake of the Great Eastern Japan Earthquake. • To be a town loved by people even ater the disaster by implemening projects to promote broad-scale solar power generaion along the disaster-afected coastal areas, local energy producion/consumpion using thermal power plants and the prefectural forest, enlargement of the power generaing business, construcion of a public transportaion infrastructure, informaion and telecommunicaion infrastructure using ICT for hardware consolidaion, and efecive use of the local community as the sotware infrastructure. *disaster-afected areas. (Source: Cabinet Secretariat, Government of Japan, “Projects of each FutureCiies, ‘FutureCity’ Iniiaive”, 2012 (7)) 5. CONCLUSION Since the Great East Japan Earthquake, Japanese energy and environmental policy has been in disarray. Even before the damage caused by the disaster, urban planning concepts in Japan have been in the midst of dramaic change, in response to a declining populaion, fewer children, and an aging society. There, it is essenial to promote integrated policies for the local economy, employment, health, and welfare. The “FutureCity” Iniiaive is one response to this situaion in Japan, and a few decades from now, other ciies in Asia may be confroning the same issues. The iniiaive implies some key points for transiion to low-carbon ciies; technological development, insituional reform and inancial mechanisms. From an aspect of technology, development of green technology and operaion system should be introduced. For actual operaion, insituional reform of electric power industry by adoping measures such as feed-in tarifs is necessary. Also, sustainable business models need to be invented for coninuous growth and improvement of people’s quality of life. Last but not least, the most essenial aspect is making people’s mind and behaviour more sustainable. This is a key factor for success of sustainable low-carbon ciies with appropriate social and economic systems, including business models and inancial mechanisms. If people as responsible consumers do not accept a new business model, it means that the new social or business system is not sustainable. It all depends on ciizens whether or not they are accepted. Therefore, awareness raising of new concepts of sustainable development needs to be done through some ways such as educaion for sustainable consumpion, environmental educaion or educaion for sustainable development at schools or communiies. REFERENCES 1 Hidefumi Imura and Miranda Schreurs (Eds.). (2005). “Environmental Policy in Japan”, pp.1-424, Edward Elgar 2 Hidefumi Imura. (2010). ‘Eco-Ciies: Re-Examining Concepts and Approaches’ in “Toward Liveable and Sustainable Urban Environment, Eco-Ciies in East” (eds. Lye Liang Fook and Chen Gang), pp.19-46, World Scieniic Publishing., Co. 3 Hidefumi Imura. (2012). ‘The Evoluion of Environmental Policy’ in “Economic and Policy Lessons from Japan to Developing Countries” (eds. Toshihisa Toyoda, Jun Nishikawa and Hiroshi Kan Sato), pp.217-235, Palgrave 225 4 Asahi Shimbun Public Opinion Survey on 14-15 April, 2012 (16 April, 2012). htp://www.asahi.com/naional/ update/0415/TKY201204150369.html?ref=reca (Accessed on 11 July, 2012) 5 Asahi Shimbun, Public Opinion Survey in July and August (23 August, 2012). htp://www.asahi.com/poliics/intro/ TKY201208220872.html?id1=2&id2=cabcaicd (Accessed on 22 September, 2012) 6 Asahi Shimbun, Naional Public Opinion Survey on July, 4 and 5 August, 2012 (23 August, 2012), htp://www.asahi. com/poliics/intro/TKY201208220872.html?id1=2&id2=cabcaicd, (Accessed on 19 September, 2012) 7 Cabinet Secretariat, Government of Japan, “Projects of each FutureCiies, ‘FutureCity’ Iniiaive”, htp://futurecity. rro.go.jp/en/torikumi/ (Accessed on 27 December, 2012) 8 Sankei Shimbun and Fuji News Network, Public Opinion Survey on 19 and 20 May 2012 (21 May, 2012), htp:// sankei.jp.msn.com/poliics/news/120521/st12052111540002-n1.htm (Accessed on 11 July, 2012) 9 Kyodo News Service-ailiated group on 11-12 June, 2012 (19 June, 2012), htp://www.asyura2.com/11/genpatu13/ msg/120.html (Accessed on 11 July, 2012) 10 Naional Police Agency (4 July, 2012). htp://www.npa.go.jp/archive/keibi/biki/higaijokyo.pdf (Accessed on 12 July, 2012) 11 The Energy Data and Modelling Center, “EDMC Handbook of Energy & Economic Staisics in Japan 2012”, 2012. 12 The Naional Insitute of Populaion and Social Security Research (30 March, 2012 ), “Esimaion of Future Populaion in Japan” as of January 2012, htp://www.ipss.go.jp/syoushika/tohkei/newest04/hh2401.asp (Accessed on 22 September, 2012) 226 URBAN STUDIES WHAT HAPPENED TO URBAN RENEWAL IN HONG KONG? - A ‘SOCIAL PRACTICE’ ANALYSIS AFM Ashraful Alam and Momtaj Bintay Khalil RESIDENTIAL MOBILITY AS A CHALLENGE TO SUSTAINABLE URBAN SETTLEMENTS IN SURABAYA CITY Alen Mitahul and Dian Rahmawai NOWHERE TO REMEMBER THE CITY BY: THREATS TO THE SUSTAINABILITY OF SOCIAL MEMORY IN HONG KONG’S URBAN SPACE Anthony H.F. LI POLITICAL USE OF PUBLIC OPEN SPACE IN A PARTICIPATORY SLUM UPGRADING PROJECT IN BANGKOK Boonanan Natakun FINDING POTENTIAL FOR SUSTAINABILITY IN A “H.I.P.” URBAN ENCLAVE: THE CASE OF NIMMANHAEMIN AREA, CHIANG MAI, THAILAND Komson Teeraparbwong READING MULTICULTURAL SPACE: SENSE OF TERRITORY, PUBLIC IDENTITY, AND CENTEREDNESS Moohan Kim THE HIDDEN NEIGHBORHOOD IN YAOWARAT: HOW SOCIAL MOBILIZATION PROCESS EVOKES THE PLACE IDENTITY Natawut Usavagovitwong CHIANG MAI: TOWARDS AN INTERNATIONAL CREATIVE COMMUNITY Payap Pakdeelao, Tipsuda Janjamlah and Peeradorn Kaewlai ATTEMPTING SUSTAINABLE DEVELOPMENT IN CHALLENGING URBAN ENVIRONMENTS: URBAN NGOS, SOCIAL BUSINESSES, AND COMMUNITY-BASED ORGANIZATIONS COMMUNICATE AND COLLABORATE VIA SOCIAL MEDIA IN KATHMANDU Rachel D Amtzis CITY PLANNING WITH COMMUNITIES: EFFECTIVENESS OF COMMUNITY PARTICIPATION IN SYDNEY Zeenat Mahjabeen and Krishna K. Shrestha 227 WHAT HAPPENED TO URBAN RENEWAL IN HONG KONG? A ‘SOCIAL PRACTICE’ ANALYSIS AFM Ashraful Alam 1, 3, and Momtaj Bintay Khalil2 Architecture Discipline, Khulna University, Bangladesh Department of Urban & Regional Planning, KUET, Bangladesh 3 Corresponding Author 1 2 ABSTRACT Economy and land constraint led development strategy of Hong Kong always pushed social focus to the least priority corner. Local planning strategies and the urban renewal projects in Hong Kong are highly criicized for failing to improve social cohesion and stability, and reduce inequality. Despite the property-led privaized proit oriented face of the insituions, the overall performance of urban regeneraion had been sluggish. Community played limited role in urban governance due to government’s excessive reliance on market forces, ‘minimum intervenion with maximum support’ in renewing the city. Although lately the Urban Renewal Authority (URA) has been propagaing its regeneraion approach as ‘people centered’, the Urban Renewal Strategy (URS) of 2011 remains extremely inadequate. The principal focus of this paper has been to formulate a unique ‘Social Pracice’ based tool to measure Hong Kong’s renewal performance whether renewal had been a sustainable botom up approach to understand the regeneraion need of the society from within its own producion of space. Eventually the tool has been applied to measure the performance of the controversial ‘H15’ renewal project in details through quesionnaire survey and key informants interviews. The research reveals that for a community to bring back its life through regeneraion requires wider understanding of its spaial forms and associated social pracice accumulated over years. KEYWORDS: Urban renewal, Social pracice, Regeneraion, Hong Kong 228 RESIDENTIAL MOBILITY AS A CHALLENGE TO SUSTAINABLE URBAN SETTLEMENTS IN SURABAYA CITY Alen Mitahul and Dian Rahmawai ABSTRACT The ever-increasing demands of urban society generate an increase in populaion movement. Such mobility, when done as an atempt to fulill housing needs, is then known as residenial mobility. This sort of movement afects the urban sphere in the form of land use changes (short term efects), and changes in the urban structure (long term efects). Residenial mobility has led ciies to a new patern in housing development, either in developed or developing countries. The human life-cycle and limited land availability have made residenial mobility an unavoidable phenomenon. It is also responsible for some externaliies, posiive and negaive, that have inluenced changes in the urban structure in many big ciies including Surabaya city. As the second biggest city of Indonesia, Surabaya is a magnet for migrants, which greatly afects housing demands. The urban periphery of the city and its immediate vicinity are most inluenced by these demands, especially in land use changes and socio-economic character shits. It is a challenge in considering externaliies of residenial mobility to the provision of sustainable urban setlements. This study aims to to achieve the factors associated with residenial mobility on sustainable housing in the city of Surabaya. The classiicaion will be achieved through fulilling two speciic objecives; (1) Idenify residenial mobility characterisics through a thorough literature review of big city residenial mobility phenomena the world over; (2) Analyze speciic residenial mobility characterisics by employing quanitaive analysis techniques. KEYWORDS: Urban setlements, Residenial mobility, Externaliies INTRODUCTION A city has an extraordinary role for the people with its mulifuncional services as a service center, trade center, industrial center, distribuion service knot, growth center, development center and many more (Adjisasmita, 2011). The number of people that live in a city is one indicator of its size. The more people live in a city, the bigger the city is, especially in services and the economic circulaions. Undeniably, a city has become the magnet that triggers many people to be part of it. According to Ravenstein in Cadwallader (1992), populaion movement mostly happens in short distance movements, mostly moivated by economic and social reasons. Residenial mobility is completely related with the housing market, represening the new housing demand. That demand is generated due to the factors or reasons created by the mobility (Fullando; Cladera, 2006): Life and family cycle evoluion (new housing needs), social posiion improvement (new house related with beter social posiion), emancipaion and new households (new house for the newly formed household). Residenial mobility in a speciic size and ime will afect its city structure. 229 Surabaya, as the second largest city in Indonesia, is a magnet for populaion movements. With its populaion of 3 million, the housing demand has increased rapidly and is concentrated in the East Surabaya and West Surabaya. Surabaya has 31 Kecamatan or districts that each have their concentraion funcion. New housing development funcions are concentrated in peripheral districts in East Surabaya and West Surabaya. In East Surabaya, the characterisic of the housing districts are very unique. They are set side by side with the conservaion area along the eastcoast shoreline of Surabaya. In 2008 the area of land use setlements in the studied districts was 1707,56 Ha: this number increased sharply by 2012, reaching 2839,85 Ha. At the same ime, the volume of populaion movement is also increasing. In the year of 2007 the number of registered imigrants is 5,713 people and in 2011, this increased to 10,647 people. Thus, this rapid growth of land use setlements is likely to have a relaionship with residenial mobility since there is a possibility that some of the registered immigrants are residenially mobile persons. The residenial mobility in these districts will be studied through the life-cycle factors, one of the main factors that inluence the residenial mobility in big ciies in the world. Factors related to the life-cycle have a major inluence on residenial mobility. The factors include changes in job, family size and dwelling duraion (Habib & Miller, 2007). In this paper, the authors focused on four districts which have the highest movement in populaion in East Surabaya; District Kenjeran, District Sukolilo, District Mulyorejo and District Rungkut. Most of the households (43,4% of all respondents) who moved have occupaion as entrepreneurs or businessmen with a monthly salary from Rp. 750.000,00 to Rp. 3.500.000,00. They tend to move to East Surabaya because of the housing developments that match the characterisics of their family needs: these characterisics are very diferent for each household because of the inluence of life-cycle factors. Paterns of residenial mobility that occur is from West Surabaya to East Surabaya, which means that there will be problems of land conversion between the land use for setlements and conservaion area due to the high levels of populaion movement in those districts. While housing development here mostly responds to the housing demand by the ciizen (residenial mobility), the phenomenon of this movement should be well recognized to maintain sustainability in the peripheral districts in East Surabaya. LITERATURE REVIEW What is Residenial Mobility? There is a theoreical framework and diferent perspecives to understand and analyze the residenial mobility. It is generally used to describe the movement by an individual or household, and someimes interpreted as a migraion. Despite having almost the same concept, the migraion is use to describe the residenial change which supposes a large distance and change in everyday habits; meanwhile residenial mobility does not suppose a total change of one’s everyday habits (Módenes; Lewis in Fullaondo; Caldera, 2006). More simply, Cadwallader (1992) states that residenial mobility is the movement within a city. Life-Cycle Through Decision to Move The decision to move has been shown to be closely ied to events in a person’s life, such as family formaion, dissoluion and, in paricular, job changes (Caldera and Andrews, 2011). Rossi (Feijten; van Ham, 2007) describes a relaion between household careers and housing careers that afects a household’s decision to move. Several life events such as leaving the parental home, geing married, and having children could indicate residenial mobility. This paper focuses on life-cycles which cause residenial mobility, such as age of household, marital status, family size, job changes and dwelling duraion. Age of household tends to afect household’s decision to move. Younger households have a higher propensity to migrate than older households. This is because younger households have fewer locaion-speciic investments which makes the decision to move becomes hard. Besides that, younger households have more ime in collecing funds. Therefore relaively small gains in earnings may make them move (Caldera & Andrews, 2011). Indeed, exising evidence conirms that in most countries, young adults between the ages of 20 and 35 are by far the most mobile segments of the populaion (Dieleman, in Caldera, 2011). 230 The results of studies that have been conducted show that changes in work distance, indeed requires residenial movement (Clark & Withers, in Caldera, 2011), and that the decision to change jobs is closely related to the decision to move (Bartel & Caldera, 2011). The number of family members who have worked is in inverse raio with residenial mobility. This means that the larger the number of working family members, the lower the level of residenial mobility. Duraion of dwelling also became one of the signiicant determinants of residenial mobility decisions. The higher duraion of the current locaion, the lower the possibility of moving. This proves the hypothesis of ineria which inhibits the possibility to move due to linkages between long dwelling duraion and current environmental condiion (Habib & Miller, 2007). Sustainable Development Report on sustainable concept called Our Common Future published by the World Commission on Environment and Development (WCED) is the staring point of most discussions in this paper. According to WCED (1987) “sustainable development is development that meets the needs of the present without compromising the ability of future generaions to meet their own needs”. The essenial needs of vast numbers of people in developing countries - for food, clothing, shelter, jobs - are not being met, and beyond their basic needs these people have legiimate aspiraions for an improved quality of life (WCED, 1987). It means that peoples need to move to meet their needs. Moving is the process to sustain life (Wilkinson; Broek; Julien Van den; in Prijono T, 2000). The process itself should be viewed from the wider economic, social, poliical and cultural context. If living standards change then the probability of moving rises because moving is closely afected by life-cycles. Although sustainability is iniially a global concept, a popular scale of study is at the local level of urban sustainability (Eden in Choi, 2010), because ciies and their associated economic aciviies are the major sources of threats to global sustainable development of humanity in terms of their environmental impacts (Girardet in Choi, 2010). Since housing is one embodiment of a speciic aspect of sustainable development, namely consumpion. The needs of housing and indeed the needs of the households consume much energy. Housing developments over the last decade have caused decreased enviromental quality. Housing requires suicient amount of energy consumpion with regard to operaing housing for fulilling daily needs. However, housing does not just consume energy. A large amount of material housing consumpion is required in order to operate and maintain a housing unit. This concerns furniture and other iings, technical equipment and electrical appliances, equipment for maintaining and operaing indoor and outdoor areas, etc. Individually, these products do not represent major consumpion, but together they represent extremely high consumpion levels (Holden, 2004). Perhaps the most prominent feature of consumpion paterns during the last decade is the huge increase that has occurred in the transport sector. The home is oten the departure point for much of this transport consumpion, which includes travelling to work, day-care centres, schools, shops and various leisure aciviies (Holden, 2004). As sustainability requires a combinaion of economic, social and environmental equity, it is important to understand the form of residenial mobility that happens in East Surabaya. DISCUSSION Residenial Mobility Characterisics in Surabaya This study took 182 households from four districts in Surabaya as the respondents to obtain the characterisics of residenial mobility. The characterisics obtained are based on Life-Cycle indicators which translate into ive factors: age of household, marital status, occupaion, family size and dwelling duraion. Through descripive analysis and Likert scale, these factors can be described as follows: 231 Age of Household According to Dieleman (in Caldera, 2011), younger households are more mobile than older ones. The households aged between ages of 20 to 35 have a tendency to be the most mobile. Conversely in the study areas, the age of the household is not related to residenial mobility because the households think if the need to move is urgent then they just have to move. 56% of the households interviewed in the study were between 26 and 45 years in age, as can be seen in Table 1. Table 1. Age of Household in Studied Districts Age Migrants Households 20-25 26-35 36-45 46-50 50-60 60+ 9 51 51 25 38 8 Total 182 Source: Data over Mitahul, 2012 Marital Status Facts on the ground indicate that all migrants are married. The Likert scale results also show that the marital status has the highest value. Marriage to them is one of the most appropriate moments to move and own a home (in this case it’s called residenial mobility). With the change of marital status, the decision to immediately move out and ind new housing will rise. Hence, new households create demand for new housing. This result is in line with Rossi (Feijten; van Ham, 2007) that life events such as geing married coincide with mobility. Source: Data over Mitahul, 2012 Figure 1. Number of Respondents on Marital Status Figure 1 is based on results of the study done with quisionaire. Most of the respondents agreed that marital status afects the decision to move. Occupaion In this case, job factor can be described as a change in career workplace or even the decision to change job, causing households to make certain adjustments, including moving near the locaion of the new workplace. From the studies in each district it is known that the majority of households have a job as an entrepreneur or businessman, and then there are households working as civil servants and private employees. Characterisics of each household, including the type of job, will afect residenial mobility and the preferences of a new residenial locaion. 232 Table 2. Number Of Types Of Job In Each District Source: Data over Mitahul, 2012 Source: Data over Mitahul, 2012 Figure 2. Number Of Types Of Job In Each District In one case it was found that the house was used as business capital, and this caused the household to have to move. This case occurred in a household with thte family head working as an entrepreneur/businessman. Moreover the household has a moving frequency of 12 imes. From this case it can be seen that career advancement or job itle as well as changes in job locaion can lead to residenial mobility in East Surabaya. Source: Data over Mitahul, 2012 Figure 3. Moving Frequencies For Each Job Figure 3 shows the moving frequencies by occupaion in East Surabaya. From that chart it can be seen that most households only move once. But the reason behind the decision to move can be vary depend on their characterisics. 233 Source: Data over Mitahul, 2012 Figure 4. Amount Of Income For Each Job As can been seen at Figure 4, most of the households have a monthly income between Idr 750.000-000 to 2.500.000. That means households with low income are the ones who oten move. Source: Data over Mitahul, 2012 Figure 5. Proximity to Trade Faciliies Preferences Figure 5 shows that head of households who work as an entrepreneur/businessman tend to choose new housing area near the trade faciliies. The reasons are, among others, due to the ease in obtaining their daily needs and for business reasons. Locaion adjacent to the trade faciliies will facilitate the households who work as entrepreneurs to do business. Family Size Changes in family size can cause mobility because the households need a suiciently sized dwelling, although this is a plausible response but households can adjust their dwelling size instead of moving into a new house (Habib; Miller, 2007). In the studied districts, households tend to meet space needs by maximizing rooms in the current house in response to a change in family size. The data of family size can be seen at Table 3 and Figure 6. 234 Table 3. Family Size For Each District Source: Data over Mitahul, 2012 Source: Data over Mitahul, 2012 Figure 6. Family Size For Each District Table 3 and Figure 6 show that most of the households that move have four family members. The largest family size consists of 18 members. Dwelling Duraion Dwelling duraion factor in East Surabaya doesn’t signiicantly afect mobility. Conversely, Habib and Miller (2007) state that duraion at the current home is also found to be one of the signiicant determinants of mobility decisions: the longer the duraion of dwelling, the less acive the household residenial mobility. This is because the households don’t consider the duraion of dwelling when they intend to move. Source: Data over Mitahul, 2012 Figure 7. Dwelling Duraion For Each District 235 According to Beaty et al. (2009), households who have less than one year duraion will very likely move. And the trend is sill going to happen for a duraion of 2 to 4 years but but is less signiicant. The trend stops ater 5 years or so. By the research carried out at the four districts of East Surabaya, households with duraion between 6 to 10 years sill have mobility. Thus, dwelling duraion isn’t considered as one of the signiicant determinants of resindenial mobility in Surabaya. Validity-Realibility and Likert Scale Value of reliability can be seen from the value of Cronbach’s Alpha if Item Deleted while for the validity can be seen from the Corrected Item-Total Correlaion on SPSS test results. The results of the test validity and reliability are presented in Table 4 below. Table 4. Validity-Realibility Analysis Source: Data over Mitahul, 2012 It appears that the factors of age and family size did not have suicient validity to be considered as factors that inluence residenial mobility. The next stage of analysis is to put the factors into Likert Scale. The result is shown as follows: Table 5. Likert Scale Analysis Source: Data over Mitahul, 2012 Based on the results, it is found that age of household, family size and dwelling duraion do not play a part in residenial mobility in Surabaya, mainly because the characterisics of the family react diferently to changes in life-cycle factors. Thus, life cycle factors that have relevance to residenial mobility Surabaya are marital status and job. These results obtained from Validity-Realibility and Likert analysis of 182 respondents with residenial mobility. SUMMARY This study aims to to idenify the factors associated with residenial mobility on sustainable housing in the city of Surabaya. Based on the results, it is known that residenial mobility is afected by life cycle factors, namely marital status and occupaion. The sustainability of a city has a close relaionship with residenial mobility because residenial mobility is one of the factors that afect the rapid growth of land use setlements. Rapid growth of land 236 use setlements is feared to lead to the conversion of land use, especially conservaion area. However, to prove this hypothesis needs further research to be conducted. Awareness to maintain a balance between the need for spaial, environment, economic and social development is a major asset for a sustainable city. FUTURE RESEARCH There are some further possible areas of research, such as: - Research about the relaionship between residenial mobility and sustainability. - Research to answer why the low income households are the ones who oten move. - Based on the results, it is known when people get married, they are more likely to move out and own a home. Thus, further research can emphasize the economic and socio-cultural context. REFERENCES Saki, A. (2011). Transportasi dan Pengembangan Wilayah. Graha Ilmu Publisher. Jakarta. Habib, M. A. & Miller, E. J. (2007). Modeling residenial and spaial search behaviour: Evidence from greater Toronto Area. Toronto. Cadwallader, M. (1992). Migraion and residenial mobility: Macro and micro approaches. London: The University of Winconsin Press. Beaty, C., Lawless, P., Pearson, S. & Wilson, I.(2009). Residenial mobility and outcome change in deprived areas: Evidence from the new deal for communiies programme. London: Sheield Hallam University. Caldera, S. & Dan, A. A. (2011). To move or not to move: What drives residenial mobility rates in the OECD? Paris: OECD Publishing. Choi, K. H. (2010). Re-conceptualizing environmentally sustainable city. Shain, HK: The Chinese University of Hong Kong. Dieleman, F. M. (2001). Modelling residenial mobility: A review Of recent trends in research. Netherlands: Utrecht University. Feijen, P. & Van Ham, M. (2007). Residenial mobility and migraion of the divorced and separated. Max Planck Insitute for Demographic Research, Jerman. Fullaondo, A., & Cladera, J. R. (2006). Residenial mobility and foreign immigraion setlement in the metropolitan area of Barcelona. Barcelona, Spain: Durham University. Holden, E. (2004). Ecological footprints and sustainable urban form. Netherlands: Kluwer Academic Publishers. Mitahul, A. (2012). Mobilitas residensial di surabaya imur. Surabaya: Insitut Teknologi Sepuluh Nopember. Tjiptoherijanto, P. (2000). Paper badan perencanaan dan pembangunan nasional: Mobilitas penduduk dan pembangunan ekonomi. Jakarta. World Commission on Environment and Development. (1987). Our common future. Oxford. 237 NOWHERE TO REMEMBER THE CITY BY: THREATS TO THE SUSTAINABILITY OF SOCIAL MEMORY IN HONG KONG’S URBAN SPACE Anthony H.F. LI Central for Civil Society and Governance, University of Hong Kong ABSTRACT It has been argued that Hong Kong is a city of disappearance where social memory embodied in its urban landscape vanishes rapidly. The situaion only witnesses a change ater the arrival of the new sovereign since 1997. However, the recent public call for the conservaion of urban landscape meets with several challenges. This paper atempts to idenify three factors that pose threats to the sustainability of social memory in Hong Kong’s urban space, namely, the skyrockeing of land price due to economic globalizaion and the policy failure of the undemocraic government, the poliical use of heritage space by the government, and the declined strength of civil society which no longer gives impetus to the social movement for heritage conservaion. It is argued that the interplay of these factors leads to further disappearance of social memory in the city’s urban space, in contrast to the recent nostalgia of Hongkongers for the city’s past. In light of the dissonance of memories conveyed by the urban space and the inhabitants respecively, this paper suggests that a sense of place Hongkongers have formerly atached to the city is replaced by a sense of detachment. KEYWORDS: Globalizaion, Social idenity, Heritage conservaion, Civil society, Sense of place INTRODUCTION Hong Kong has long been a place of capital since its colonial period as a Briish trading port, a modern manufacturing hub, and an internaional inancial center. The urban landscape of Hong Kong has changed rapidly ater WWII and was characterized as a ‘city of disappearance’.1 In the colonial era, Hong Kong people did not care much about conserving the urban environment they were living in, nor did the government take an acive role in such noneconomic aciviies. As a result, heritage conservaion in Hong Kong was largely piecemeal, with the government implemening a few projects in its own interests and a handful of civil society organizaions (CSOs) ighing for the preservaion of some historical buildings.2 Immediate ater WWII, populaion in Hong Kong was mainly immigrants from Mainland China. With the rise of local mass media, music and movie industries, scholars argue that a sense of social idenity emerged among Hong Kong people in the 1970-90s.3 In the 1980s, the process of transiion to China’s rule also started of a process for them to re-evaluate their social idenity.4 In a longitudinal survey mapping out the social idenity of Hong Kong people from 1985 to 1995, it shows consistently that a majority of interviewees ideniied more with ‘Hongkonger’ than with ‘Chinese’ as their primary social idenity.5 In this light, it is not diicult to understand why the issue of heritage conservaion rises to social prominence ater the change of sovereignty in 1997 when Hong Kong people look for an urban environment where they can remember their histories by. Hayden asserts that urban landscape is the ‘the storehouse of culture and history’.6 Her asserion actually highlights the entwined relaionship between urban 238 environment, social idenity and ‘social memory’ which I deine here as memory shared by a signiicant number of people through their life experiences in the same place, and manifested in the unique local histories and cultures. However, against the ani-conservaion backdrop of Hong Kong’s urban development, it is not easy to see how the urban space of Hong Kong relects the social idenity or memory of its inhabitants. Through paricipatory observaion and a review of exising literature and secondary data, in the following secions I argue that there are three factors which threaten the sustainability of social memory in the urban space of Hong Kong. URBAN HERITAGE UNDER PRESSURE FOR RE-DEVELOPMENT Economic globalizaion and its discontent As one of the internaional inancial centers and the freest economy in the world7, Hong Kong’s urban heritage is under huge pressure for re-development since money can easily lood into Hong Kong and capitalize on the limited stock of land for proits. Due to the Linked Exchange Rate System which pegged the HK dollar to the US dollar at a ixed rate for monetary stability, and the rise of China’s economy which has just superseded Japan as the world’s second biggest economy in 20108, it is expected that Hong Kong’s economy is heavily inluenced by the two major economies of the world and thus falls prey to the luctuaion of global economic forces. In the atermath of the subprime mortgage crisis in 2008-9, the US government underwent Quanitaive Easing which triggered a devaluaion of the Hong Kong Dollar against other currencies and resulted in an unprecedented low interest rate in Hong Kong. Consequently, it is reported that capitals around the world, especially from Mainland China, have pulled into Hong Kong’s property market and led housing prices to a record high in 2012.9 Government igures reveal that housing prices in Hong Kong have increased by 2.96 imes between 2003 and 2011.10 Housing in Hong Kong is also regarded as ‘severely unafordable’ in 2012 in a comparaive study.11 In addiion to an increase in the exchange value of housing, the global economic forces have also transformed the daily life of Hong Kong people by the introducion of listed corporaions and transnaional companies. The spread of chain stores and shops of transnaional brands is so far-reaching that it virtually penetrates every aspect of the lives of the local people.12 The downside is twofold. First, it consitutes a sharp rise in land rent in certain areas.13 Second, it results in the disappearance of tradiional small-size shops and the dissoluion of community networks embedded in the former mode of economic producion where residents pracice tradiional way of life.14 Afected local residents have been opposing these processes through a variety of collecive acion, and ighing for the preservaion of urban landscape being part of their everyday life and recognizable by their memory.15 However, evidences suggest that land is now a highly proitable commodity in Hong Kong, and the re-development value of heritage buildings can be very atracive to landowners and is oten too huge to be compensated in monetary terms by the public or the government, which renders heritage conservaion a diicult task.16 Failure of government policies Moreover, the government fails to idenify the problem with rapid increase in land price and to carry out appropriate relieving measures. Back in 2003 when the property market in Hong Kong was at the botom, the government de-regulated many restricions on the property market so as to revitalize its vibrancy. Even when there were signs of overheat in the property market in the late 2000s, the Chief Execuive of Hong Kong refused to review the hands-of approach to housing development in the shadow of the property market slump in 1997-2002.17 While the causes for the government’s policy ineria require further research beyond the scope of this paper, there is no doubt that the failure of government policy has contributed to the recent situaion of high land prices in Hong Kong. Besides, Hong Kong government has an insituional bias towards the economic potenial of land. Many scholars point out that the government’s moderate dependency on land sale for revenue provides incenives for oicials to put great emphasis on the economic potenial of land over alternaive uses.18 This partly explains its tacit consent to the skyrockeing of land price and rent. Another poliical blunder on the part of the government is the policy failure of land supply in the last 5 years. For historical reasons, land has always been scarce in Hong Kong and urban development has been focused on the 239 harbourfront of the Victoria Harbour with a heavy reliance on land reclamaion for developable lands. The process of land reclamaion was called to a halt by some CSOs with a cause to protect the Harbour as the heritage of all Hong Kong people. In 1996, a legislator, who is also a member of those CSOs, has successfully enacted the Protecion of the Harbour Ordinance. In a series of judicial challenges to the government later on, those CSOs have eventually stopped all reclamaion projects in the Harbour as the court has made a verdict that land reclamaion in the Harbour is allowed only for ‘overriding public need’.19 Due to the failure of the government to sort out any alternaive to land producion, land supply has drasically dropped in the late 2000s, from 500-700 hectares every 5 years to only 84 hectares in 2005-09.20 The demand on housing has not subsided along with the sharp reducion in land supply. Hong Kong is a small city in terms of its geographical size but houses approximately 7 million residents. The highest populaion density is recorded in Kwun Tong District as 55,204 persons/ km2 as of 2011.21 In light of the acute land shortage and huge demand for housing, previously abandoned urban space is revitalized for various uses. For example, many industrial buildings are illegally refurnished for housing purposes and pariioned into a number of cells for low-income people.22 Despite strong social discontent over these poliical blunders, residents of Hong Kong have litle channels to inluence the policy-making process efecively. Under the current poliical system of Hong Kong, ciizens are allowed to elect members of the Legislaive Council which oversees the government at the territorial level and District Council at the communal level respecively. However, both councils are limited in power and no council members or the poliical paries they represent are allowed to form the cabinet of government based on the votes received. The poliical system of Hong Kong, despite its electoral elements, is undemocraic. Relecing this, the urban planning process has long been top-down with merely tokenisic public paricipaion.23 In short, the failure of government policies illustrates how heritage conservaion has become increasingly costly in recent years. This is partly explained by the undemocraic nature of the Hong Kong government which does not allow substanial public paricipaion when a policy requires revision. Given the acute shortage of land and the huge demand for beter housing quality, the idea of conserving heritage in urban space may even seem a bit too ‘luxurious’. LOCAL HERITAGE THREATENED BY POLITICAL FORCES Re-construcion of ‘Chineseness’ through heritage and new urban spaces As said, a large porion of populaion in Hong Kong was immigrants from Mainland China who were more atached to their home towns (xiangxia) in China than to Hong Kong. Hong Kong people acquire a social idenity as ‘Hongkonger’ only ater the 1970s. The formaion of such idenity is muli-layered and complex in the context of Hong Kong. Besides the rise of the communicaion and media infrastructure which helped to construct the ‘imagined community’ within the same poliical boundary, the social idenity of ‘Hongkonger’ cannot be detached from the imaginaion of the ‘Mainlanders’ in China as its dialecical opposite. As depicted in the media discourse, Hongkongers were superior to the Mainlanders in terms of economic aluence and capitalist cosmopolitan lifestyle,24 as well as their self-acclaimed ‘First World’ status in contrast to the ‘Third World’ in China.25 As such, there was a heated debate about how China taking over the rule of Hong Kong ater 1997 could be accepted by most Hong Kong people. Such skepicism escalated considerably ater the June 4 Massacre in Beijing. Against this backdrop, Dang Xiaoping proposed the ‘One Country Two Systems’ principle which insituionally recognized the historical diferences between China and Hong Kong, and guaranteed the systems and pracices in Hong Kong not to be changed up to 50 years ater 1997. Nevertheless, change is not hard to be noiced ater the Handover. Some signs suggest that the Beijing government and its collaborators in Hong Kong have been mustering considerable eforts to promote among Hong Kong people a greater sense of social idenity as ‘Chinese’ poliically loyal to China instead of an idenity as ‘Hongkonger’ whose poliical loyalty is doubful.26 To this end, the Beijing government uilizes public museums, monuments, and heritage buildings to narrate on a new discourse in which Hong Kong has always had an indispensible historical link with Mainland China. For example, Hong Kong has recently been represented as the birthplace of the 1911 Revoluion in China, and the breeding ground for the founder of 240 the Republic of China Sun Yat-sen who has been commemorated in many new public spaces,27 such as museum, recreaional park,28 and a few heritage buildings preserved by the government for their relevancy to Sun’s aciviies in Hong Kong.29 In addiion, Teather and Chow point out that a new ceremonial place and tourist atracion ‘Gold Bauhinia Square’ has been created to commemorate the marked event of 1st July 1997 when China resumed sovereignty over Hong Kong.30 These evidences show that the Beijing government has acively re-constructed the ‘Chineseness’ for Hong Kong people through selected heritage conservaion and new public spaces creaion. History and culture which are deemed too ‘local’ or too ‘Briish’ are neglected in heritage conservaion or new urban spaces, so is the social memory associated with them. Social memory is thus neglected in its physical form with the arrival of a new sovereign. Local heritage mismanaged by the Hong Kong government Although the Hong Kong government also conserves a number of urban heritage buildings which have more local than naional lavors, its pracice is more reacive than pro-acive before 2007. Even when the government takes acion to protect certain heritage buildings, its management of these heritage buildings is far from saisfactory for the local communiies. The discrepancy is atributed to the government always seeing built heritage as a source of economic development instead of public amenity for cultural enrichment. As a corollary, the government is reluctant to pull in resources for heritage conservaion projects, and even acclaims those managing organizaions which demand minimal government subvenion.31 At the end, social memory cannot be reproduced in the conserved heritage space because the managing organizaions must make room for proit-making enterprises in order to maintain the upkeep of heritage buildings and to cover the costs invested for refurbishment, despite some of them being non-proit in nature.32 Heritage conservaion under such economic consideraion encourages anything but public uses. Social memory, therefore, is absent even in the urban heritage space designated for the preservaion of histories and cultures of Hong Kong people. Built heritage out of the focus of civil society Due to the undemocraic nature of Hong Kong government, it is not unil the public outcry is so great in its extensity and intensity that government oicials can feel the urge to listen to the people. Thus, local heritage valued by the local people is only protected when the pressure from the civil society is strong enough. Unfortunately it is not always the case due to the deiciencies of civil society.33 Soon ater 1997 Hong Kong witnessed a blooming of CSOs aiming to protect urban heritage in face of massive re-development of decaying urban areas. Their campaigns met with various degrees of success in terms of raising awareness about the importance of heritage conservaion among the general public, but not in terms of the amount of urban heritage being saved from bulldozers. Even the most inluenial campaign which strived to preserve the Star Ferry Terminal and Queen’s Pier in 2007 in the Central District could not preserve the heritage itself, but its impact on the society is far-reaching at territorial level that the poliical climate has since changed in favor of a delicate balance between heritage conservaion and economic development.34 Heritage conservaion has therefore been elevated to a policy level unprecedented before. Despite such remarkable triumph, the social movement for heritage conservaion has come to a paradox: the success of one’s movement also digs the grave for its end due to the diiculies of sustaining collecive mobilizaion.35 Reviewing the heritage movement in Hong Kong from colonial to post-Handover periods, the author has argued elsewhere that it is the radicalizaion of the heritage movement that consitutes the key to the movement’s remarkable success in 2007.36 However, ater the radical acivists dissipated into other policy areas, the CSOs that remain in the movement have not proved efecive in ensuring the government’s conservaion policy in line with public expectaions, nor does the public give as much atenion to the potenial demoliion of heritage buildings aterwards. It seems that those remaining CSOs face the same problem as their counterparts in the colonial period in a sense that they are unwilling to resort to extraordinary repertoire to make an impacful message on the media, and unable to convince the public that their acion is not just for a few elites. With the declined strength of the heritage movement, people are less capable of making changes to the mismanagement of urban heritages, let alone to the rampant re-development thrust which destroys heritage buildings in the territory. 241 Rampant transformaion of urban landscape and a sense of detachment The preceding secions show that the global and local economic impetus that drives up land price and rent, the poliical use of heritage space ater the change of sovereignty, and the weakened strength of civil society for heritage conservaion has led to transformaive change of the urban environment which is beyond the control of the local people. It is important to note that the lack of control over what and how to preserve heritage by the local people relects not only the diiculies in heritage conservaion in paricular, but also the urban landscape recognizable by the inhabitants at large. When social memory is not reproduced in heritage space, it is very unlikely it would be sustained in other non-heritage spaces, even though there is widespread nostalgia for the city’s past ater the Handover. It is evident that Hong Kong people no longer take it for granted that Hong Kong is a city of disappearance since they have acquired a sense of place for the city. The urban environment they are constantly in contact with is consituive of such sense of place as the spaial manifestaion of self-idenity37 and also as the source of atachment and rootedness.38 Scholars argue that a sense of place must be accompanied by the locus of control inhabitants have over their immediate environment, which is similar to the sense of territoriality characterized by a feeling of possessiveness, by an atempt to control the appearance of space39, and by a sense of comfort as home.40 Nevertheless, there is litle Hong Kong people can do to change the current development of urban landscape given the undemocraic urban planning process. A number of Hongkongers of my acquaintance told to me that they feel anxious about their living space being ‘colonized’ by foreign capital and poliical power. Without the strength to change these processes as individual persons, some start to lose faith in the future of this place and are thinking about migraion to other countries, while some take no real acion but acively ridicule the government on internet forums and social media as the ‘weapons of the weak’.41 This mentality of powerlessness suggests that Hong Kong people now seem to experience a sense of detachment from their living environment as a result of the deprivaion of control over their living space. On the one hand, the sense of detachment prompts some of the Hong Kong people to turn to afairs in their private turfs and re-create the sense of place at a smaller scale. On the other hand, it is also observed that it fuels poliical acivism for a few others who express their social resentments through non-insituional means. These people strive to claim control over the urban landscape of the city which they perceive they were previously enitled to, and reinstate the social memories relecing their disincive local histories and cultures in the urban space of Hong Kong.42 Although social resentments about and public resistance to the rampant process of urban transformaion is fragmented and small in scale, they may snowball into a powerful force later when the ime is ripe. Concluding remarks: The future of the sustainability of social memory in Hong Kong’s urban space To conclude, what memories should be preserved in urban space is inevitably a contested issue. The importance for the sustainability of ‘social memory’ which relects disincive histories and cultures of the inhabitants is to give priority to the needs of local people who actually live in the urban environment over poliical correctness sancioned by the government and capital accumulaion encouraged by global investors. Since both urban environment and the inhabitants are consituive of the values of urban heritage, the voices of local people should not be neglected in the process of heritage conservaion and urban development. When those voices are forcefully neglected in the urban space, they will re-appear in diferent forms in order to claim back their urban landscape by resuming control over its change. For future research, it is worth exploring in a more detailed manner to what extent a sense of detachment has resulted from the disappearance of old buildings and social memory, and how the percepion of detachment afects poliical acivism. It is also interesing to study how the coninued transformaion of urban landscape may interact with the social idenity of local people over ime. 242 ENDNOTES 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 Abbas, A. (1994). Building on disappearance: Hong Kong Architecture and the City. Public Culture, 6, 441-459. Li, H. F. (2011). Conserving built heritage for the people: Civil society at work in an East Asian Metropolitan City. Paper presented at 69th Midwest Poliical Science Associaion Naional Conference, March 31, - April 3, 2011. Chicago, IL, United States. Ma, E. K. W. (2008).Represening the naion in the Hong Kong mass media. In G. Mathews, E. K. W. Ma,&T-L Lui (Eds.) Hong Kong, China: Learning to Belong to a Naion. London: Routledge. Law, W. S. (2009). Collaboraive Colonial Power: The making of the Hong Kong Chinese. Hong Kong: Hong Kong University Press. Lau, S. K. (1997). Hongkongese or Chinese: The problem of Idenity on the Eve of Resumpion of Chinese Sovereignty over Hong Kong. Hong Kong, China: Hong Kong Insitute of Asia-Paciic Studies. Hayden, D. (1995). The power of place: Urban landscapes as public history. Cambridge: MIT Press. Heritage Foundaion. (2012). Country ranking. Retrieved July 12, 2012, from htp://www.heritage.org/index/ ranking Hong Kong Economic Journal (Chinese Newspaper), Feb 15, 2011. Hong Kong Economic Journal (Chinese Newspaper), March 22 & May 19, 2012; Wen Wei Po (Chinese Newspaper), January 28 & May 2, 2012; and Oriental Daily (Chinese Newspaper), July 12, 2012. Raing and Valuaion Department of Hong Kong [SAR]. (2012). Private domesic- price indices by class (Territorywide) (from 1979). Retrieved October 7, 2012, from htp://www.rvd.gov.hk/en/publicaions/pro-review.htm Cox, W. & Pavleich, H. (2012). 8th Annual Demographia Internaional Housing Afordability Survey. Retrieved September 26, 2012, from htp://www.demographia.com/dhi.pdf A study done by a local concern group inds that there is a signiicant increase in chain stores as compared to tradiional small-size business shops ater shopping malls of public estates located virtually every part of Hong Kong are privaized and managed by a listed corporaion. For details, see ‘Ling Hui Xia Xia Xiao Shang Hu Sheng Cun Kong Jian Diao Cha III’(A third study on the sustainability of small-size business under the management of The Link) by the Link Watch, July 29, 2009 (in Chinese). Retrieved from htp://www.linkwatch.hk/wp-content/ III_01.pdf on August 27, 2012. Oriental Daily (Chinese Newspaper), April 12, 2012. Also, in a recent report on the rent of global shopping centers across Americas, Europe, and Asia, it inds that Hong Kong’s rent is the highest in the world with 929USD/ feet2 per year. See Cushman & Wakeield Research Report. A Global Perspecive on Shopping Center Industry (September 2012). Retrieved September 27, 2012 from htp://www.hkej.com/hkej_upload/news_report/ 20120919/ICSC%20Global%20Shopping%20Center%20Report_HK.pdf Apple Daily (Chinese Newspaper), April 20, 2012. One of the remarkable examples of these struggles is the movement for the preservaion of the ‘Wedding Cards Street’ in 2005. Despite the social impacts that it caused, the street was eventually demolished for re-development. Two heritage buildings, King Yin Lei and Ho Tung Garden, are cases in point. The two buildings are put up for re-development by the owners. The former was preserved ater a public outcry over its demoliion, while the later is sill under discussion between the owner and the government for a viable soluion to a balance between development and conservaion. Oriental Daily (Chinese Newspaper), October 9, 2011 See for example, Lee, J. (2007). Urban Policy. In Wai-man, L., Lui, P. L-T., Wong, W. & Holliday, I. (Eds.). Contemporary Hong Kong poliics governance in the post-1997 era. Hong Kong: Hong Kong University Press; Ng, M. K. (2008). From government to governance? poliics of planning in the irst decade of the Hong Kong special administraive region. Planning Theory and Pracice, 9(2), 165-85. South China Morning Post, January 10, 2004 Enhancing Land Supply Strategy. (2011). Report on stage 1 public engagement digest 2011. Retrieved July 10, 2012, from htp://www.landsupply.hk/stage1PEDigest.php?lang=eng Census and Staisics Department. (2011). Hong Kong SAR, ‘2011 Census’. Retrieved July 10, 2012, from htp:// www.census2011.gov.hk/tc/main-table/A202.html 243 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 244 Oriental Daily (Chinese Newspaper), May 5, 2012. Ng, M. K. (2008). From government to governance? poliics of planning in the irst decade of the Hong Kong special administraive region. Planning Theory and Pracice, 9(2), 165-85. Ku, S. M. (2002). Idenity and Poliics. In X. Juncai (Ed.). Our place, our ime: A new introducion to Hong Kong Society. Hong Kong: Oxford University Press. Mathews, G., Ma, E. K-W., & Lui, T. L. (Eds.). (2008). Hong Kong, China: Learning to Belong to a Naion. London: Routledge. The numerous arts and culture groups under pro-Beijing umbrella organizaions which help carry out celebraive events and show support to the government when needed is one example. The author is indebted to Professor Ma Shu-yun for his inspiraion about this observaion Leisure and Cultural Services Department. (2012). Sun Yat-sen Memorial Park and Dr. Sun Yat-sen Museum. Retrieved July 10, 2012, from htp://www.lcsd.gov.hk/parks/sysmp/en/index.html and htp://www.lcsd. gov.hk/CE/Museum/sysm/en/index.php Aniquiies and Monuments Oice. (2012). Hong Kong SAR, Declared Monuments in Hong Kong. Retrieved July 10, 2012, from htp://www.amo.gov.hk/form/DM_Mon_List_e.pdf Teather , E. K. & Chow,C. S. (2009). Idenity and place: The testament of designated heritage in Hong Kong’. Internaional Journal of Heritage Studies, 9(2), 93-115. For example, the government awarded a revitalizaion project of the former Marine Police Headquarter to a developer which pays the most land premium and requires the least government subvenion. The Headquarter is later turned into a luxury shopping mall with transformaive changes to the heritage itself and its surrounding environment. One example is the revitalizaion of Lui Seng Chun, a heritage building allocated to a university which sets up a Chinese medicine clinic there. The author has visited the place a few imes. Despite a rather successful exterior refurbishment, most of the interior space of the revitalized heritage is reserved for paients and staf only. Histories about the heritage are overshadowed by signposts emphasizing the beneit of Chinese medicine. Salamon, L. M. (1987). Of Market Failure, Voluntary Failure, and Third-Party Government: Toward a Theory of Government-Nonproit Relaions in the Modern Welfare State. Nonproit and Voluntary Sector Quarterly 16(1-2), 29-49. For details of the remarkable movement and its atermath, see Henderson, J. C. (2008). Conserving Hong Kong’s Heritage: The case of queen’s pier. Internaional Journal of Heritage Studies, 14(6), 540-554; Lu, T. L. D. (2009). Heritage Conservaion in Post-colonial Hong Kong’. Internaional Journal of Heritage Studies, 13(2-3), 258-72. Faupel, A. (2011). The pifalls of winning: A comparison of two irst-wave feminist organizaion. Research in Social Movements, Conlicts and Change, 31, 69-101. Li, H. F. (2011). Conserving built heritage for the people: Civil society at work in an East Asian Metropolitan City. Paper presented at 69th Midwest Poliical Science Associaion Naional Conference, March 31, - April 3, 2011. Chicago, IL, United States. Proshansky, H. M., Fabian, A. K. & Kaminof, R. (1983). Place-idenity: Physical world socializaion of the self. Journal of Environmental Psychology, 3, 57-83. Tuan, Y. F. (1991). A view of geography. Geographical Review, 81(1), 99-107. Brower, S. N. (1998). Territory in urban seings. In I. Altman, A. Rapoport, & J. F. Wohlwill (Eds.). Environment and Culture (p. 180). New York: Plenum Press. Giuliani, M. V. (2003). Theory of atachment and place atachment. In M. Bonnes, T. Lee & M. Bonaiuto (Eds.). Psychological theories for environmental issues (pp. 137-170). Aldershot: Ashgate. Scot, J. (1985). Weapons of the weak: Everyday forms of peasant resistance. New Haven: Yale University Press. There is some sign that urban development becomes a social concern again in Hong Kong. For example, the government currently begins to develop the farmlands northeast of Hong Kong and establishes new towns for housing and economic purposes, but it is met with ierce opposiion by informal concern groups who want to preserve the tradiional ways of life in the area. Also, in some old urban areas awaiing urban renewal, in formal concern groups are formed to discuss the impact of urban renewal on the communiies and the ways to preserve historically valuable elements of the area. POLITICAL USE OF PUBLIC OPEN SPACE IN A PARTICIPATORY SLUM UPGRADING PROJECT IN BANGKOK Boonanan Natakun Faculty of Architecture and Planning, Thammasat University, Thailand ABSTRACT Apart from improved physical environment and social cohesion, poliical empowerment is aimed to be achieved in a paricipatory slum upgrading (PSU) project. This is to help encourage community residents to be more independent and be able to deal more conidently with other stakeholders in a broader society outside their communiies. This paper analyses use and appropriaion of public open space to serve poliical purposes in Bangbua communiies, which have gone through a Baan Mankong (BMK) project in Bangkok. Ater upgrading, Bangbua residents have uilized their public open spaces to exercise their enabled poliical power. By employing mapping techniques, observaions and interviews, this paper is able to portray the evoluion of poliically moivated aciviies that entail poliical empowerment developed in public open spaces over ime. This paper argues that when ciizen paricipaion in community-based development is realized, public open space will become an indispensible element to support the enablement of poliical empowerment in low-income communiies. Public open spaces, once used by groups of community residents, then expand to civil society to strengthen their movements to atract help and support from outside communiies. KEYWORDS: Use and appropriaion of space, Public open space, Paricipatory slum upgrading project, Poliical empowerment 1. INTRODUCTION In recent years, civil society in Thailand has increasingly played a more acive role, evident in a series of civil society aciviies across Bangkok during the past 10 years1 . With various aims, these movements have taken place in urban public open spaces in order to accommodate people and to draw public atenion. Such a phenomenon clearly demonstrates the poliical power exercised by unprivileged groups of Thai ciizens. Such a poliical pracice can also be observed on a smaller scale by a paricular socio-economic group at a community level. Poliically moivated aciviies occurring ater the implementaion of Baan Mankong, a paricipatory slum upgrading project, is a good example. These aciviies demonstrate how urban low-income ciizens of BMKjoined communiies atempt to ask for their rights to housing and public faciliies, and this is a milieu for poliical empowerment praciced by this socio-economic group. 1 For example, aciviies and protests by the Assembly of the poor taken place in important urban public spaces such as areas in front of the oice of Bangkok Metropolitan Administraion (BMA), the Government house and the Royal plaza (ลานพระบรมรูปทรงม้า). 245 2. STUDY AIM AND OBJECTIVES The study aims to invesigate use and appropriaion of public space for poliical purposes by community residents in BMK-joined communiies. Through paricipatory processes, community residents have to be involved in community development both during and ater the project implementaion. However, there seems to be no clear evaluaion method to measure how residents could coninue upgrading their communiies ater the implementaion of the BMK project. Thus the objecives of this study are; (i) to ind methods to measure poliical empowerment outcomes of the BMK project and also (ii) to ind the way in which local residents could enable poliical power through poliically moivated aciviies, taking place in public spaces ater upgrading. 3. REVIEWS OF LITERATURE This secion reviews literature aiming to understand how people act and uilize urban public space to meet their individual and group needs. To begin, the relaionship between social and spaial dimensions in urban public space is discussed. This is to illustrate how these two dimensions inluence each other and result in certain acions and behaviors. Subsequently, use and appropriaion of space at the neighborhood and community scale is reviewed. This is to understand how people act and behave within their living environment around their houses. 3.1 The relaionship between social and spaial dimensions Social pracices in spaial dimensions A number of sociologists, anthropologists and even urban design theorists such as Giddens (1984), Hillier and Rooksby (2005), and Dovey (2005), suggest the idea that human acions, behaviors and social pracices can be shaped and reshaped over ime in relaion to ime-space. They argue that opportuniies ofered by social condiions can someimes be framed by the spaial structure of urban spaces. In this regard, what is relevant in the context of PSU project is that the changes in the living environment ater upgrading would also help to reshape their behaviors and acions in upgraded living environment. Spaial structure and its inluence on social relaions Spaial structure of public spaces can be explored by examining their morphologies as to provide “the material precondiions for the paterns of movement and encounter and avoidance which are the material realisaion – as well as someimes the generator – of social relaions” (Hillier & Hanson, 1984, p. ix). Co-presence and chance encounter are products of spaial structure that allow people to see and hear others who share and pracice in the same ime-space presence (Hillier, 1996, p. 186). At neighborhood and community levels, like co-presence and chance encounter discussed above, passive social contact is a by-product of physical and psychological proximity that helps residents construct social ies and networks with their co-residents (Fesiger, Schachter & Back, 1950). However, spaial arrangement of public space at a community level can be organized, shaped and reshaped over ime by people via their communal, social and cultural aciviies. Therefore, to understand these spaial arrangements occurring in community environment, use and appropriaion of public space is reviewed as follows. 3.2 Use and appropriaion of public space As public spaces can provide terrain for unplanned social interacion and milieus for social pracices (Lennard & Lennard, 1984, p. 6), they allow muliple uses and various human behaviors to take place in relaion to ime-space. At neighborhood and community levels, Taylor (1988) studies human behaviors and pracices around ‘outdoor residenial spaces close to home’. This is to understand ways local residents uilize their outdoor spaces. This is when their aitudes can be expressed via their behaviors. Communal social and cultural aciviies in public space seem to show the relaionship between people and space. This is what make space meaningful for people. 246 4. METHODOLOGY This secion outlines design of this present study. Case study is employed as a strategy to invesigate poliical use of public open space in a thoughfully selected BMK project. Theoreical framework is designed in order to analyze various kinds of data collected through muliple research methods which will be discussed below. 4.1 Research strategy: case study As there is a large number of BMK projects in Thailand, it is diicult to select which project is to be studied. However, Yin (1994, p. 10) suggests that a case study need not represent a ‘sample’ of populaions or universes. Rather, it should expand and generalize theoreical proposiions via analyic generalizaion. In this regard, any BMK project in Thailand could be chosen; nevertheless, by reviewing a number of ‘successful’ BMK projects across Thailand, Bangbua Lang Kongkanparp (BB) community is chosen. This is because of its residents’ ability to draw public atenion through a number of local acions and signiicant improvement of its physical condiions. 4.2 Theoreical framework This study employs analysis of the community’s morphology, upgrading processes and ideniicaion of paterns of use and appropriaion of public open space in order to elicit how low-income ciizens uilize their public open spaces for poliical purposes. The evoluion of the community’s morphology helps us to understand changes in the living environment during and ater upgrading. It helps us to understand what has and has not changed physically throughout the implementaion of the BMK project. Storytelling helps to develop a full picture of the upgrading processes socially. They also provide residents’ aitudes toward their co-residents and upgraded environment, which can relect the social and poliical empowerment dimensions of the BMK community. Finally, ideniicaion of paterns of use and appropriaion of space is employed to illustrate the ‘actual behaviors’, as termed by Taylor (1988), of community residents that demonstrate varying uilizaion of public open space for diferent purposes. This helps to idenify levels of poliical empowerment praciced in public open spaces. 4.3 Research methods To understand the morphology of the case study and upgrading processes, mapping, observaions, interviews, and archival research are four key methods employed in this paper. Mapping helps to illustrate both tangible and intangible aspects of BMK communiies. While a series of morphological and physical mapping helps to see physical changes, with observaions discussed below, behavioral mapping helps to idenify paterns of use and appropriaion of public open spaces. Unobtrusive and paricipant observaions of how residents act both in their everyday lives and in socio-cultural events helped to illuminate the social environment of the case-study community, which contributed to the development of social cohesionand poliical empowerment. Analyses of interview scripts and storytelling drawn from local residents help to depict upgrading experiences. Three groups of community residents were selected; (i) leaders, (ii) BMK paricipants, and (iii) non-BMK paricipants. Thus these interviews will help invesigate poliical empowerment incrementally developed over ime. 5. BANGBUA LANG KONGKANPARP (BB) COMMUNITY The BB community has been legally separated from other nearby squater communiies located along both sides 247 of Khlong Bangbua in 1992. There are 322 men and 498 women living in 229 households. The BB community has gone through a number of plans for intended slum evicions. However, in 2005, the community embarked on the BMK project. 5.1 Baan Mankong project In the Baan Mankong (BMK) program, ciizen paricipaion is employed to enable collaboraion between various BMK-involved stakeholders. Partners in the BMK program include the Community Organizaion Development Insitute (CODI), local government, landowners, NGOs, and most importantly community residents. The most important strategic plan of the program is to create a holisic development that takes into account social and economic factors as well as physical improvements (CODI, 2009). CODI works in conjuncion with low-income residents and other stakeholders at three levels. First, at a community scale, CODI helps squater setlements to set up their community-based organizaions (CBOs) to pursue community planning, design and construcion of the BMK project. Second, at a city scale, CBOs become community representaives to work in collaboraion with other BMK-involved stakeholders. Finally, at a naional scale, city-scale forums formed by a number of low-income communiies come together across the country to enable knowledge exchange among BMK-joined communiies. Figure 1 illustrates the relaionship structure among BMK-involved stakeholders. Source: Modiied from CODI press release 2009. Figure 1. The relaionship structure of BMK-involved stakeholders. 5.2 The BB community’s morphology and physical characterisics This subsecion traces the physical development of the BB community during and ater the BMK project. Spaial evoluion of upgraded environment Drawings of the community master layout in two schemes are shown in Figure 2. The irst (above) is the community master layout in the past (prior to the BMK project) and the second (below) is as proposed and designed by the Sripatum architects. 248 Source: Bangbua Lang Kong Kanparp community learning center, retrieved in 2008, modiied by the author. Figure 2. Drawings of the BB community master plan before the BMK (above - color indicaing new housing zones) and as proposed by the Sripatum architects (below). In the proposed community master layout, there are 165 BMK houses, a concrete laneway lying along the canal with retaining wall underneath and three public spaces which are, from let to right, a public park, a community building and a childcare center for pre-school children. The BB community leaders seemed to implement the BMK project relaively efecively. Within four years (2006-2009), over 90% of BMK houses as planned have been built. Source: Modiied from US-based satellite image, retrieved via the Naional Research Council of Thailand in 2008. Figure 3. A 2008 aerial photograph of the BB community (area within a doted red line). 249 Figure 3 shows major physical improvement of the BB community in 2008. Figure 4 shows all physical elements, including BMK houses, main laneway, public space and exising houses (resistant) of the BB community ater the BMK construcion. New built houses Existing houses and shacks Laneways and alleyways Accessible streets to community Public open spaces Masonry walls * Community service center Source: Redrawn based on the US-provided satellite image, purchased via the Naional Research Council of Thailand in 2009. Figure 4. Detailed drawing of the BB community showing the 2009 community spaial structure. Figure 5 displays separate layers of the new physical elements, including BMK houses (black boxes), laneways (gray lines) and accesses as well as public open spaces (green boxes). The clusters of BMK houses are shown in Figure 5a, while the laneway network with access pathways to the community and the locaions of three public open spaces are shown in Figure 5b. It is noted that the three public open spaces are numbered based upon the chronological order of when they were built (see detailed discussion of public open spaces below). 250 (a) BMK houses. (b) The network of laneways, access to the community and three public open spaces. Figure 5. Detailed drawing of built form and physical elements in the BB community. Public open spaces Three public open spaces in the BB community were proposed and designed under the BMK paricipatory design process by the Sripatum architects. The irst public open space is located in the northern part of the community As the previous house of the community leader occupied a relaively large area, he gave half of his family-occupied land to become the irst public open space. The second public park was designed with regard to exising mature trees in the middle of the community (Figure 6). This idea was suggested by the Sripatum architects in order to keep those big trees. Figure 6. Remnant of a 1-meter-wide concrete laneway of the BB community in public space #2. 251 The third public space was also determined and designed during the design stage, to be located beside the main gateway – Gateway 2. Figure 7 shows the locaion of the three public open spaces in the BB community It was hoped at the paricipatory design process that these three public spaces scatered throughout the community could serve all residents of the BB community. (b) The irst formal public space, now sill let vacant. (c) The third formal public space, now frequently used for tour visits and community events. (a) Key plan of the three public open spaces in the BB community. (d) The second formal public space, now being used to hold community events. Figure 7. A series of photographs, showing three formal public spaces as implemented. 252 5.3 Poliical moivated aciviies at the community level Observaions and analyses of interview transcripts and storytelling have shown a number of aciviies run by community residents, and those aciviies have subsequently expanded to poliical moivated aciviies. This part discusses three movements that demonstrate civil society aciviies at the BB community. The irst movement, albeit not yet fully iniiated by civil society, is for economic and welfare purposes in the Bangbua area, called the Cooperaive for Housing at Khlong Bangbua established in 2008. This fund is accumulated from four percent of monthly BMK-repayments: social welfare (1%), administraion (1%), and a community fund (2%). Second, such a pooled fund for economic and welfare purposes has been expanded to a citywide network, called City Development Fund (CDF), whereby each household member of the CDF is eligible to access a low-interest loan. The BB community has become a member of the Naional Union of Low Income Community Organizaion[s] (NULICO) since 2009. This may be because the BB leader has played an acive role as a coordinator in mobilizing resources and exchanging knowledge between NULICO’s members. There is clear evidence of ongoing meeings, tour visits and poliical empowerment aciviies, being held at the BB community. Third, an exising local-based environmental movement in the area, namely Network of Environmental Development in Bangbua Canal (NEDB), has been strengthened ater joining the BMK project. It can be seen that the infrastructure improvement and the construcion of BMK houses are congruent with the environmental improvement in the area. 5.4 Paterns of use and appropriaion of public open spaces This secion ideniies paterns of use and appropriaion of public open space in the BB community drawn out during the ieldwork (between March 2009 and May 2010). Each patern ideniied in this secion is not treated as an isolated enity. Rather, each patern is ideniied here to disassemble use and appropriaion of space. Patern#1: For social pracices Drawn from the interviews, there is an increasing number of social gatherings and events in public open spaces ater upgrading. Due to the social relaionships that have developed among BB residents, they tend to iniiate and cooperate in communal social events. Evidence of this has recently emerged through an organized aerobics three imes a week in the BB community (Figure 8b). In 2011, the community lawn has been parially paved and transformed to a children playground with equipment provided by a private organizaion (Figure 8c). (a) Key plan. (b) Use of community public car parking lots for communal aerobics. (c) Use of the lawn as a meeing place and playground for children and their parents. Figure 8. Muliple uses of public spaces in BB community. 253 Thus it can be seen that by having public open space, BB residents will have more opportuniies to run communal social aciviies that tend to help collecively in enhancing levels of social cohesion and making a cohesive social environment. Patern #2: For cultural pracices There are various cultural pracices which tradiionally occur within a Thai community context, including the Song Kran fesival, Naional Father’s Day and Naional Children’s Day, etc. Another tradiional pracice in Thai culture is the use of community shrines and spirit houses. Prior to the BMK project, because of lack of public space, the BB community did not have a shrine and spirit house. However, ater the BMK project, BB residents collecively managed to develop their community sacred places, including a shrine (San Phra Phrom) and a spirit house (San Ta Yai). Moreover, it was planned by the leaders to construct these seings close to a sacred tree that was already long situated in the lawn (Figure 9). This has shown that the community lawn in the BB community can thereby accommodate tradiional religious and cultural pracices Figure 9. The BB community’s spirit house, sacred tree, and a shrine (from let to right). Due to these three cultural seings (community spirit house, sacred tree and community shrine), the community lawn has frequently been used to host all kinds of communal cultural events. The paricipant observaions during 2008-10 revealed that various tradiional Thai religious and cultural pracices have taken place in this public space (Figure 10). (a) Community merit-making events. (c) Song Kran fesival. (b) Ofering gits on the Elderly Day (d) Ordinaion ceremony. Figure 10. Community socio-cultural pracices in the BB public open spaces. 254 Patern #3: For tour visits and poliical moivated pracices Limitaions in accessing public resources is one of the major diiculies in upgrading and developing living environments in low-income communiies. Though there is an increasing number of local and internaional NGOs that could provide alternaive sources of funds and resources, the low-income residents themselves may need to prove that what they gain from those NGOs can be uilized in the best way, beneiing the community as a whole. Being the most spacious public areas in the Bangbua area, the two public open spaces (public open space #2 and #3) in the BB community play a vital role in hosing tour visits and poliical moivated aciviies. Although these aciviies are normally iniiated by the leaders, residents’ cooperaion to organize and operate these aciviies is crucial. This is to ensure that visitors’ and donors’ money and help will go to community residents as a whole, rather than a small group of local elite. From the paricipant observaions, there has been a large number of tour visits in the BB community. A wide range of visitors include local students, government oicers, local and internaional scholars, and internaional government agencies. Table 1 summarizes the major events that have taken place in the public open spaces between 2008 and 2010. Table 1. Summary of major tour visits and poliical events held in the public space at the BB community. Date Types of event or visitor Events Oct, 2008 Naionwide tour visit Site visit in a 2008 annual UN World Habitat day Feb, 2009 Private agency A group of private-fund providers visit Apr to Jun, 2009 Student training program University students from Faculty of Social Work, Thammasat University; three-month training program May, 2009 Internaional government agency High-posiioned government staf visit from Ministry of Public Work, Jakarta, Indonesia May, 2009 Government agency Minister of Social Development and Human Security of Thailand visit Aug, 2009 Government agency Prime Minister (Abhisit Vejjajiva) of Thailand visit Jan 2010 Thai NGO President of Thailand Development Research Insitute visit Apr 2010 Student workshop University students from Faculty of Architecture and Planning, Thammasat University; two-week workshop May 2010 Public company A group of visitors from Siam Cement Group (SCG) May 2010 Public media Filming TV program on BMK communiies in Bangbua area As indicated in Table 1, with a large number of tour visits held in the public open spaces, these poliical moivated events and tour visits have widened the community’s reputaion in the media. Figure 11 shows two examples of the use of the public open space for poliical empowerment pracices. The largest public open space (public open space #2) was used to welcome the Minister of Social Development and Human Security of Thailand in May, 2009 (Figure 11a). Such an event was used to establish a Memorandum of Understanding (MoU) across government agencies (Figure 11a). On another occasion, a visit from a public construcion company, in May 2010, was to learn how the BB community managed their community in both inancial and social aspects. This group of visitors was brought to the largest public open space by a community commitee member (a green shirt in Figure 11b) because the commitee would like to gain some help from the visitors in return. 255 (a) The Minister on the stage in the public open space in the BB community in May 2009. (b) A tour visit from a private company, coming to learn lessons from the BMK program and, in turn, planning to return some help to the community. Figure 11. Tour visits as poliical empowerment pracices in the BB community public spaces. 6. DISCUSSION AND CONCLUSION Public open spaces in an upgraded slum community do not simply funcion as milieus for supporing social and cultural aciviies through the noions of chance encounter and co-presence (Hillier, 1996) as well as passive social contact (Fesinger, Schachter & Kurt, 1950). Rather, they can signify the achievement of self-governance and the management capacity when chaoic spaces in slum communiies have been turned into an organized environment. Along with this capacity, those public spaces can also enlarge opportuniies for community residents to conduct tour visits and poliically moivated events, which is congruent with actual behavior and territorial appropriaion (Taylor, 1988) when residents as a group feel conident to collecively uilize public space near their homes for common good. By hosing visitors from across the ciies and regions of Thailand, BB residents have developed their conidence to talk and share their upgrading experiences with others. By having the most spacious public open space along with pro-acive leaders, the BB community has become a prime host for conducing poliically moivated aciviies not only at the local level, but also at the city and naional level. Evidently, this leads the BB community to hold two signiicant visits, namely from the Minister of Social Development and Human Security and the then Prime Minister Abhisit Vejjajiva. Therefore, public open spaces in low-income communiies can also be seen as a poliical milieu for low-income ciizens to exercise their poliical acivism. Also, it can be observed that the increasing level of poliical empowerment seems to correlate with the growing number of paricipants and various social and cultural aciviies in public open spaces. In this regard, paterns of use and appropriaion of public open space relect this quality because the paterns are varying, relecing social cohesion, social capital and poliical power. Therefore the ideniicaion of these paterns can be considered as a method to evaluate achievable levels of social, cultural and poliical aspects of the BMK project. For instance, public open space #2 has hosted social and cultural events. This helps in accumulaing social relaionship, thus contribuing to the culivaion of social capital. Thus poliically moivated aciviies and movements can be made possible. Finally, poliically moivated events and tour visits as poliical pracices held in public open space enlarge the opportunity for networking and empowerment. Therefore, public open space should be considered as an indispensible element to support the enablement of poliical empowerment in low-income communiies. Public open spaces are used both by groups of community residents and civil society to strengthen their movements. This is not only to atract help and support from public and private agencies from outside communiies to help maintain the improvement of various aspects of communiies, but also to show their ability to deal with their problems by themselves. 256 REFERENCES Dovey, K. (2005). The Silent Complicity of Architecture. In J. Hillier & E. Rooksby (Eds.). Habitus: A sense of place. Aldershot: Ashgate. Fesinger, L., Schachter, S. & Kurt, B. (1950). Social pressures in informal groups: A study of human factors in housing, Stanford. CA: Stanford University Press. Giddens, A. (1984). The consituion of society: Outline of the theory of structuraion. Cambridge: Polity. Hillier, B. (1996). Space is the machine: A coniguraional theory of architecture. Cambridge: Cambridge University Press. Hillier, B. & Hanson, J. (1984). The social logic of space. Cambridge: Cambridge University Press. Hillier, J. & E. Rooksby, E. (Eds.). (2002). Habitus: A sense of place. Aldershot: Ashgate. Lennard, S. H. C. & Lennard, H. L. (1984). Public life in urban places: Social and architectural characterisics conducive to public life in European ciies. Southampton, N.Y.: Gondolier Press. Taylor, R. B. (1988). Human territorial funcioning: An empirical, evoluionary perspecive on individual and small group territorial cogniions, behaviors, and consequences. New York: Cambridge University Press. The Community Organizaions Development Insitute [CODI]. (2009). Strategic plans. Retrieved from htp://www. codi.or.th/housing/StrategicPlans.html Yin, R. K. (1994). Case study research: Design and methods. Thousand Oaks, Calif.: Sage. 257 FINDING POTENTIAL FOR SUSTAINABILITY IN A “H.I.P.” URBAN ENCLAVE: THE CASE OF NIMMANHAEMIN AREA, CHIANG MAI, THAILAND Komson Teeraparbwong Faculty of Architecture, Chiang Mai University E-mail: komson.tee@cmu.ac.th ABSTRACT Based on the results of an ongoing study, this paper is a relecion on the urban structure of Nimmanhaemin area, a well-known and popular urban enclave in Chiang Mai, northern Thailand. Through an invesigaion of the contemporary socio-economic condiion of this area, the study demonstrates its exising radical shit in the context from a small setlement of private residences to an emerging mixed built environment between residenial and commercial that is porous in its socio-spaial fabric. Since the irst lifestyle mall opened in the area, Nimmanhaemin street has gradually taken on a role as a new popular locaion which is to be regarded as a H.I.P. place (highly individual place). The street serves people who both live within the area and those who visit from other areas as well as foreigners. The paper sets out to bring together the contemporary condiion of the Nimmanhaemin area, to deine the characterisics of a “H.I.P.” urban enclave and to idenify potenial for the sustainable development of the area. If a “hip place” is generally regarded as a product of a capitalist consumerism which is beckoning sustainability, then how can an area like Nimmanhaemin maintain both its popularity and sill be able to formulate a framework for long-term sustainability approach? The paper will review how the area has been used and misused, examining the available data in relaion to the need for sustainability such as density, waste disposal, rubbish dumping, as well as noise and air polluions. The paper reviews various factors that have potenial impacts on the area and concludes with a framework considering a prospecive sustainable approach shiting the area from a nonsustainable “H.I.P.” to a sustainable urban enclave in Nimmanhaemin area. KEYWORDS: H.I.P. place, Sustainable place, Socio-spaial study, Nimmanhaemin, Chiang Mai 1. INTRODUCTION: PLACE-MAKING OF THE NIMMANHAEMIN URBAN ENCLAVE Between 1968-9, Nimmanhaemin road was just constructed as a simple linear road connecing Huay-Kaew road and Suthep road. The road armature cut through the rice paddy ields, the exising agriculture zone at that ime. This area originally was land owned by Nimmanhaemin family. The key persons in this regard were Mr. Kee and Mrs. Kim-Hor Nimmanhaemin, the Chinese-Thai couple, who generously donated the land for a road construcion which was about 1.327 kilometres long. Later it was named ater their family “Nimmanhaemin” (นิมมานเหมินท์) to honour their generosity. In addiion, the couple sold parts of their land nearby to Chiang Mai University (CMU) where it is now the campus’s hub for Health Sciences subject and the locaion for Suan-Dok Hospital. This sale let to the construcion of Sirimaghalajarn road in parallel to Nimmanhaemin road and, in between these two roads, a number of land plots for sale and many small streets (called “Soi”) were created. At this ime few would have imagined that this area soon would become a famous and trendy area. 258 Figure 1. Huay-Kaew Road in 1967 before the construcion of Nimmanhaemin road. (Source: pictures courtesy of Boonserm Satrapai, “Lanna Thai Nai Adit”) Figure 2. Nimmanhaemin road juncion of Rin-come in 1970. (Source: pictures courtesy of Boonserm Satrapai, “Lanna Thai Nai Adit”) In the 60’s, 70’s and 80’s, Nimmanhaemin relected the university’s growth and without any efecive urban planning or implemented regulaions, some land plots were sold and changed hands. The area gradually became a residenial neighbourhood with private houses for professors, lecturers and university staf. However, although Nimmanhaemin was becoming denser through the new housing in this period, the road was sill a small, quiet enclave for living unil the inluence of the 6th and 7th Naional Economic and Social Development Policy from 19871991 and 1992-1996. The NESDP plan is held to have been a signiicant factor in the rapid growth within the city of Chiang Mai. (Apawacharuth, 1998) The plan was considered a driving force for speeding up the development of Chiang Mai city as a hub for tourism as well as for educaional purposes. This triggered the transformaion of the city as a whole with less concern on building regulaions and zoning across Chiang Mai. During the administraion of Thaksin Shinawatra, the Prime Minister between 2001 and 2006, Chiang Mai was deined as a key centre for the growth of Northern Thailand and much new development manifested in both the public and private sectors. For Nimmanhaemin road, since the irst community mall in 2004, the area has become booming for businesses and transformed into a place for designers and fashion items. A well-known annual event called the Nimman Arts Promenade (NAP) was established on Soi 1 in winter season ofering a showcase for creaive products. It gradually conirmed the area in the minds of tourists, visitors and others naionwide as a place associated with arts, design and creaive aciviies. For many locals, the area fulills a paricular role in their daily lives. This is especially true of students and staf from local universiies, i.e. Chiang Mai University, Rajamonkol University as well as other schools and poly-technical schools around the area. Also, the area was becoming popular for foreign visitors and long-term expat residents. By 259 2009, Nimmanhaemin had become a prime area for business and land prices increased accordingly to the highest in Chiang Mai (Planning Permission Bureau of Chiang Mai, 2009). The process of place-making had itself increased the value and gradually shaped the area as a highly fashionable, high proile place to visit or live in. 2. CURRENT BACKGROUND: EMERGENCE OF A H.I.P. PLACE, CONSUMERISM VS. SUSTAINABLE GROWTH? 2.1 The exising fabric of the area For the past ive years, Nimmanhaemin road has gradually transformed into a dense enclave of mixed-use and recreaional spaces. This urban development can be atributed to two major causes: the 6th and 7th NESDP; and also the policies of Thaksin’s government between 2001 and 2006. From super-highway to new ring road, as well as making Chiang Mai as an aviaion hub, these were parts of the new development. Another major factor is the increasing number of students at Chiang Mai University and other educaional insituions around the area, who have to live in and around the campus. This plays a crucial demanding role for the increasing types of residences such as apartments, guest houses, condominiums as well as shared units of shop-houses that were added to the area’s urban fabric. Figure 3. An aerial view of Nimmanhaemin road. (Source: from Google Earth Map) Figure 4. Residenial accommodaion around small streets (Soi) along Nimmanhaemin road. (Source: pictures by Teeraparbwong, K.) 260 As a result, the supporing urban infrastructure and other services have had to adapt to the greater numbers of residences and accommodaions. Businesses such as laundries, grocery and convenience stores such as 7-11 or Tesco Lotus express are increasing in huge numbers. This is signiicant for cofee shops, food pavilions, restaurants and bars which gathered around Soi 1 to Soi 9 (and later expanded towards Soi 13 and 15). As a result of the emergence of new kinds of commercial built-up area, the former enclave of residenial neighborhood has changed and experienced the conlict between them dramaically. This fricion is clearly discernible. From the survey it is apparent that there are not only transformaional changes in the physical built environment but also that the salient characterisics of the former residenial neighbourhood are gradually disappearing. Some pockets of former housing fabric in the area have been replaced by new types of commercial purposes. Many houses have been converted (or sold) to new uses or businesses, recognizing the growing popularity of the area. Consumer-orientated business and market capitalism are now predominant in the porous urban context of the Nimmanhaemin enclave. Figure 5. Study area along Nimmanhaemin road. (Source: Teeraparbwong, K.) 2.1.1 The uses of the area First, the invesigaion of “The uses of the fabric”. This addresses residenial accommodaion including housing units for long-term stays, both single and groupings, shop-houses, condominiums and all types of short stay accommodaion such as hotels, guest houses, apartments and rooms for leing. Secondly, the invesigaion of “The commercial areas”. This addresses commercial businesses in the area including all kinds of shops, restaurants, art/furniture/decor galleries, cofee shops, grocery and convenience stores, bars and other commercial businesses such as spa/massage services, educaional businesses and oices. Thirdly, the invesigaion of “The urban services of the area”, by which is meant buildings that support the daily life in the area. These are disinguished from entertainment and recreaional businesses. They include all types of medical services such as pharmacies, surgeries, denists and skin clinics; post oices; banks and inancial businesses; laundry services and also parking areas. 2.1.2 The form of “igure and ground” and its morphology Using the methodology of the “igure and ground” study (Rowe et al., 1978), the contrast between the physical environment and the open space shows that the lower part of Nimmanhaemin road (between Soi 9 and 17) is, surprisingly, denser than the upper part where small groups of houses and open spaces are sill scatered around the area from Soi 1 to Soi 9. 261 One special urban element that needs to be addressed here is the considerable area of land owned by one privatesector company, Prasert Land Co.,Ltd. This area can easily be recognized from the Google earth map of Chiang Mai. Though having litle impact on the physical built form, but this privately-owned land provides an open space for the area. Moreover, the area is occasionally used as a temporary event place such as fairs and concerts. “The uses of the fabric” Figure 6. Series of Maps showing 3 diferent uses,. (Source: Teeraparbwong, et al.) “The Commercials” Figure 7. Series of Maps showing 3 diferent uses. (Source: Teeraparbwong, et al.) “The Urban services of the area” Figure 8. Series of Map showing 3 diferent uses. (Source: Teeraparbwong, et al.) 262 Figure 9. Figure-Ground of Upper and Lower area. (Source: Teeraparbwong, et al.) 2.1.3 Traic and circulaion network Nimmanhaemin traic network is developing as a “ish-bone” structure. The road itself acts as a main spine for twoway traic and is linked with small streets (Soi 1 to 17) creaing many small juncions. The most congested traic is around the juncion between Soi 7, 9 and 11 where, signiicantly, the highest diversity of uses are to be found. There are frequent complaints from the neighbourhood (i.e. pockets of pre-development residents), concerning the negaive impact caused by new businesses, especially road traic and noise. Small streets are illed with cars during business hours. Despite the fact that there are rules about parking on each side of the street (the parking system of odd and even number days), there are sill traic problems every day and night, especially when business use is at its daily peak. 2.1.4 Infrastructure and green areas Nimmanhaemin road falls under the Suthep district administraion, so that this local government authority is responsible for the infrastructure maintenance and management services. According to the survey, there are two important elements that need to be discussed: 1) Structure of the green area, and 2) The waste/garbage dumping areas. 263 From the results of the invesigaion, the only large green space in the area is the “Suan-Sukkhaparb Health Garden” which is used by residents and some University staf as an exercise ground or for other recreaional purposes. Apart from this, hardly any public green areas for residents can be found. It is fortunate that some small pockets of houses from the 70’s and 80’s are sill providing green spaces in the area. However, the survival of these small green pockets is dependent on their owners leaving them untouched or maintaining them in the current state. The waste/garbage dumping areas and collecing spots operate on the principle of “laisser-faire”, being the responsibility of local businesses and land owners themselves. This unorganised system someimes causes problems when conlicts arise between the businesses and residents. Figure 10. Traic Maps of the greater area of Nimmanhaemin road. (Source: Teeraparbwong, et al.) 2.2 Emergence of a H.I.P. place The mixed-use typology in Nimmanhaemin area is clearly recognisable. The area’s burgeoning image as a “creaive”, “trendy” and “arisic” locaion has played an important role in its transformaion from a neighbourhood residenial to the “present” as a H.I.P place appealing to young, fashionable and trend-conscious people. It can be described as a recreaional place for “hanging-out” where the young seek to fulill their “life-style aspiraions”. According to the urban terminology, H.I.P can be described as: “The state of being known, including (but not limited to) being stylish or fashionable; being informed, up to date, contemporary, relevant; being modern in dress, aitude and interests.” (Urban Dicionary website, 2012) The abbreviaion of “H.I.P” is deined as Highly Individual Places where the uniqueness of the place is very strong and similar to individual people. In the context of place-making, a place that is highly individual can be described as a place with special and unique characterisics and cannot be categorized as generic or “place-less”. (Ague, 1995) 264 Figure 11. Green areas and Waste/garbage dumping spots on upper area of Nimmanhaemin road. (Source: Teeraparbwong et al.) Figure 12. Examples of places within the area of Nimmanhaemin road. (Source: by day and by night; Teeraparbwong, K.) Regarding the transformaion of Nimmanhaemin road to its present condiion, it can be seen as a HIP area where the characterisics of the place are uniquely “trendy”. The transformaion of small houses into cofee places or commercial shops has been the iniiaive of creaively-minded young people. These are elements that it in well with their perceived life-style aspiraions. Based on research, some of these elements can be characterized as shown in the following diagram. Figure 13. the Diagram of Criteria for H.I.P. Place. (Source: Teeraparbwong, 2012) The Built Environment, Life-style and Uniqueness are three main characterisics that deine Nimmanhaemin area becoming a “HIP” place. However, negaive aspects of its development are also apparent such as the efects of unplanned or poorly planned development. There is, for example, jusiiable concern about the un-sustainability of current arrangements for waste disposal, noise and air polluion. These have raised the obvious quesion: “how can an area like Nimmanhaemin maintain both its popular role and sill be able to develop a framework for long-term sustainability?” 265 If a “hip place” is generally regarded as a product of a market economy where consumerism is part of a need for sustainability, then there must be construcive approaches to the development of a sustainable framework. Figure 14. the waste area and green pockets within Nimmanhaemin road. (Source: Teeraparbwong, 2012.) 3. CONCEPTS/IDEAS ON SUSTAINABILITY 3.1 Concept of Sustainable Neighbourhoods In Designing the City (1999), Hildebrand Frey points out that “today’s city needs strategic planning and design which deine Urban Design operaion and deine sustainability criteria.” He tries to link three main issues under the following headings: Social, Economic, and Environmental. He argues that these three issues are crucial when working out a concept for a sustainable neighbourhood. Further, he argues that this has to be considered within two structures of study i.e. Micro-structure and Macro-structure. This method enables us to assess posiive and negaive factors in the area and to develop a so-called “Applicability Structure”. He also raises the need for diferent key factors from the “Applicability Structure”, which are: • The Need for Flexible (Regeneraion) Frameworks for Sustainability • The Need for Community Involvement in Urban Regeneraion • The Need for More Regional than Local Input in Thinking/ Planning/ Designing • The Need for Poliical Support The concept of a Sustainable Neighbourhood aims to achieve strategic planning for Housing, Car-Free Movement, the Encouragement of Local Businesses, a Walkable Network, and Universal Accessibility. 3.2 Sustainability indicators and assessment In her work, “Sustainable Place” (2003), Chrisine Phillips quotes Dean Hawkes, who “… sees the problem of sustainability as the problem of the city: ‘The processes of urbanizaion have destroyed the symbioic relaionship between humanity and nature. Modern ciies are supported by extensive hinterlands from which they extravagantly draw resources. This has resulted in the consumpion of non-renewable resources and the destrucion of nature both in the city’s immediate surrounding and globally’. This expresses a conlict between the objecives of urbanism through industrializaion and the processes of nature. Sustainability demands that a more inclusive relaionship is developed between natural environment and city form.” Nevertheless, Phillips adopted the following terms and deiniions in conceptualizing the “Sustainable Place” as… “A place which, through natural or man-made atributes, is able to foster condiions physically, funcionally, culturally, and insituionally that prolong and nurture life-generaing forces for man.” (Phillips, 2003) Phillips also formulated the features of a place assessment that have direct bearing on the interacion of man, landscape and architecture. The methodology has four consituent parts, which are: 1) Physical Condiions, 2) Cultural Idenity, 3) Funcional Needs, and 4) Insituional Requirements. 266 Figure 15. the Assessment, “The Master Plan”. (Source: Phillips, 1997) Phillips suggests that “this system takes the aestheic qualiies and human response into account alongside, and appropriately balanced with, the more tangible and quaniiable characterisics of sustainable development.” This leads to the sustainability indicators drawn up for each consituent part. Some indicators, which are related to this study, can be considered here: PHYSICAL - The climate, topography, vegetaion, resources (materials, minerals, water, soil, air), renewable energy (hydro, wind, wave, solar, biomass), degeneraion of the environment (erosion, polluion, heat island, acid rain, exploitaion), External dependencies (oil, gas, electricity, other) FUNCTIONAL - Resource eiciency, passive systems, the town and its plan, boundary, eiciency technology, relief, climate and buildings, mixed-use development, poly-centric development, reduced need for public transport, Spaces (prospect/enclave, private/public, transiional), recycling (materials, resources, waste), re-use of buildings, informaion technologies, footprint INSTITUTIONAL - Economic base, integraion or reducionism, systems that reward eiciency and saving resources, incenive structures, professional government (local, naional, internaional), legislaion (taxes, building regulaions, conservaion), patern of conservaion, land tenure, public transport, property speculaion, populaion changes CULTURAL - Human scale, humane housing, heritage (environmental and historical), cultural simulaion, regional character, sense of community, religious and ethnic toleraion, creaivity, local paricipaion The study was undertaken with the idea of developing a framework for such a HIP area like Nimmanhaemin. However, the review has shown that the selected concepts and theories on sustainability are partly useful and, for this study, it is necessary to narrow down suitable criteria. This research (and this paper) atempts to show the criteria and framework for the potenial sustainability of the area as a HIP place. By mapping out the urban characterisics of a HIP area drawn from the invesigaion, the study synthesizes the issues adopted from both Frey and Phillips and proposes a new framework. The focus is on the points of concern as demonstrated in the diagram below. 267 Figure 16. Integraion of “H.I.P. place” characterisics and the criteria of a sustainable place from both Frey and Phillips. (Source: Teeraparbwong, 2012) 4. CONCLUSION: Framework for sustainability in HIP Nimmanhaemin area The aim of this paper has been to look at the possibility of establishing a potenial framework that can be used to review and assess a HIP (Highly Individual Place) area based on the example of the urban structure of Nimmanhaemin. In part 3 of this paper, the three characterisics of a HIP area have been ideniied. In addiion, concepts of Frey and Phillips have been integrated with this schema. Here a model for sustainable HIP area is proposed relaing to the following three aspects. 4.1 The Physical Built Environment 4.2 The Social Uses, Funcions and Lifestyles 4.3 The Cultural Economic Idenity The Physical Built Environment • From the study, a HIP place requires a low-rise and walkable built environment that serves both locals and visitors. This means a low-rise built environment where buildings are grouped so people can walk easily between them. This built environment will meet standards on climate and polluion, using natural resources such as water and trees and integraing green areas. • Natural diversity and integrity need to be respected. Physical materials used for the built environment must conform to the principles of the “3-R system”: re-use, re-new and re-cycle. • The characterisics of the physical built environment are creaive and unique both in their style and materials used. They should also take into account for human scale. The Social Uses, Funcions and Lifestyles • The study inds that the HIP area is a vibrant and dynamic place. It serves a current style of living which focuses on the fashionable and sociable. The paper argues that this has to be achieved in conjuncion with the access to the area and in a way that is environmentally friendly. Thus, the social funcions of the HIP area have to be well considered and well located within the natural pockets of the socio-spaial patern of Nimmanhaemin as a HIP area. 268 • Maintaining social cohesion and a neighbourhood network is crucial. Development must ensure sustainability and diversity of use, e.g. educaional, cultural and recreaional. • In the HIP area, it is important to recognize the role of new informaion and communicaion technologies, e.g. Wi-Fi internet use. Although the inal results of the invesigaion are sill unavailable, the pilot invesigaion suggests that sustainable use of a Wi-Fi network linked to other electronic resources is possible. • According to Agenda 21, good health is a key concern in sustainable development. This is of course true for the development of a HIP area. The concern here is that development should not be detrimental to health for example by the unsustainable use of natural resources. The Cultural Economic Idenity • The HIP area recognizes in combinaion local idenity and the creaion of a new, disinct idenity. It already serves economic purposes well so that the area is maintained as a HIP enclave. The diversity of disincive local and cultural heritage, however, has also to be respected and sustained. • The creaive economy has a role in this HIP area in order to provide a plaform for the development of creaive industries and businesses in the area. The HIP Nimmanhaemin needs to maintain creaive and arisic aciviies within the area if it is to develop as a hub for this kind of cultural acivity. REFERENCES Apawacharuth-Charoenmuang, D. (1998). City and city planning in Thailand: Case of Chiang Mai, Thailand; CUSC (Chiang Mai Urban Study Centre), Chiang Mai, Thailand. Conzen, MRG. (1966). ‘The use of town plan in the study of urban history’. In H. J. Dyos (Ed.), The study of urban history. London: Edward Arnold. Frey, H. (1999). Designing the city: Towards a More Sustainable Urban Form. New York: E&FN Spon. Hawkes, D. (1996). Towards a sustainable city. In The Environment Tradiion (Studies in the Architecture of Environment). London: Spon. Hough, M. (1995). Ciies and natural process. London: Routledge. Kasprinsin, R. (2011). Urban Design: The composiion of complexity. New York: Routledge. Ongsakul, S. (1996). History of Lanna. Bangkok: Amarin Prining. Ongsakul, S. (in Thai). (1996). Chiang Mai’s urban planning as a living historic city: Past and Future. Proceeding of the 6th internaional conference on Thai studies (October 14-17, 1996). Chiang Mai, Thailand. Phillips, C. (2003). Sustainable place: A place of sustainable development. London: Wiley-Academy. Satrapai, B. (in Thai-Eng). (1978). Lanna Thai Nai Adit: Thai Northern Lanna in previous Time. Chiang Mai, Thailand. 269 READING MULTICULTURAL SPACE: SENSE OF TERRITORY, PUBLIC IDENTITY, AND CENTEREDNESS Moohan Kim* Landscape Architecture, Graduate School of Environmental Studies, Seoul Naional University, Seoul, South Korea E-mail: mook@snu.ac.kr ABSTRACT Metropolitan Seoul is becoming a mulicultural society because of the reducion of the young populaion and the signiicant increase of the foreign-born populaion. Thus, current mulicultural places have the obvious potenial to increase in number and to expand in size. The aim of this study is to conduct primary research by analyzing and interpreing small-scale mulicultural space to predict its expanded size and increased populaion. For this purpose, this research irst atempts to establish a framework for reading mulicultural space. Second, to apply the framework, the study focuses on Hyewha Filipino Street in observing mulicultural spaces in Seoul. The research undertook a literature study to set a theoreical frame for the analysis and interpretaion of mulicultural places. Rapid Ethnographic Assessment Procedures (REAP) including group interviews, behavior mapping and quesionnaire surveys were used in the selected place. This paper considered three key ideas: the existence of a perceived territory; public idenity, which fosters a sense of openness; and centredness, which creates a sense of independence. Hyewha Philippine Street in Seoul Metropolitan was interpreted as a signiicant mulicultural place that provides a sense of territory, is public, and exhibits centredness. KEYWORDS: Mulicultural space, Sense of territory, Public idenity, Centeredness, Filipino street, Urban space, Seoul, South Korea INTRODUCTION Metropolitan Seoul is becoming a mulicultural society. Since 2000, an increase in the foreign populaion has been observed each year. For example, in 2005, foreigners accounted for 1.28% of Seoul’s populaion, but in 2011, the percentage was 2.65% at 279,095 people. Moreover, there has been a negligible increase in the number of Korean residents in Seoul together with the signiicantly increased number of foreigners (Seoul GIS, 2012). According to a policy report (Seokki Hong, 2008), the number of foreigners in Seoul is predicted to reach more than10% of the populaion of Seoul by 2027. Thus, the current mulicultural areas have the obvious potenial to increase in number and to expand in size. To examine the case of one’s own country is a meaningful approach because the phenomenon of muliculturalism is associated with diferent issues in each country’s case (Kymlicka, 2005). In Korea, there are three types of studies: socio-spaial studies of ethnic places (Seungho Son, 2008; Seokhoi Yim & Juyoun Song, 2010; Sunim Kim, 2010; Heechul Kim & Kunhyuck Ahn, 2011; Seong-jyu Ha, Kangrae Ma & Ahrim Ahan, 2011); case studies of areas with a * Correspondence Address: Moohan Kim (Doctoral candidate), Landscape Architecture, Graduate School of Environmental Studies, Seoul Naional University, Daehak-dong, Gwanak-gu, Seoul, South Korea. Email: mook@snu.ac.kr, +82 10 4173 4182 270 concentraion of ethnic residents (Hyunmi Kim, 2005; Kyungseok Oh & Keunhwa, Jung, 2006; Eunmi Kim & Jihyun Kim, 2008; Sehoon Park, 2010); and general theoreical studies of mulicultural spaces (Byungdoo Choi, 2009). Socio-spaial studies focus on the staisical distribuion of the populaion. The case studies approach provides general informaion about ethnic residenial areas. The theoreical approach provides a general deiniion of mulicultural spaces. However, relaively few studies have been devoted to small-scale mulicultural places, examining their spaial characterisics and their meaning for both ethnic groups and mainstream groups. The aim of this study is to conduct primary research by analysing and interpreing small-scale mulicultural landscapes to predict their expanded size and increased populaion in metropolitan Seoul. For this purpose, this paper irst atempts to establish a framework for reading the mulicultural space. Second, to apply the framework, the paper focuses on Hyewha1 Filipino Street in observing mulicultural spaces in Seoul. READING THE FRAMEWORK As an ideal muliculturalism model, Hatmann and Gerteis (2005) suggest an ‘interacive pluralism’ that is concerned with the social interacion between an ethnic culture and the mainstream culture, each of which establishes its own cultural territory based on obvious boundaries between the two cultures and their independent internal social frameworks. In these authors’ opinion, diferent groups are independent in terms of their internal social operaions, external territories, and social interacions. However, these authors present only a conceptual framework for muliculturalism, and a pracical approach toward spaial adaptaion is essenial for further discussion. Hester (2006), although he used the word sub-culture, provides several condiions for the sustainability of mulicultural spaces. According to his view, mulicultural space requires a perceived territory that supports an ethnic group’s basic existence or capacity to gather, a sense of independence that allows automaic social interacion among an ethnic group’s own members and a social structure with obvious diferences from the mainstream culture, and a sense of openness toward other ethnic groups and the mainstream, which will minimise conlicts based on diferences. Hester’s vision is consistent with the ideal of ‘interacive pluralism’, and the concept of mulicultural spaces can be pracically applied. In considering the concept of mulicultural space, this paper considers three key ideas: the existence of a perceived territory; public idenity, which fosters a sense of openness, and centredness, which creates a sense of independence. In ‘interacive pluralism’, the perceived territory should be based on the public domain. In other words, a public idenity should be an essenial prerequisite for a sense of territory. Moreover, the territory has the spaial power to shape a speciic culture and its associated behaviours (Blij, 2009): the power to create a centre that leads the people and their culture. This paper focuses only on these three ideas based on the concept of interacive pluralism as an ideal mulicultural model. Sense of territory Storey (2001) deines a ‘territory’ as a ‘bounded space’ and argues that a bounded space can be viewed as having imprecise divisions in terms of wealth, class, and ethnicity. A mulicultural space requires a disincive territory for an ethnic group. Brigheni (2010) argues that social interacion and its processes make the territory real, at which point the territory becomes a posiive framework for subsequent social interacion. He also suggests that ‘actors’, ‘interacion’, and an ‘audience’ generate a sense of territory. In a mulicultural landscape, the ‘actors’ are the members of the ethnic group, and the ‘interacion’ is the social phenomenon created by the relaionships among the members of the ethnic group, the mainstream, and other ethnic groups. The audience is either the mainstream or other ethnic groups. The signiicance of this interacion from Brigheni’s perspecive is that the actors play the role of host in the interacion and the audience recognises the actors as organising the interacion. Therefore, 1 Hyewha Filipino Street is located on Hyewa dong (neighbourhood) where is belong to Jongro Gu (district) in Seoul. The street is a pedestrian sidewalk linked between Hyewha Catholic Church and Hyewha subway staion and faced on a high school. The total length is about 235m with 3~13m width. The distance of allowed space from the borough of Jongro is 81m with the width between 5m and 7.5m. 271 both the audience and the actors shape ethnic spaces, and the ethnic territories in turn shape the players involved (Storey, 2001). An addiional concept related to that of the perceived territory is the factor of ime. Altman (1975) posits three types of territory based on period of occupaion and psychological centre. Referencing three types of occupaion based on iming, regular occupaion, occupaion by order of arrival, and temporal occupaion, Altman suggests that ‘primary territories’ are controlled by individual sectors, ‘secondary territories’ are managed by regular occupiers and are open to outsiders, and ‘public territories’ are occupied briely and allow entrance to everyone in order of arrival. However, based on their openness to an outside audience, ‘primary territories’ do not need to be considered as a component of a mulicultural landscape. According to this view, an ethnic territory in a society should have easy accessibility for outsiders and hosts and should be a spaio-temporal place that allows temporary or regular occupaion. Publicness In general, we recognise parks, plazas, streets, community gardens, and greenways as public spaces, and we call these places urban open spaces. These urban open spaces are deined as public spaces that are open to everyone and feature easy accessibility (Carr et al., 1992; Lynch, 1972) regardless of their naionality. Moreover, an urban open space is a ‘third space’ that individuals eagerly frequent outside of the sector in which they live and work. People are encouraged to visit such spaces informally and regularly (Francis, 2004; Oldenburg, 1989). Thus, openness is an essenial trait in a mulicultural place that is an urban open space. When a mulicultural place is an urban open space, ethnic spaces should maintain these characterisics. Francis (1989) deines public space as a controlled landscape, suggesing that public space is controlled by invisible factors. Lynch (Francis, 1989; 1981) suggests that there are ive dimensions of the landscape of public areas. In his opinion, a mulicultural landscape in an urban open space is controlled by the right of accessibility, the right of use and acion, temporal ownership, the right to change the public space to a certain degree in tandem with such temporal ownership, and the ease with which temporal ownership is handed over to the next occupier as soon as one group stops using the site. Francis (1989) also describes public spaces as ‘paricipatory landscapes’, arguing that the people in a place are directly included in public spaces through human acion, visual involvement, and value atachment. In other words, in a mulicultural place, an ethnic group acts according to its own values, and the audience recognises the place as a unique landscape associated with the ethnicity of the actors. Therefore, the people in a mulicultural landscape are an essenial factor for us to consider in evaluaing the diference and value of the space. People gather in a place because of speciic values that they hold, at which point the place becomes a mulicultural landscape. Following this sequence, the place becomes a central locaion with value atachment. Centredness Hatmmann and Gerteis (2005) argue that each mulicultural group has obvious boundaries and internal centredness in the ‘interacive pluralism’ model. Therefore, if a mulicultural space has a socio-spaial sense of independence, the place has a certain type of spaial power: centredness. The centredness associated with a space is created by both repeiion and overlap in spaio-temporal occupaion, sharing acivity, experience, and interest (Hester, 2006). Thus, temporal occupaion based on the repeiion and overlap in a place is evidence of its centredness. Thwaites and Simkins (2007) menion the higher psychological value associated with centredness. In their view, people can obtain psychological recovery and comfort, including physical value, in a central place. If an ethnic group has a central place, it may experience nostalgia and psychological stability. Therefore, centredness involves spaiotemporal occupaion and generates shared psychological and physical value for the paricipants. 272 In metropolitan Seoul, there are oicially more than 14 mulicultural spaces. All of these places have their own territory and centredness. However, in terms of their degree of public access, these locaions vary. Although more in-depth invesigaion is required, Filipino Street is chosen as a case study in this paper because the focus in this research is public space. The case study methodology and the further discussion of the results are presented below. METHODOLOGY The Rapid Ethnographic Assessment Procedures (REAP) methodology is useful for understanding a site using diverse informaion and triangulated analysis (Low et al., 2005). In this study, a number of REAP methods were used. These included paricipant observaion, behaviour maps, impromptu group interviews (including one with a merchant chairman who has operated a street stall on Filipino Street for 10 years with his Filipino wife), and quesionnaires in place of individual interviews. The researcher conducted paricipant observaion for 6 months. For the behaviour maps, ater the researcher recorded the street using a video camera seven imes per day, a video decoder was used to create the behaviour maps. The behaviour maps indicate naionality (Korean, Filipino, and other), behaviour patterns (moving, stopped, solitary), and the number of interacions (for Koreans, Filipinos, and others). To examine the interacions in greater depth, the data were collected only for a space of less than 3 meters between people (Hall, 1966). The quesionnaire survey was undertaken for two weeks by the researcher in Hyewha Filipino Street in metropolitan Seoul. Table 1 presents the method employed, the amount of ime spent, the type of informaion collected, and the general indings (Low et al., 2005). Table 1. Hyewha Filipino Street: Methods, Data, Duraion, Products, and What can be learned. Method Data Duraion Product What can be learned Paricipaion observaion Field notes 7 days for 6 months Sociocultural descripion of the context Provide context for study and ideniies community Behaviour mapping Time/space maps of site 1 day Descripion of daily aciviies on-site Cultural aciviies Impromptu group interview Transcripion of meeing 2 days Descripion of issues that emerge in small-group Group consensus of issues and problems Quesionnaires survey (individual interviews) Interview sheets, ield notes 2 months including pre-test Descripion of group perspecive Community responses Note: The Filipino Street is opened on every Sunday only. RESULTS Impromptu group interviews The impromptu group interviews were conducted over a period of two days with members of the vendors’ associaion and the chairman of the associaion. Open-ended, unstructured interviews were conducted in a restaurant with 5 of 15 street vendors and on the street. The transcript of the meeing provides the history of the street, the main reasons the paricipants moved from a previous locaion, their reasons for coming to the street, the average number of Filipinos on the street each Sunday, and informaion about the vendors’ associaion. The community on Filipino Street is naturally composed largely of atendees of the services at the nearby Hyewha Catholic Church. The roles of a Filipino priest and the Philippine embassy were signiicant when the neighbourhood faced a crisis. For more than 20 years, Filipino Street has operated coninuously in this urban open space. There have been replenishment and overlap in the occupaion of Filipinos. The number of Filipinos is approximately 400 to 500 every Sunday. The vendors’ businesses are open between 10am and 5pm, and the vendors are primarily Filipinos. The main reasons the vendors stated for coming were to obtain job informaion and groceries and to speak with others who use the same language. The vendors’ associaion plays a role in decreasing the conlict between Filipinos and the borough through the Filipinos’ own iniiaive. 273 Quesionnaire survey The quesionnaire survey (99 respondents) on the site was administered ater pre-test quesionnaires distributed online (49 respondents) to Filipinos and paricipant observaion by the researcher. There are several important value orientaions that explain why Filipinos come to the site. Table 2 shows the number of responses for each reason that the paricipants indicated as a moivaion for visiing the site. Table 2. Value Orientaions. Why do you visit Filipino Street in Hyehwa? Contents The number of responses Meet with Filipino Friends To see Filipino friends 49 See other Filipinos To see same ethnic 27 Atend Mass Mass between 1:30 and 3:00 75 Buy Filipino foods 2 Filipino foods vendors 38 Buy Philippine goods 13 vendors 32 Get informaion Job informaion 23 Free Clinic At the high school’s hall on Sunday only 13 Sunday Bank Three banks near to Filipino Street opened on Sunday 26 Business Vendors 9 Others Mission works 9 The paricipants were allowed to provide more than one reason, and thus, the total number of responses (301) is greater than the number of paricipants (99). The two most frequently stated value orientaions were “Atend mass” (75) and “Meet with Filipino friends” (49). Other moivaions were food (38), goods (32), “See other Filipinos” (27), banking (26), informaion (23), free clinics (13), business (9), and other (9), in that order. The descripion of the group interviews is supported by this informaion. Relecing the psychological value of the site, Table 3 presents the means of the scored responses (on a ten-point scale from strongly agree to strongly disagree) for nostalgia, psychological stability, and a sense of belonging. The means of the psychological values are 6.5 (nostalgia), 7.7 (psychological stability), and 7.2 (sense of belonging). Table 3. Psychological values. Psychological values The number of responses Mean Nostalgia 99 6.5 Psychological stability 98 7.7 Sense of belonging 99 7.2 Behaviour mapping and paricipant observaion Three groups were included in the numbers of staic people, those who had stopped to conduct some acivity: Koreans, Filipino, and other foreigners. At 3 o’clock, the number was 224 for Filipinos. The number of Filipinos gradually increased to a peak, ater which it decreased. The number of Koreans was steady between 33 and 42 ater 10 am (13). There were few other foreigners. During the seven observaions, the total numbers of Koreans, Filipinos, and others were 239, 688, and 3, respecively. Figure 1 presents the number of people who stopped for social interacion, including solitary people, in the seven session recordings. 274 Figure 1. the number of stopped people for interacion and solitary & ime. There were many passersby during the observaion. The total numbers were 511 for Koreans, 178 for Filipinos, and 4 for others. The peak imes for the Koreans were 11 am (94) and 2 pm (135). The number of Filipinos gradually increased to 52 except at two imes: 1 pm and 2 pm. There were few people observed who were from other ethnic groups. Figure 2 presents the number of passersby for each session. Figure 2. the number of passerbies & ime. Figure 3 shows the number of interacions among the three groups. There were 4 types of interacion among the people of the various naionaliies: Filipino-Filipino, Korean-Filipino, Korean-others, and Filipino-others. Figure 3. the number of interacions & ime. 275 The number of interacions between Filipinos gradually increased to 42 at 3 pm and subsequently decreased to 37 at 4 pm. The average number of interacions between Koreans and Filipinos was 8.5, with a maximum of 13 at 3pm. The number of Koreans interacing among themselves decreased from the irst observaion (12) to the last observaion (4). There was only one observed interacion among Koreans, Filipinos, and others. Table 5 shows the numbers based on behaviour mapping ater the video decipher process. Table 4. the number of staic people for interacion and solitary, passerby, interacion, and solitary. Staic Interacion 0 3 1 0 8 0 1 3 0 12:00:00 ~ 12:04:12 33 94 1 44 34 0 11 6 14 1 2 7 0 13:00:00 ~ 13:04:08 40 77 1 65 21 0 8 4 17 0 5 9 1 14:00:00 ~ 14:04:02 36 81 1 135 15 0 7 6 19 0 3 5 1 15:00:00 ~ 15:04:05 42 224 0 71 45 2 13 4 42 0 2 8 0 16:00:00 ~ 16:04:07 33 116 0 56 52 2 9 4 37 0 1 1 0 Total 239 688 3 511 178 4 60 41 138 1 17 34 2 Others 1 5 Filipino 12 Korean 3 9 Korean, Filipino & Other 0 0 Filipino & Filipino 4 7 Others 46 94 Filipino 0 0 Korean 40 56 Others 13 42 Filipino 10:00:00 ~ 10:03:26 11:00:00 ~ 11:03:46 Time Korean Korean & Korean Solitary Korean and Filipino Dynamic Note: The table is based on the data coded on the behaviour maps DISCUSSION Both the number of staic groups and the number of dynamic groups indicate why the ‘actors’ menioned above are Filipinos. First, the number of staic Filipinos is larger than the number of staic Koreans, although the number of dynamic Filipinos was less than the corresponding igure for the Koreans. These results indicate that Filipinos (688) visit the street as a desinaion for various aciviies but that Koreans (511) use the site mainly to pass through. Second, according to the interviews and observaions, Filipinos play a signiicant role in atracing Koreans and other Filipinos. Conversely, the ‘audience’ is made up of Koreans and other foreigners. The social interacion among the three groups [Table 5] indicates that each group has its own territory (Brigheni, 2010). The Filipinos play a role as the hosts for the interacion, and the Koreans also recognise them as organising the interacion. The data [Table 5] for the interacions provide the evidence of this patern. The Filipinos have interacted both among themselves (138) and with the Koreans (60). Moreover, the Filipinos experience a sense of belonging at the site. The mean for the sense of belonging measure [Table 3] is 7.2 of 10, indicaing that the Filipinos experience a sense of belonging in this place in which they have established a territory and determined their own psychological territory (Rishbeth, 2004; Beer, 1990). The sense of belonging based on membership creates boundaries that lead to a sense of territory (McMillan & George, 1986). The overlapping maps [Figure 4] based on the seven behaviour maps illustrate 6 types of interacion at the site. The ‘related legal vendors’ on the map are interpreted as inhabiing the ‘secondary territory’ because the vendors have regularly occupied that locaion and are open to outsiders. Of course, the ‘related illegal vendors’ and the ‘related charity bazaar’ are also part of the ‘secondary territory’ because of the regular use of the space and the openness of the space to other people. The ‘independent’ space on the map is interpreted as the ‘public territory’ because it is occupied briely and allows entry to everyone in order of arrival. The site has no restricions on access. People are encouraged to visit informally and regularly (Francis, 2004; Oldenburg, 1989). The site is open to everyone, with easy accessibility (Carr et al., 1992; Lynch, 1972) regardless of naionality. The locaion is controlled by invisible factors. People in the space have rights of accessibility, use, and acion, and thus, they control the site with those rights. They have temporal ownership every Sunday, and thus, 276 they ill the street with vendors’ stalls and occupy the space themselves. When people inish their business, they clean the site and pass the right of temporal ownership on to the next daily occupiers. The results also illustrate why people visit the street. There are many diferent factors that can help us to recognise the site as an ethnic group’s space, such as its appearance, foods, goods, and language. The diferences dominate the site every Sunday, but the fundamental factor is the Filipinos. In fact, the obvious number of staic Filipinos (688) supports the designaion of the site as a Filipino space. The space is a ‘paricipatory landscape’ mainly for Filipinos. Figure 4. the overlapped map of behavior maps. Although the video recording was conducted only for one day, we can esimate the number of occupied stalls on the street for approximately 14 years. The new uses of the space coninually overlap with the previous ones on the street. The repeiion and overlap commenced in the new locaion along with the Mass. The people who atend the Mass remain the main source of the energy of the street. However, the street plays a signiicant role because it provides psychological value [Table 3]. Moreover, Filipinos can acquire physical value in this space as well. Therefore, we can say that Filipino Street has a centredness based on shared psychological and physical value. CONCLUSION This paper has atempted to outline three essenial keywords for exploring mulicultural space. The role of Filipinos is signiicant: they funcion as ‘actors’ who atract an ‘audience’ that includes Koreans and other ethnic groups. The Filipinos feel the sense of belonging within their own temporal territory. The site is controlled by several factors and features easy accessibility. The Filipinos play a role in creaing their own ‘paricipatory landscape’. Moreover, as a pedestrian walkway, the site has the characterisics of a public space. There are sill many passersby. As a place that generates both psychological and physical value for Filipinos, the site has the quality of centredness, especially for Filipinos. 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The Korean Associaion of Regional Geographers, 16(3), 275-294. 278 THE HIDDEN NEIGHBORHOOD IN YAOWARAT: HOW SOCIAL MOBILIZATION PROCESS EVOKES THE PLACE IDENTITY Natawut Usavagovitwong Center for Integrated Socio-Spaial Research, Sripatum University E-mail: natawut.us@spu.ac.th ABSTRACT Neighborliness and whether or not it is a criical element of place-making science has been at the forefront of discussions among development praciioners, planners, and academics. By its nature, the degree of neighborliness has always been uncertain and dynamic from place to place. Also, it inevitably afects any physical development approach since the neighborhood per se is a crosscuing socio-spaial domain. This paper portrays how neighborliness could be constructed upon development aciviies and social mobilizaion process, and help bring on a place-making enity. Based on an actual development and a research intervenion in Chinatown – Yaowarat, it is discovered that within the highly-concentrated commercial district, neighborliness has long adhered, rather recently evoked by the mass rapid transit development. Place idenity has become an instrument for residents, despite being the resourceful middle-class, to encounter globally-overarching economic aciviies. The research indings challenge current neighborhood concepts by posiing two main understandings, relected from the ield; (1) it is discovered that neighborliness, albeit under hard condiions and through an unnatural process, could reemerge, and (2) place idenity highly contributes to the re-embracement of neighborhood ies. KEYWORDS: Neighborhood, Social mobilizaion, Chinatown, Place idenity 1. BRIEF CONTEXT AND CIRCUMSTANCE Neighborhood and place idenity might be independent units of analysis in social and spaial science for their own sakes. There are plenty of neighborhoods without place idenity and vice versa. Nonetheless, they are oten understood as an intersecing endeavor of socio-spaial pracice. The author underscores a case study that relects the opposiion to everydayness neighborhood: the ambiguity of neighborliness at Yaowarat, Chinatown in Bangkok. Unlike the convenional neighborhood, this disguised neighborhood has drasically provoked some neighborliness elements in an obviously criical context. The neighborhood in Yaowarat has long comprised rigid clusters based on clans and family names1. At the original period of Chinese setlement herein, expats, Chinese clans and families regularly associated among one another and represented a very strong sense of neighborliness in order to be a protecive community. Once they were allowed to assimilate into the naion and became irmly secured and setled in the system, the roles of clan and family associaion declined in Chinatown, being almost meaningless to the current generaion. The community has loosed and lessened neighborhood ies as a result of diminishing socio-spaial aciviies/pracice. Being more individualisic and with more limited personal contact, rather than as a group, neighborliness as a source of social capital for economic survival is thus no longer necessary. 279 Sources: Arsomsilp Insitute (2009), The Consorium for Acion Planning (2011). Figure 1. The locaion of MRT staion and the expropriaion site. In Chinatown, Charoenchai community (in green) has portrayed a degree of neighborliness which is vacillaing and ever-changing. Thus, neighborhood and place idenity concepts might be contested thereupon. Afected by the blue-line mass rapid transit (MRT) construcion, the community has visibly been pressured by external economic forces of investment to a semi-evicion that has been caused by tentaive increases in land values. Some developers insert new spaial development programs, bringing on physical and social changes toward a high-concentrated commercial district (Maichon, 2011). Figure 1 illustrates the coming MRT staion which has led to the expropriaion of 26 plots (in red). From this, the economic development tension would expand into the atached areas owned by two landowners: the Crown Property Bureau (in yellow) and Chumphot-Panip Foundaion (in green). Both landowners have iniiated the area development as a mutual partnership to transform the physical seing around the new MRT staion in order to meet the most appropriate result between economic potenial and dweller saisfacion (Arsomsilp Insitute, 2009). It has been aware among academics and development praciioners that the MRT staion would bring on changes of building use and spaial occupancy, and would afect small-medium home businesses who could not stand the new rising property values and rent rates. Dwellers in the community – comprised of diverse occupaions such as spiritual-paper shops, camera shops, Chinese food shops/vendors, and tradiional pharmacies – have received a signal of insecurity; the landowners have terminated the rent agreement of every building since 20082. Given this anxiety, the dwellers have clustered and incorporated with the agents of change, to generate mutual dialogues and negoiaion among the landowners, MRT oice, and the local authority by advocaing conservaion discourse as a lagship strategy. 2. NEIGHBORHOOD AND PLACE IDENTITY CONCEPTS By this circumstance, neighborhood and place idenity concepts have been associated with the study in order to enable an understanding of the potenial of neighborhood. As an urban element, it challenges how the neighborhood adapts or its to the new coming development, and how it lasts between the interplay of the highest investmentreturn and the social values of the world’s biggest overseas Chinatown. Table 1. Summary of key elements of place-making and cogniion. Theorists Concepts Elements Proshansky, Fabian, and Kaminof (1983) Place Idenity Concept Recogniion funcion, Meaning funcion, Expressive-requirement funcion, Mediaing change funcion, Anxiety and defense funcion (Lien, 2009) Chrisian NorbergSchulz (1980) Genius Loci; Sense of Place Phenomenon of place, Structure of place, Spirit of place (Norberg-Schulz, 1980, pp. 6-22) (for the man-made urban dwelling, they are image, space, character, and genius loci (Norberg-Schulz, 1980, pp. 75-165) via meanings, idenity and history (Norberg-Schulz, 1980, pp.166-186) Manzo (2003) Place Atachment Concept Encompass a broad range of physical seings and emoions, Ever changing/ dynamic phenomenon, Unconscious/Conscious, A larger socio-poliical milieu (Lien, 2009, pp. 153-154) Twigger-Ross and Uzzell (1996) Place Idenity/ Disinciveness, Coninuity, Place-referent, Place-congruent, Atachment Concept Self-esteem, Self-eicacy (Lien, 2009, pp. 155-156) 280 For this search, two concepts are discussed. First, the neighborhood concept is adapted from place-based neighborhood by Magnaghi (Magnaghi, 2005), from home area neighborhood, the smallest scale in Kearns and Parkinson’s analysis (Kearns & Parkinson, 2001), and from the idea of widening neighborhood scope to community associaion by Peterman (Peterman, 2000). Hence, the author summarizes that neighborliness contains three elements: member interrelaions and ies, degree of reciprocity, and degree of associaion. Second, the place idenity/atachment concept is derived from place-making sciences from Proshansky, Fabian, and Kaminof3, from Chrisian Norberg-Schulz (Norberg-Schulz, 1980), from Manzo (Manzo, 2003), and from TwiggerRoss and Uzzell (Twigger-Ross & Uzzell, 1996). Table 1 highlights key elements of place-making and cogniion. Summarily, those concepts help illuminate a series of neighborliness indicaions, incorporaing an ever-changing neighborhood concept as in Yaowarat. From the aforemenioned elements, this paper employs place idenity elements based on Proshansky and others’ concepts for the best contextual appropriaion. 3. METHODOLOGY: PARTICIPATION AND THE CHANGE MAKERS As a longitudinal analysis, the author applied the abducive method as a research approach to detect actual social intervenions occurring through spaial development antagonism between the residents and landowners’ (BrydonMiller et al., 2003). The author monitored the change of neighborliness and social relaionship via an acion research conducted by the Consorium for Acion Planning (CAP)4 sponsored by the landowners during February 2010 - December 2011 in order to shape a mutual dialogue among community inhabitants about laissez faire development forces on area development. Via social mobilizaion process, CAP had paricipated with dwellers in a more focused boundary at Charoenchai-Plaeng-Nam district5 about the coming MRT staion and had strategically sought out the potenial from embedded social elements for foreseen development changes. Based on CAP’s intervenion, a number of dialogues and discussion among dwellers and change agents were addressed. Figure 2 illustrates the general concept of methodological intervenion to generate the mutual dialogue between landowners and inhabitants via CAP’s paricipatory plaform. Source: Adapted from Arsomslip Insitute 2009. Figure 2. Simulaion of paricipatory research method applied in Yaowarat. Within the intervenion period alongside CAP’s pracice, the author atended a series of community events: group discussions, ield visits, and local partnership aciviies. There had been a list of aciviies including mutual discussions in general and in paricular around area development alternaives, community organizaion formaion, and community/intra-local poliics as well as a series of empowerment aciviies. The set of aciviies toward community capacity building and empowerment is presented in Table 2. 281 Table 2. Summary of input aciviies on community capacity building and empowerment. Aciviies Aims Community capacity building Date - Internaional ield visit on conservaion in o Shanghai, Beijing, Zhouzhuang Lijiang o Penang, and Singapore Apr 4-10, 2011 July 14-18, 2011 - Naional ield visit on conservaion in o Bang Luang (Nakorn Pathom) market district o Kao Hong and Samchuk (Suphanburi) market district July 30, 2010 July 31, 2010 Community - Involving in current public hearing on the new Bangkok Comprehensive Plan Aug 25, 2011 empowerment - Involving in the seminars pertaining to Thailand Reform, efects of Feb 25, 2011 public mega-projects to community - Seminar on Chinatown conservaion on the Moon ceremony event 2011 (Tanaphat, 2011) Sep 15, 2011 Source: The Consorium for Acion Planning [CAP], 2010; 2011 To atain the clearest relecion of place idenity and neighborliness measures, the scope had addressed ‘Charoenchai Lane and Plaengnam Street’ where altogether 128 shophouses are located. Changes of neighborhood and place idenity have been monitored and measured. Also how they interrelate in between would be discussed. 4. A REFLECTION OF INTERVENTION Among the intervenion aciviies, the co-taskforce between CAP and community dwellers underlines two strategies to protect against the coming radical-physical change: historiography and place-making. Historiography was highlighted by two acions: the historical census (Figure 3) and the local museum. CAP’s researchers had recorded vital everyday data from every household, so called ‘notes of unimportant persons’, in aciviies that project values, economic aciviies, and origins of family. Place-making had been ariculated at ‘Baan Kao Lao Rueng’, the local museum in Charoenchai Community (Figure 4). The museum was set up by the inhabitants in Charoenchai Community to introduce the landowners the existence of historical values in Yaowarat. It also helped to provoke the public to safeguard the tentaive loss of Chinese legacy in Thailand by overwhelming capitalism. Figure 3. Examples of historical census toward place idenit. Place-making was not only ariculated by the local museum, but also represented by the building paining (Figure 5). The community dwellers had collaborated with CAP to implement actual physical changes in order to inscribe the community will for a conservaion-based development approach. The Chinese fesiviies were a signiicant catalyst to draw temporary spaial-cultural sympathy, paricularly the Moon ceremony (Figure 6). 282 Source: The Consorium for Acion Planning [CAP], 2011. Figure 4. ‘Baan Kao Lao Rueng’, the local museum at Charoenchai Community. Source: The author. Figure 5. Building paining at Charoenchai Community. Source: The Consorium for Acion Planning [CAP], 2011 Figure 6. The Moon Ceremony in Charoenchai Community, 2011. 283 Place idenity parameter Neighborliness parameter Table 3. Comparison of changes in neighborliness and place idenity pre- and post-intervenion. Elements Before intervenion Ater intervenion Indicaion Member ie and interrelaion Weak neighborhood ies and interrelaions indicated by no trust and limits in neighborhood familiarity only at small clusters Events had been organized among dwellers relecing the hidden community ies and networks which enhance community familiarity network Degree of reciprocity Weak reciprocal sense Borrowing and lending since most exchanges are acivity has increased and based on monetary values becomes usual in some neighborhood clusters. Exchanges apart from monetary basis such as borrowing and lending, donaion, charity involvement, ime contribuion to public maters. Degree of associaion None of civic associaion at the communal scale Emergence of community group recognized by some public insitutes such as the district oice, Thailand Research Fund, and Community Organizaion Development Insitute Seing up of Charoenchai Conservaion Taskforce Group gathering the community members to tackle at conservaion issue to link with formal insituions. Recogniion Insigniicant place elements; the seing contains no disinct to other nearby districts Place and space has been stabilized by the local museum as an encapsulaion of community commemoraion. A number of visitors recognize the place, and the existence of local museum is noted by the local museum data-based networks and academia (Sirindhorn Anthropology Center, 2012). Meaning Places have no speciic meaning funcion due to its general muli-purpose rowhouse type Meanings have been ariculated by historiography atached to places Illustraion of family historical data has been posted at each building and has circulated into public recogniion via lealets/ posters Expressiverequirement Buildings stand in poor condiion. None of occupiers starts cleaning, modifying, or renovaing the shelters. Community dwellers freely engage in coloring building facades based on their preferences without the landowner’s consent Building coloring has expressed the belief upon Chinese Feng Shui of goodness to the owners Mediaing change No disincion of building physical characterisics to other nearby areas Emergence of physical enclave by building coloring. Building coloring has united a sense of place and has disinguished itself from other areas. Anxiety and defense No anxiety of being aware on the renovaion project that could be harmful to the spiritual seing, Wat Mangkorn Kamalavas The dwellers associate with the broader demonstraion to a new hotel restoraion project that seems being negaive to Wat Mangkorn Kamalavas Dwellers from Charoenchai community join on protest and demonstraion against the renovaion project. The rebirth of communal co-organized fesivals: twice on the moon ceremony and twice on Chinese New Year. The intervenion apparently brings about social change to a community, but how much it contains neighborliness as an emerging element within ever-changing urban enity is hereby invesigated. The concepts enlisted in Table 3 relect changes of core elements in terms of neighborhood and place idenity discussed in Secion 2. The neighborliness has been enhanced, from individuals to group clustering. Place idenity is also shapely expressed via tangible and intangible environments as a more united atmosphere. 284 The case study projects the change in community engagement on development planning. Though, having developed an unnatural level of neighborliness because of the criical context, the inhabitants herein have managed to surpass a convenional neighborhood and could eventually develop a more organized system to protect against the landowner’s determinisic development approach. Some outcomes are highlighted; • Plaform of dialogue (Charoenchai model) (Kiinarindranee, 2012): the community is spotlighted as a case study of urban communiies vulnerable to state-led megaproject development, and its model is circulated among local museum lovers and networks. Importantly, the emerging neighborhood has advanced from being defensive to become proacive, by proposing the self-organized area development approach to the landowner. Several condiions are posited such as a synopsis of area development, length of tenure, rent fees and rates, a shared investment for building renovaion, etc. • Coninuous communicaive channel (Charoenchai newsleter): ten issues since 2011 have been circulated in the community as a communicaion tool on situaion progress on MRT staion construcion and land security. • Historical-spaial compression (Series of physical changes): The local museum, building coloring, and historiography to places have disinguished this district to others. As a socio-spaial pracice and without a quanifying measure, the evidence relects that both neighborliness and place idenity are visible. 5. CONCLUSION From the intervenion, the author mirrors changes in the neighborhood into two understandings as followings; Neighborliness herein has vacillated: Underpinned by the project, the degree of neighborliness and place idenity recogniion gradually increases. However, it has lourished, as a defensible threshold, to external threats. Therefore, neighborhood existence herein becomes a strategic discourse to encounter capitalisic spaial development. Otherwise, a rich opportunity of highly-concentrated commerce could take root and radically change the enire physical seing without any community resistance. Neighborhood as poliical discourse: Currently, in such a highly-concentrated commercial area, the new challenge of internaional trade upon the place, and the tentaively radical change of transportaion behaviors, Yaowarat district seems to incline its racial idenity by being more connected to the global economy. Recently, the land value has been tripled (Prachachart, 2012). Neighborhood discourse is arising not only as at Charoenchai Community, but also at district-wide level to widen community cohesion and to be inclusive in the city development process, the sharing city. Although the outcomes from this paper could not clearly crystallize a list of the precise degree of neighborliness as it is, in this context, so dynamic and swaying. However, the author supports the view that Yaowarat, despite being perceived to contain minimal neighborliness as a highly commercial area, sill has embedded neighborhood elements that could be reborn (even temporally), and that any city development issue demands addressing for longterm equity in urban development planning (Fainstein, 2010). NOTES 1 2 3 They were at the early and mid of the dynasty that the Chinese won’t be allowed to access into the bureaucraic system. By this, it results the clan and family name associaion to ensure the group survival and security. Interviewed Mr. Pichitsak Meemak, Head of Community Secion 3, The Crown Property Bureau on December 2009. They described it as a “pot-pourri of memories, concepions, interpretaions, ideas, and related feelings about speciic physical seings, as well as types of seings. See in Proshansky, H. M., Fabian, A. K. & Kaminof, R. (1983). Place-idenity: Physical world socializaion of the self. Journal of Environmental Psychology, 3,83. 285 4 5 It has been a coordinaion for acion research in planning among ive schools of architecture in Thailand. This project involves Sripatum and Mahasarakam Universiies. Charoenchai community (in green of Picture 1) is located on Chumphot-Panip Foundaion’s land; meanwhile Plaeng-Nam Street is located on the Crown Property Bureau’s land. REFERENCES Arsomsilp Insitute. (2009). Approaches toward paricipatory urban development in Yaowarat MRT staion and Chinatown district. Final report submited to Chinatown Community Development Co., Ltd. Brydon-Miller, M. et.al. (2003). Why Acion Research?. Acion Research, 1(1), 9-28. Fainstein, S. S. (2010). The Just City (pp. 58-66). New York: Cornell University Press. Kearns, A. & Parkinson, M. (2001). The Signiicance of Neighborhood. Urban Studies, 38(12), 2103. Kiinarindranee, C. (2012, May 23). Charoenchai model. The Krungthepdurakij Online, Retrieve July 4, 2012, from htp://www.bangkokbiznews.com/home/detail/life-style/lifestyle/20120523/453143/news.html Lien, L. L. (2009). Home as idenity: Place-making and its implicaion in the built environment of older persons. Housing and Society, 36(2), 158-159. Magnaghi, A. (2005). Urban village: A character for democracy and local Self-sustainable development. (Kerr, D.Trans.). London: Zed Books. Manzo, L. (2003). Beyond house and haven: Toward a revisioning of emoional relaionships with places. Journal of Environmental Psychology, 23, 47-61. Maichon. (2011). The renters of Werng Nakorn Kasem will survived the ancestors’ atempts” Retrieved July 4, 2012, from htp://www.maichon.co.th/news_detail.php?newsid=1312550898 Norberg-Schulz, C. (1980). Genius Loci: Towards a phenomenology of architecture. New York: Rizzoli Peterman, W. (2000). Neighborhood planning and community-based development: The potenial and limits of grassroots acion. London: Sage. Prachachart. (2012). Charoen deals 4.5 billion baht for Werng Nakorn Kasem: 400 renters are inconvenient for evicion. Retrieved July 4, 2012. Sirindhorn Anthropology Center. (2012, February 15). Baan Kao Lao Rueng: Charoenchai Community. Retrieved July 11, 2012, from htp://www.eighteggs.com/sac_complete/museumdatabase/review_inside.php?id=38 Tanaphat, S. (2011). The Moon Ceremony: From Wueng Nakhon Kasem to Charoenchai. Green World Foundaion. Retrieved on July 10, 2012, from htp://www.greenworld.or.th/greenworld/local/1462 The Consorium for Acion Planning. (2010). Approaches toward Paricipatory Urban Development in Yaowarat MRT Staion and Chinatown District (2nd Phase). Final report submited to Chinatown Community Development Co.,Ltd. The Consorium for Acion Planning. (2011). Approaches toward Paricipatory Urban Development in Yaowarat MRT Staion and Chinatown District (3nd Phase). Final report submited to Chinatown Community Development Co.,Ltd. Twigger-Ross, C. & Uzzell, D. (1996). Place and idenity processes. Journal of Environmental Psychology, 16, 205-20. 286 CHIANG MAI: TOWARDS AN INTERNATIONAL CREATIVE COMMUNITY Payap Pakdeelao1, Tipsuda Janjamlah2 and Peeradorn Kaewlai3 Faculty of Architecture and Planning, Thammasat University Klong Luang, Pathumthani, Thailand 12121 1 E-mail: payap@ap.tu.ac.th, 2E-mail: ann_talk@hotmail.com, 3 E-mail: pkaewlai@post-harvard.edu ABSTRACT This paper is part of a research itled “Chiang Mai: Prototype for a Creaive City” conducted by City Research Unit, Faculty of Architecture and Planning, Thammasat University in 2011, which surveyed Chiang Mai’s exising potenials and assessed the city’s faciliies and readiness for a creaive city iniiaive. A central element in contemporary regional development strategies is the ability for ciies and regions to atract and retain talented people. The underlying argument is that by atracing talented people, regions are beter geared to meet the demand of the knowledge economy and thus become more compeiive. This research explored why a group of expatriates who could be categorized as ‘creaive class,’ a social group of professional workers who work in jobs that require innovaion and creaivity and consume cultural products avidly, move to Chiang Mai and what keeps them there. By employing the method of interviewing expatriates in Chiang Mai, the outcomes show that Chiang Mai the foreign ‘creaive class’ consider Chiang Mai an atracive place to live and work, thanks to its unique characterisics which ofer a balance of urban ameniies and a lifestyle of small and rural places. Chiang Mai’s other strengths that are cited as important factors for the relocaion include a wide variety of outdoor ameniies, proximity to the nature, a strong sense of community, renowned educaional insituions, enchaning history, unique Lanna culture, high quality of life and the commendable skills of the locals. Hence, the empirical indings of the topic support the central theoreical arguments about the mobility of the creaive class; the comparaive cultural wealth that is appreciated by foreign in-migrants ater arrival in turn becomes a deining factor helping to retain newly arrived migrants. In light of these indings the aricle concludes with a discussion of how a city can further capitalize on its exising strengths and enhance them to develop Chiang Mai into a more atracive city to live, work and invest in. KEYWORDS: Creaive city, Creaive class, Creaive economy, Migraion, Chiang Mai INTRODUCTION A central element in contemporary regional development strategies is the ability for ciies and regions to atract and retain talented people. The underlying argument is that by atracing talented people, regions are beter geared to meet the demands of the knowledge economy and become more compeiive. It accepts Richard Florida’s thesis, which posits the creaive class as the driving force of creaive economy development. Using Chiang Mai Province, Thailand as a case study, the main concern of the paper is to examine criically the city’s potenials and creaive dimensions that contribute to its compeiiveness in atracing and retaining the ‘creaive class.’ 287 1. CONCEPT AND THEORY 1.1 Creaive economy The importance of creaivity has emerged as an essenial resource to be compeiive in the global world. In modern imes, creaivity together with innovaion and knowledge are difereniaing factors that inluence ideas, products, services and places leading to compeiive advantages in every ield of economy. John Howkins, the author of The creaive economy: How people make money from ideas, called the emerging relaionship between creaivity and economy, “creaive economy.”1 The creaive economy has the ability to connect the economy and culture, embracing economic, cultural, technological and social aspects of development at both the macro and micro levels. United Naions Conference on Trade and Development (UNCTAD) atributes this economic form to the fact that creaivity, knowledge and access to informaion are increasingly recognized as powerful engines driving economic growth and promoing development in a globalizing world.2 In this newly formed economic concept, culture, art, creaivity and skills are seen as important sources of economic capital that can generate value added in various forms - economic, educaional, social and civic - that can simultaneously beneit not only those few sectors deined as arts but furthermore all industrial sectors of the city. In fact, this is an important conceptual shit for policy makers to understand. 1.2 Creaive class Human capital and talent are becoming the driving forces to achieve economic growth in the knowledge and creaive economy, and the ability to atract and retain them elevates regional compeiive advantages. In their 2004 publicaion itled “Europe in a Creaive Age,” Richard Florida and Irene Tinagli advocate that “the winners and losers in the global creaive economy will be those naions that are best able to atract, retain, and develop creaive talent and harness their creaive assets and capabiliies.”3 The new type of human capital known as the “creaive class” refer to people who work in such creaivity and knowledge driven industries as science, engineering, architecture, design, arts, music, entertainment as well as business, inance and law. The creaive class is capable of generaing economic, social and cultural dynamism and has the ability to create new ideas, new technologies and new content, adding economic value through creaivity.4 1.3 Creaive city The idea of a creaive economy has also been applied geographically to the economy of the city, leading to the emergence of the concept of a “creaive city.” This term describes an urban area where cultural aciviies of various sorts are an integral component of the city’s economic and social funcioning.5 Such ciies tend to be built upon a strong social and cultural infrastructure, to have relaively high concentraions of creaive employment, and to be atracive to inward investment because of their well-established cultural faciliies. By the same token, creaive workers look for places with paricular environments, disincive and diverse urban contexts favorable to creaion and innovaion. Increasingly, ciies and regions are compeing to atract and retain not only companies but talents.6 According to Florida, a creaive city must possess three key factors: technology, talent and tolerance of 3T’s model. Florida deined “technology” as the city’s ability to produce innovaion and to have high technology concentraions in a region. The second index, “tolerance”, is concerned with the city’s openness, inclusiveness and diversity to all ethniciies, races and lifestyles. Finally, “talent” is synonymous with the quality of human resources, measured by the number of skilled workers with a bachelor’s degree or higher. Thus, the creaive city is a city that comprises simultaneously the three factors.7 288 2. CHIANG MAI: THE CITY Figure 1. Locaion of Chiang Mai Province in Thailand. 2.1 Overview Between 1296 and 1939 A.D., Chiang Mai was the former capital city of a very important ancient kingdom, known as the Kingdom of Lanna, which had its own disinct culture, tradiion and language. Today, the city of Chiang Mai is the second biggest metropolitan area in Thailand. Located approximately 700 kilometers north of the capital, Bangkok, Chiang Mai Province has a populaion of approximately 1,600,000 of whom 172,000 live in Chiang Mai City. Chiang Mai’s historic importance is derived from its close proximity to the Ping River and major trading routes. The inhabitants of Chiang Mai, as a result of its locaion at the crossroads of mainland South East Asia, are a very mixed group. 80% of the people are locals by birth and speak “kam muang,” which is a northern language that is close to standard Thai but has its own disincive script, diferent vocabularies and tones. The remaining 20% of the populaion is composed of Southern Thais, Chinese, Indians and an increasing number of foreigners. Along with cultural atracions, the surrounding scenic nature provides ample opportuniies to engage in outdoor aciviies and exploraion for those residing within the area. 2.2 Prototype for the creaive city In June 2011, The Royal Thai Government announced that a total of 10 provinces have been selected as “creaive city prototypes” in response to the “Creaive Thailand” policy, aimed at increasing the value of Thai products and services and strengthening the overall Thai economy. Chiang Mai was recognized as a creaive city for its tradiion of ine handicrats. The creaive city prototypes are among the Government’s creaive projects to raise the awareness of all sectors of Thai society of the creaive economy in which talent, knowledge, and new technologies and cultural resources are integrated in order to generate economic values and job opportuniies. 289 However, the locals had already started their campaign of the Chiang Mai Creaive City (CMCC), which was a citywide iniiaive that proposed to develop and market Chiang Mai as a center for creaive industry since 2010. The main focus of the campaign is to build upon Chiang Mai’s exising strengths: educaion base, history, Lanna culture, quality of life, local skills and to enhance them further in order to make Chiang Mai a more atracive place to live, work and invest in. Placing high values on creaivity, collaboraion and innovaion, CMCC hopes to transform Chiang Mai into a more appealing urban environment and to foster higher, more sustainable economic and social development. 3. RESEARCH AND METHOD 3.1 Paricipants Thirty residents of Chiang Mai were interviewed for this research. Twenty-one of the subjects were foreign expatriates who had spent an extended period of ime living and working in Chiang Mai. The other nine were locals who had close professional associaion with foreigners. The subjects were from varied educaional and socio-economic backgrounds. However, they were all selected because they all worked in a ield that could be regarded as part of the creaive industry. It was not a prerequisite that the subjects had had preliminary knowledge of creaive economy or were aware of the Chiang Mai Creaive City iniiaives, although some did indeed. Source: City Research Unit, Faculty of Architecture and Planning, Thammasat University, “Chiang Mai: Prototype for the Creaive City Research,” 2011. Figure 2. The thirty interviewees were composed of both locals and expatriates from all around the globe. All of them had lived, worked or studied in Chiang Mai for an extended period of ime. Source: City Research Unit, APTU, 2011. Figure 3. The interviewees came from a wide variety of professional backgrounds but were selected for their acive engagement creaive aciviies in Chiang Mai. 290 Source: City Research Unit, APTU, 2011. Figure 4. The organizaions to which the interviewees belong could be divided into ive categories. Located all over the city, these organizaions are part of the creaive networks that cover the enire city of Chiang Mai. 3.2 Procedure All the interviewees were asked similar quesions, which could roughly be divided into four separate groups. The irst group of quesions focused on the subjects’ early experience in Chiang Mai and their percepion of the city. The second set examined their professional aciviies in the city. The third group included quesions regarding the creaive city iniiaives and whether they viewed themselves as part of this economic transformaion. Finally, the last quesions were intended to allow paricipants to express their concerns about the city and voice any recommendaions for the city’s economic and social development as well. 4. FINDINGS 4.1 Creaivity and economy One of the ways to measure the contribuion of the creaive sector to the economic vitality of ciies is by the number of tourists visiing the city to experience its cultural atracions. Chiang Mai has long been one of Thailand’s most popular atracions both domesically and internaionally. Highlighted by its majesic nature, charming lifestyles, relaxed atmosphere, unique culture, diversity and tolerance, Chiang Mai has coninuously developed tourism as an important economic base. An important indicator that conirms Chiang Mai as a popular desinaion among travelers is the increasing number of tourists, especially foreign tourists that rose from 764,815 in 1992 to 1,431,351 in 2003.8 Likewise, the number of Thai visitors has also increased, though at a smaller growth rate, from 1,003,807 in 1992 to 1,877,197 in 2003.9 In 2009, the number of foreign visitors to Chiang Mai was 1,020,465 and this number rose to 1,110,704 in 2010.10 Each year many foreigners move to Chiang Mai for work, either to invest or to start a business. In 2011, Chiang Mai granted 34,131 work permits to workers in 1,181 businesses - this number does not include immigrant workers from the neighboring countries such as Laos, Myanmar and Cambodia, as well as those from the hill-tribe communiies. Moreover, Thailand’s Board of Investment (BOI) ceriied and granted work permits to 263 investors from 93 businesses. One of the reasons that make it convenient for foreigners to come to invest and work in Chiang Mai is because of the large number of foreign governmental agencies present in the city. In fact, there are 17 291 embassies and consulates in Chiang Mai ofering consular services and facilitaing trade and professional exchange to the respecive naionaliies living in the city. 4.1 Why Chiang Mai? Considering Chiang Mai’s long history and unique culture, it is not surprising that its lifestyles and Lanna culture emerge as the top reason for foreign immigrants to move to Chiang Mai. Of the interviewees, 20.95% indicated that Chiang Mai’s lifestyle and Lanna culture was the deciding factor that inspired them to relocate to Chiang Mai. However, it is interesing to note that 12.38% picked nature, as well as business opportuniies, as their most signiicant reasons, followed closely by accessibility and social and cultural diversity at 11.43%. Other noteworthy factors are friendliness to foreigners that was chosen by 6.67%; freedom and tolerance cited by 3.81%; and the fact that Chiang Mai is a university town was credited by 1.90%. These numbers relect the mulifaceted qualiies of Chiang Mai that have not only drawn people to the city supericially. Instead, they are key characterisics, which all creaive ciies share and help them retain the creaive class in a long run. Source: City Research Unit, APTU, 2011. Figure 5. Top reasons for foreign expatriates to relocate to Chiang Mai. Chiang Mai’s economy, which has primarily depended on agriculture, tourism and handicrats, has in recent years begun to reinvent itself as a modern, cosmopolitan city with diversiied industries. The city has expanded into new hi-tech industries such as media, informaion technology, digital design and sotware development, as well as a veritable burgeoning of creaive start-ups, especially around the Nimmanhaemin area. In addiion, thanks to an acive cultural life, Chiang Mai has been able to atract inward investment from other industries seeking to locate in a surrounding that can provide an enjoyable, simulaing environment for employees. The arrival of large mui-naional corporates such as IBM, which has opened a new oice in Chiang Mai, demonstrates the conidence and interest in the potenials of the city. This is consistent with the slight upturn of the number of applicaions for business visa extension. Ater having dropped almost 100 applicaions from 500 in 2008 to 405 in 2009, the number of the business visa extension applicaions increased, if only marginally, to 419 in 2010. As of July 2011, the number suggests that the growth may coninue in 2011 as well. 4.2 Chiang Mai: a long-stay haven In contrast to the slow growth of the number of business visa extension applicaions, the data from Chiang Mai Immigraion Bureau between the years of 2008 and July 2011 indicates that long-stay tourism has become a strong trend. The United States has the highest number of long-stay visa holders in Chiang Mai, followed by Japan and South Korea, respecively. In 2010 alone, there were 3,164 Americans who held a business or long-stay visas. That is over 400 more than in 2009 and almost 600 more than in 2008. In July 2011, the trend seemed to coninue as 1,843 Americans were reported to have a business or long-stay visas. 292 Source: Chiang Mai Immigraion Bureau, July 2011. Figure 6. Countries with the highest number of business and long-stay visa holders in 2010. Source: Chiang Mai Immigraion Bureau, July 2011. Figure 7. Numbers of American, Japanese and South Korean naionals who held business and long-stay visas in Chiang Mai during 2008 and July 2011. 4.3 Japanese long-stayers: an acive reired community According to the data in igure 7, it is important to note that the groups that are becoming more interested in coming to Chiang Mai are the Japanese and Korean. Between 2008 and 2011, the number of the Japanese and Korean visitors, businesspersons and long-stayers to Chiang Mai has been signiicantly and coninuously growing every year. The average age of these long-stayers was 60 years old and they had annual revenue of about one to four million yen (or about 300,000 - 1,200,000 THB). On average, they spend about 100,000 - 300,000 yen or about 30,000 - 90,000 THB per month on their living expenses in Chiang Mai (Trade and Investment Center, Chiang Mai, 2007). Most of the expenses surprisingly go towards goling which is one of their favorite things to do in order to keep themselves acive and closer to the community. The survey also found that the area on Huay Kaew Road between Rincome Intersecion and Nimmana Haeminda Road had the highest concentraion of ameniies and faciliies catered speciically to Japanese clienteles. One of their most prominent social organizaions, Chiang Mai Long Stay Life Club (CLLC) is also located in the area. 293 4.4 The Koreans: Chiang Mai, an alternaive choice of educaion According to the record, there were approximately 1,600 Koreans living in Chiang Mai in 2011. Interesingly, 30% of the Koreans who have lived in Chiang Mai appear to be mothers who have come to Chiang Mai to care for their children who atend various internaional schools. The next 30% of Korean long-stayers are missionaries who are working and in living in rural areas in Mae Sai and Omkoi districts. Another 30% is composed of people in tourism and in restaurant industries. The last 10% are the reirees who moved here because of their desire to play golf all year long, including the winter months. Most of the reirees bought houses and condominiums near Doi Suthep and in the Mae Rim areas in order to be close to the goling faciliies. However, many other Korean people prefer to live in condominiums near the downtown area because it is more convenient due to the availability and accessibility. On the other hand, mothers with children tend to live in a gated community in the Hang Dong or Sun Sai areas to be closer to school. Source: City Research Unit, APTU, 2011. Figure 8. Internaional schools that are popular among the Koreans. 4.5 Chiang Mai: An internaional students’ desinaion In recent years, universiies in Chiang Mai have shown interest in atracing more internaional students. Having an internaional atmosphere is considered one of a university’s main objecives in order to posiion itself as a world-class university. In 2011, the Chiang Mai University ofered a total of 25 degree programs in a wide variety of faculies. In addiion to the 150 foreign professors and researchers, each year, Chiang Mai University hosts about 650 foreign visitors: 100 exchange students and 550 trainees. Other universiies such as Payap University and Chiang Mai Rajabhat University are also ofering ten and three internaional and English degree programs, respecively. Many exchange students who were interviewed for this research admited that they had litle knowledge of Chiang Mai prior to their arrival to the city; however, all of them agreed to have developed a posiive response quickly ater they had opportuniies to familiarize themselves with the new environment. Full-ime students take the decision to atend a school in Chiang Mai much more seriously. Although 30.43% of students sill credit the majesic nature, 294 charming Lanna culture and peacefulness as the main reasons for choosing a Chiang Mai school, more profound, if speculaive, reasons seem to have inluenced the decision of the rest of the students. The internaional degree programs, especially degrees in business administraion, atract students from all over the world including India, United States, Brazil and China, in addiion to the neighboring countries from Southeast Asia. These students had entertained a variety of opions in many countries before having made the decision to come to Chiang Mai. Ater contemplaing comparable programs elsewhere, 47.83% of the students found programs at Chiang Mai University or Payap University to have a compeiive edge because of its afordability compared to the high quality of educaion, lifestyle and opportuniies for internaional networking. The other 21.74% said that the fact that business was shiting to Asia made them to come to Chiang Mai. They want to study in an Asian context in the hopes of giving themselves an even greater compeiive edge. They are not only here to learn about businesses but also about Asian culture, speciically Asian business culture. Furthermore, Chiang Mai has currently posiioned itself as a key player in the sub-Mekong region; therefore, there are many industries in the area. Students consider these developments as posiive factors. 5. THE FUTURE OF CHIANG MAI FROM FOREIGN PERSPECTIVES Expectedly, 55.10% of the interviewees expressed their concern about physical problems and the urban design of the city. While acknowledging that the exising infrastructure must be updated in order to prepare for future development, all of the interviewees cauioned that the most pressing agenda is not to simply modernize the city, rather, to keep nature from being destroyed by all of the cars and polluion. Nevertheless, they cauioned the city not to modernize too much too fast that the city begins to lose its own idenity and the indigenous lifestyle begins to fade into the concrete jungle. Legal issues concerning work permits and staring a business are signiicant concerns of the expatriates. Of the interviewees, 22.45% showed a sign of discontent about the strictness of labor law and limited local involvement in policy making. Currently, it is a rather complicated process to start a business in Thailand. If Chiang Mai wants to join the global economy, the law concerning foreign investment must be relaxed in order to make it more easy for foreign businesses to come to the city and use it as a headquarters. Likewise, the paper work for the work permit is complex. This is responsible for the 14.29% who are concerned about the limited interacion between the expatriates and local community. Some expatriates are experts in certain ields and they would appreciate opportuniies to share their knowledge to the next generaion. Finally, 8.16% of the interviewees suggested that Chiang Mai have a universal press center to handle its public relaions and to promote local events. Source: City Research Unit, APTU, 2011. Figure 9. Foreign residents’ concerns and recommendaions for the city of Chiang Mai. 295 6. CONCLUSION It is evident that Chiang Mai has great potenial to be developed as a creaive city. Its strategic locaion at a major crossroad of internaional trade has made it an urban area where cultural and commercial aciviies of various sorts and cultural and racial diversity are an integral component of the city’s economic and social funcioning. Its strong social and cultural infrastructure that has been developed in a mulicultural and internaional climate render Chiang Mai open, inclusive and tolerant to all ethniciies, races and lifestyles. The arrival of IBM to Chiang Mai, in 2010, signiied a shit in the economy of the city. It was a major step taken by Chiang Mai to establish technology as a key motor for economic development and to forge the future of new industries. The College of Media and technology at Chiang Mai University will play a tremendous role in providing creaive talents that are a core ingredient to creaing high technology concentraions within a region. However, in the knowledge and creaive economy, human capital and talents are the driving forces to achieve economic growth. Chiang Mai must enhance its ability to atract and retain them in order to elevate its compeiive advantages. One possibility is to reconsider foreign labor law, not only to draw new creaive talents in, but also to fully uilize the untapped talents that are currently available locally. Chiang Mai must also diversify its industries, which will help atract a wider variety of immigrants and inward investment. Successful incorporaion of these factors into the exising structure will help generate economic, social and cultural dynamism as well as new ideas, new technologies and new content adding economic value through creaivity. NOTES 1 2 3 4 5 6 7 8 9 10 Howkins, J. (2001). The creaive economy: How people make money from ideas. London, Allen Lane, Penguin Group. Ibid. Florida, R. a. T., I. (2004). Europe in a creaive age. Pitsburgh, Carnegie Mellon Sotware Industry Center. Florida, R. L. (2004). The rise of the creaive class: and how it’s transforming work, leisure, community and everyday life. New York, NY, Basic Books. UNCTAD (2008). Ibid. Florida, R. L. (2004). Charoenmuang, D. A. (2007). Sustainable ciies in Chiang Mai: a case of a city in a valley. Chiang Mai, Thailand, Chiang Mai University. p. 127. ibid. Mrs. Saowalak Shimada, Vice Presiden REFERENCES Carrillo , F. J. e. (2006). Knowledge ciies: Approaches, experiences and perspecives. New York, Elsevier Buterworth Heinemann. Charoenmuang, D. A. (2007). Sustainable ciies in Chiang Mai: A case of a city in a valley. Chiang Mai, Thailand, Chiang Mai University. Florida, R. a. T., I. (2004). Europe in a creaive age. Pitsburg: Carnegie Mellon Sotware Industry Center. Florida, R. L. (2004). The rise of the creaive class: And how it’s transforming work, leisure, community and everyday life. New York, NY: Basic Books. Florida, R. L. (2005). Ciies and the creaive class. New York: Routledge. Florida, R. L. (2005). The light of the creaive class: The new global compeiion for talent. New York: Harper Business. 296 Florida, R. L. (2008). Who’s your city?: how the creaive economy is making where to live the most important decision of your life. New York: Basic Books. Florida, R. L. (Dec. 2002). The economic geography of talent. Annals of the Associaion of American Geograophers, 92(4), 743-755. Howkins, J. (2001). The creaive economy: How people make money from ideas. London, Allen Lane, Penguin Group. Landry, C. (2000). The creaive city: A toolkit for urban innovators. London: Earthscan Publicaions. Prat, A. C. (2008). Creaive ciies: the cultural industries and the creaive class. Geograiska annaler: Series B Human geography, 90(2), 107-117. Rivas, M. (2011). From creaive industries to the creaive place: Refreshing the local development agenda in small and medium-sized towns. URBACT Creaive Clusters Final Report, URBACT. UNCTAD. (2008). Creaive economy report–The challenging of assessing the creaive economy: Towards informed policy-making. Retrieved from www.unctad.org/creaive-economy 297 ATTEMPTING SUSTAINABLE DEVELOPMENT IN CHALLENGING URBAN ENVIRONMENTS: URBAN NGOS, SOCIAL BUSINESSES, AND COMMUNITY-BASED ORGANIZATIONS COMMUNICATE AND COLLABORATE VIA SOCIAL MEDIA IN KATHMANDU Rachel D Amtzis Research Clusters, Faculty of Arts and Social Sciences, Naional University of Singapore, Singapore ABSTRACT The city of Kathmandu has become increasingly unsustainable ater decades of haphazard and poorly planned development. Internal migraion, exacerbated by the civil war (1996-2006), has expanded city limits and crowded already dense areas within the city center. Unrestrained populaion growth has depleted already limited resources. Despite this, there are drives toward making Nepal’s capital a more sustainable place to live. Many of these iniiaives are community generated rather than state led. Electronic communicaion technologies have grown markedly in popularity in Kathmandu. However, electricity supply has concurrently worsened, making it more diicult for these tools to be used efecively. Nevertheless, certain NGOs have been successful in using social media to beneit their communicaion pracices and ulimately their overall work goals internally and externally, bringing speciic, targeted boosts to urban sustainability in Kathmandu, helping this poliically and socially turbulent capital become less unsustainable. This aricle examines the connecion between promoing and working toward urban sustainability and use of social media among small-scale, local NGOs. It speciically focuses on social media, where staf and supporters share indings and ideas. NGOs’ communicaion pracices are studied, speciically how and how well they promote a culture of sustainability, livability, and collaboraion/cooperaion in Kathmandu. The research also invesigates how NGOs’ use of social media relates to their eforts to inspire and improve community-based iniiaives to plan and manage sustainable neighborhoods. The methodology involved semi-structured interviews with representaives of 45 organizaions and analysis of their web presence. The study found social media use greatly increased communicaion between NGOs and donors and among NGO staf. Communicaion between NGOs and stakeholders and among NGOs increased on a smaller level. Addiionally, social media use was found contribute to successful fundraising campaigns and more recently established NGOs were more likely to be early adopters and frequent social media users. KEYWORDS: Social media, Kathmandu, Nepal, South Asia, Communicaion, NGOs, Sustainable development 1.Sustainability in Kathmandu and the persistence of consituional deadlock On May 27th, 2012, four years of deadlock between Nepal’s three largest poliical paries in a joint efort to write and pass a new consituion, punctuated by several extensions that exceeded the original deadline by two years, ended in failure. Having voted to abolish the monarchy on May 28th, 2008, the democraically elected Consituent Assembly declared the country a Federal Democraic Republic, but could not agree on how to proceed on numerous 298 contenious issues, most importantly, how to remake the post-absolute monarchic, post-civil war, muli-ethnic, muli-cultural, and muli-lingual naion into democraically governed and culturally representaive ethnic states. At the naional level, poliics and governance in Nepal have long been marked by lack of compromise, corrupion, incivility, exclusion, and abject failure. The post-Jana Andolan1 II (2006’s peace agreement that formally ended the ten-year civil war and monarchic rule) series of short-lived governments have been weak, inefectual caretaker insituions, not democraically elected. Nevertheless, the current government has asserted its power during 2011-12 through transformaion of Kathmandu’s physical environment. Road widening iniiaives are being carried out haphazardly – with litle forewarning, delayed clean-up, and sidewalk and property destrucion, dramaically altering the landscape and promping protests. Despite these grim developments, potenial bright spots have emerged within pockets of civil society that indicate muliple and micro achievements in sustainable development2. A number of small-scale organizaions working for community beneit are implemening social change at the local level. This study examines organizaions based in Kathmandu Valley that strive to improve neighborhood environments, explaining how their online communicaion aciviies contribute to organizaional and citywide sustainability, and how they are altering the way Kathmandu-ites conceptualize development work in their local communiies. 2. The challenge of open communicaion, collaboraion, and cooperaion among NGOs Hinsley asserts that a city’s spaces of marginalizaion and diference are oten creaive, resourceful, and invaluable to sustainable development, which includes “negoiaion, representaion, social jusice, and the formaion of new partnerships which can add diferent forms of problem solving to dominant models,” (2000, p. 91). NGOs and other organizaions that seek and oten succeed in receiving donated or grant funding to improve condiions in these environments face diiculies operaing transparently and sharing informaion, strategies, and resources. One factor is an aid system that puts NGOs with common causes into an unhealthily compeiive atmosphere, and privileges donor-designed, -equipped, and -led projects over others (Shrestha, 1999; Huesca, 2003), oten overlooking or disregarding local needs. Although compeiion can encourage these organizaions to work harder to formulate plans that are more efecive, it also limits the quality and depth of relaionships they could build with fellow organizaions working for similar goals, ulimately discouraging strong cooperaion and mutual trust. One respondent3 from a 25-year-old environmental NGO explained his regret in telling a colleague at a similar NGO about a grant his organizaion had received, as the funding shited to his colleague’s organizaion in the following grant cycle. Another respondent4 from an 11-year-old human rights NGO noted that the power of donor determinacy in project focus had moivated numerous NGOs to alter their original missions so that they fell in line with donor needs and wants. The donor’s is evident in a project listed on Globalgiving.org itled “Help Nepali NGOs access GlobalGiving”, where the internaional NGO Mountain Fund seeks $4,500 to provide workshops for local NGOs on how to “create projects that appeal to donors” and “are relevant and meaningful in the context of a Western donor” (McLennan, 2012). However, donors frequently need to be educated on how they can help seed-fund projects that appeal, are relevant, and meaningful to local communiies – an area that would beneit from beter communicaion between donors, NGOs, and stakeholders. GlobalGiving can be very useful to local NGOs able to access it, as, like Kickstarter, Start Some Good, Indiegogo, and other crowdfunding plaforms, they can connect with funding sources previously unavailable and with potenially greater sensiivity to local needs and contexts and an egalitarian rather than hierarchical aitude. Overall, every party is negaively afected by the pro-donor and state aid funding culture. This culture works against the micro-level communiies that receive aid in that it limits which organizaions can distribute aid and how these organizaions can go about its disbursement. More than that, it takes away the community’s voice and choice in how they will be aided and how the process of funding distribuion and project management is carried out. The dominant aid culture also works against the NGOs by encouraging self-defeaing compeiiveness and structuring the rhythm of their work to conform to a grant cycle and funding focus put in place by donors. It works against the 299 donors too in that it inluences NGO-donor dependency (and thus stakeholder-NGO dependency) and does not provide suicient incenives toward sustainability, rendering the organizaion nonfuncional unless the donor is there to provide funding, and otenimes even planning and manpower. In this way the NGO becomes an extension of the donor, handicapped in operaing autonomously and formulaing its own projects based on guidance from the recipient community rather than the donor. 3. Tie-building and rit-making in Nepal’s online and oline discourse Communicaion obstacles are not limited to the donor-NGO-stakeholder sphere. Shrestha (1999) describes internaional development actors as being extremely uncommunicaive about details of project costs, hiring, and evaluaion procedures to the Nepal government. For its part, the state has long withheld informaion and knowledge from its ciizens to preserve its ability to exploit them (Bista, 1991; Thapa, 2005). Addiionally, NGOs are characterized by Montgomery (2002) as being loath to share knowledge due to a broader social pracice of prizing the retaining, concealment, and carefully measured and managed disbursement of knowledge as a means to display and maintain power. This trend appears to be changing signiicantly as a global online culture that is informaion-rich and massshared through muliple channels and communiies permeates the local organizaional culture. Analysing marginalized US urbanites’ use of the Internet at the neighborhood level, Hampton (2010) found an increase in ie-building and community and civic engagement. This phenomenon is not limited to US ciies; the increasing adopion of and acivity on online social media sites by NGOs, community based organizaions, social businesses, and other organizaional bodies in Kathmandu is fostering an increase in public conversaion and involvement with these organizaions in tackling development problems, including those that undermine urban livability and sustainability. Nepal has over 1.54 million Facebook users5, and, keeping in mind the literacy rate is 59.1 percent (UNDP, 2011), there are more Nepalis consuming online news than reading local print media (Dixit, 2012a). Given that Internet penetraion in the country has risen from six to 18 percent in the last two years (Rai, 2012), the majority of neizens are urban middle and upper class, can communicate in English, and largely reside in the Kathmandu Valley. Although this is gradually changing, online discourse remains an exclusionary domain of the educated urban middle and elite classes. It can be used to promote inclusiveness within this sphere, paricularly between individuals and organizaions working on community development iniiaives. Two recent aricles in an English language weekly, perturbed by the online public sphere’s popularity, voice concern that social media is causing more rit-making than ie-building in Nepali communiies, promoing “echo chambers for corrosive dialogue” (Dixit, 2012b, para. 7), compartmentalizing views and fragmening society with at worst, “hate pages and racist sites, crude photo-shopped images of poliicians and anonymous incendiary incitement to violence in the unmoderated feedback secions of the online press” (Mahato, 2012, para. 16). However, the discourse on many NGO, social business, and community group social media spaces is starkly diferent. On social network site groups launched by Nepal’s small-scale civil society organizaions, at worst, of-topic or spam posts occasionally appear, and more oten bonds of friendship and trust are built that carry over into successful oline collaboraions for common causes. Typical posts on the Save Bagmai Campaign Facebook group invite discussion about and contribuion to proposals to improve the ecological condiions of the river. Invitaions to oline meeings are also disseminated, as are past and present photos of the ailing river, as well as inspiraional informaion on river conservaion campaigns being carried out in other naions. Muliple, intersecing, and opposiional forces are involved in the discourse and pracice of urban river restoraion in Kathmandu from the post-Jana Andolan I period (the 1990 democraic revoluion) to the present (Rademacher, 2011). This also holds for the innumerable other city and village level transformaion iniiaives taking place in a naion oten described as a “development laboratory” (Acharya, 2002; Liechty, 2010). 300 The post-revoluionary period saw a liberalizaion in NGO formaion and funding laws, as well as gradual liberalizaion and expansion of telecommunicaions infrastructure, with satellite television, Internet, and mobile telephony entering shops, oices, and homes of irst urban, then many rural areas.6 However, lack of oversight, transparency, and accountability of the nonproit sector, the rise and resilience of state corrupion, as well as the poliical polarizaion and tumultuousness leading up to, during, and following the civil war severely hindered urban and rural development project success. Moreover, rapid urbanizaion7 brought about by lack of economic opportuniies, land capture, warfare, and destrucion in rural Nepal caused a strain on Kathmandu’s resources, resuling in it ranking 133 out of 140 among the planet’s least livable ciies.8 4. A new and evolving breed of urban organizaions working for social change, with new and evolving communicaion pracices A growing number of NGOs in Kathmandu are promoing sustainability at the organizaional and community level, and enhancing fund and awareness raising through social media use. Achieving successful self-sustainability is a gradual and arduous process; seed money is frequently needed to launch, but once an organizaion establishes itself (ideally ater one to two years), it becomes more at liberty to acively engage local stakeholders in project design and follow through. Tewa, founded in 1995, is a pioneer in local philanthropy. To reduce Nepal’s dependence on foreign aid and promote local sustainability, Tewa carries out fundraising campaigns aimed at Kathmandu residents, using the donaions as grants for small-scale community-based NGOs, paricularly women’s empowerment groups. This popularizes and normalizes the pracice of secular philanthropy among urban Nepalis, empowering them as donors and insilling a sense of commitment to community service. Other organizaions are following suit and endorsing a culture that encourages the local public to engage with development projects not or not only as observers, recipients, or conduits between foreign funders and marginalized stakeholders, but as individual and organizaional funders. ChangeFusion Nepal, a Tewa grantee, is a social business that engages young people within and outside of Kathmandu. Established in 2008, ChangeFusion Nepal was iniially supported by a number of organizaions, including its namesake, a social innovaion design and investment organizaion in Bangkok, ChangeFusion, founded by a half-Thai, half-Nepali. With “People, Planet, Proit” as its moto and “Mentorship, Knowledge, Funding, and Networking” as its operaing scheme for grantees, Change Fusion Nepal has put into place a sustainable organizaional system where community development project ideas that exhibit potenial to be long lasing, efecive, and self-sustaining are encouraged, ideniied and nurtured. Many ChangeFusion Nepal grantees tackle problems faced by Kathmandu residents and the naion at large, including energy scarcity, social inequality, poverty, and loss of tradiional cratsmanship. ChangeFusion Nepal does not dictate how its grantees (individual Nepali youths) pracice social entrepreneurship, other than sipulaing their projects follow the moto9, which will bring long lasing beneits to their communiies. Addiionally, grant applicants are encouraged to explain how iniiaives can be scaled-up and replicated ater being put into pracice in one locale. ChangeFusion Nepal also partners frequently with likeminded NGOs, social businesses, and donor organizaions within and outside of Nepal. Iniiaives such as a monthly night market in the city where various nonproits and social businesses can showcase themselves privileges an atmosphere of openness, networking, and cooperaion over secrecy, mistrust, and compeiion as the default aitude toward fellow organizaions working for social good. Just as Tewa exempliies, pracices, and promotes sustainable development through local philanthropy and volunteerism, ChangeFusion Nepal exempliies, pracices, and promotes sustainable development through social entrepreneurship funding, training, and pracice. 301 Tewa and ChangeFusion Nepal have been instrumental in inculcaing the noion of local philanthropy and social entrepreneurship in the minds of residents accustomed to viewing philanthropy (that supports individuals, communiies, ideas, organizaions, and aciviies, not only religious funcions) as carried out by foreign donors with local NGOs as conduits to funnel funding through and manage projects on the ground (pracically ield oices of the donor organizaions), as well as those unfamiliar with social entrepreneurship altogether. Both organizaions uilize social media tools such as social networking site discussion groups, video sharing sites, and blogs to engage members, supporters, and the public in their work, promoing not just their own organizaions, but an organizaional culture that discourages secrecy and encourages trust, sharing, and collaboraion. Satya Media Arts Collecive, founded in 2009 and supported in part by a grant from the Open Society Foundaions, has been acively promoing youth involvement in urban arts educaion and producion, community gardening, and beauifying of urban spaces. Like Tewa and ChangeFusion Nepal, Satya uilizes online and oline video, photographic, and textual methods to engage the public in its aciviies, including documentary screenings and media arts producion workshops. Kathmandu’s walls are frequently “decorated” with adverisements and poliical paries’ symbols and slogans. Religious artwork adorns Hindu shrines and temples, and is occasionally placed on certain walls to deter public urinaion. Satya’s promoion and producion of street art brings a signiicant change to the city’s arisic landscape. Art for art’s sake is a relaively new sight on the capital’s walls, and Satya has set up a blog with a secion that highlights and preserves street art. Addiionally, in 2012, the non-proit started a Kickstarter-inanced project called HariyoChowk (green public square) to revitalize neglected, garbage infested public alcoves in the city, transforming them through parially voluntary communal eforts into vegetable gardens and micro parks. Satya publicizes its work very prominently online. Its Facebook group has 2,044 members as of August 2012 and is acive daily. Noices about similar events not sponsored by Satya oten appear on the group’s page, fulilling one of Satya’s goals – being a networking space for arists, musicians, and ecologically-minded residents. In addiion, Satya invites discussion on ideas to beneit Kathmandu in a Facebook group started by one of the organizers itled “Fix KTM Now.” Collaboraions with other likeminded organizaions are common. Catalist Design, an interdisciplinary paricipatory design acivism and community development collaboraive whose mission statement atests “We seek jusice by transcending the typical boundaries of design to deeply engage the realms of economy, environment, culture and society” (Catalist, 2012), carries out architecture for social good iniiaives, and is working with Satya on HariyoChowk. Monsoon Collecive teamed up with Satya to iniiate a creaive workshop for engineers, arists, and programmers during the capital’s monsoon season. Monsoon Collecive, a group which sees Kathmandu as its studio, wants to bring together self-moivated people with engineering, arisic, and computer skills to work on urban vibrancy and uility projects. Those with arisic, architectural, engineering, or computer skills will meet annually to collecively build and design tangible contribuions to livability, livelihoods, and noncommercial entertainment in the capital. One of the most intriguing ideas to emerge from the workshop is GalliGalli, a programming group with iniiaives that include an online crowd-sourced map of Kathmandu public transportaion routes, fares, and desinaion highlights, and an online crowd-sourced guide to procedures and documents needed when navigaing government oices. Social media tools are becoming invaluable for Kathmandu-based NGOs with a commitment to self- and local- sustainability, collaboraion, and open, dialogic communicaion. However, social media use will not eliminate the mutual compeiiveness between these types of NGOs. It does allow small-scale NGOs a more welcoming atmosphere in which to fundraise, and promotes solidarity between likeminded organizaions. Moreover, fundraising via social media has fewer restricions and is more open than compeing for grants. Nevertheless, these organizaions will sill be compeing for project funding; the diference is the atmosphere is less aggressive and more transparent. 302 5. Building commitments to community and sustainability in Kathmandu in virtual and real spaces The key to gaining sustainability at the neighborhood level is acive commitment from local stakeholders, including “open and efecive informaion exchange and consultaion” (Barton, Grant, and Guise, 2010, p. 58), which can be encouraged through online and oline shared space creaion – especially if such spaces are created by locallybased organizaions that have the capacity to involve a global and local membership, such as a page on an online fundraising hub that hosts photos, text, and videos of an urban livability project’s conceptualizaion, progress, and impact, with a responsive discussion secion. Many more community-level NGOs are connecing with stakeholders and other supporters through their social media presences than when ield research in Kathmandu for this project was irst iniiated in 2010. An efecive way the NGO Kathmandu Animal Treatment Center (est. 2004) inds homes and sponsorships for street dogs and cats they have cared for is by broadcasing photographs with descripions of each pet over muliple social network sites via the Hootsuite dashboard. Sarvodaya Nepal (est. 2008), an all-volunteer organizaion supported by Sarvodaya USA, Kathmandu Valley high school students, along with local and non-resident Nepalis, and other supporters, to “like” their Facebook page in order to win a Chase Community Giving grant to build and staf Nepal’s irst non-proit community cooperaive school, Jyoidaya (which has its own website and Facebook page), at the outskirts of Kathmandu Valley. WATO (est. 2000), a community park-building urban environmentalist NGO, displays warm responsiveness to advice from a concerned ciizen on its Facebook imeline. A commenter suggested a beter way to place plant cages in a June, 2012 tree planing campaign, and an organizer replied: We are conident that the 50 plants planted this ime will have more chances of survival as they are already grown ones - medium sized trees. If you happen to be a local from the tree planing site, would you consider taking care of the plants someimes. It’s a group efort that produces result…and it would be great to have people of your kind on-board....10 However, it must also be noted that NGOs are not always the best eniies at achieving successful sustainable development, and neither is social media always the best way for organizaions to raise funds and support for their projects. Online spaces such as Satya and other organizaions’ Facebook groups, and physical sites, such as Satya’s oicecum-studio and HariyoChowk spots, ChangeFusion Nepal’s night bazaar and social entrepreneurship mentoring sessions, and Tewa’s community Land and Building Development Project11 are ideal locaions to bring people together and projects to fruiion, eroding long-standing boundaries that encumbered knowledge-sharing between those working on development in Kathmandu. Liechty (2010, p. 270) sees Kathmandu as a translocality, where its spaces are overlaid with muliple places (“each claiming the same ground for its own coniguraion of meanings”); and layers of signiicaion (muliple places) encompass the same referent. These forces come into play in the overlapping domains of global-local “urban” spaces of Kathmandu organizaions’ cyberdomains, where those with connecions to Kathmandu gather to produce communicaion in textual, audio, and visual forms that interacts with the city’s physical and communicaive environment. In turn, neighborhood geography and the discourse of its inhabitants is collected and disseminated in social media spaces - staic and moving images, sound and text, consumed and shared, enabling individuals and organizaions in Kathmandu working for social good to combine skills and knowledge, even as they share them with a more geographically distant global-yet-local community. 303 NOTES 1 2 3 4 5 6 7 8 9 10 11 People’s movement. Sustainable development is deined as “maintaining and enhancing the quality of human life – social, economic, and environmental – while living within the carrying capacity of supporing ecosystems and the resource base” (Barton, Grant, and Guise, 2010, p. 6). Interviewed Nov 23, 2010, Patan. Interviewed Nov 26, 2010, Kathmandu. A more detailed proile of Facebook penetraion in Nepal can be found here: htp://www.socialbakers.com/ facebook-staisics/nepal Mobile phone technology has been largely responsible for the sharp rise in Internet penetraion. Rai reports that from 2010-12, “mobile penetraion rate across 75 districts of Nepal has increased from 32 to 55 per cent,” (Rai, 2012, para. 5). The World Bank report, Nepal’s Urban Growth and Spaial Transiion: An Iniial Assessment (to be published in September 2012) summarizes Nepal as coninuing to be the fastest urbanizing (yet least urbanized) naion in South Asia. The Bank recommends three strategies for Nepal to bring about urban-based economic growth: 1. Sustainably developing its urban regions; 2. Promoing development and regeneraion of the Kathmandu Valley Metropolitan Region; and 3. Enhancing its urban-based industries – paricularly tourism, agro-processing, and handicrats. The Economic Intelligence Unit’s livability proile for Kathmandu can be found here: htp://store.eiu.com/aricle. aspx?producid=455217630&aricleid=105218595 Proit can be interpreted to mean that they contain an income-generaion component, which is possible in non proit organizaions. The enire exchange can be viewed here: htps://www.facebook.com/WATONEPAL?ref=ts A concept note for the TLBDP can be found here: htp://www.tewa.org.np/site/pages.php?page=concept_note REFERENCES Acharya, M. R. (2002). Nepal culture shit!: Reinvening culture in the Himalayan kingdom. Delhi: Adroit Publishers. Catalist Design.(2012). Pracice. Retrieved July 6, 2012, from htp://catalistdesign.org/pracice/ Barton, H., Grant, M., & Guise, R. (2010).Shaping neighbourhoods: For local health and global sustainability. London: Routledge. Bista, D. B. (1991). Fatalism and development. Hyderabad: Orient Longman Ltd. Dixit, K. (2012a, June 22). Cybersphere.The Nepali Times. Retrieved July 3, 2012, from htp://www.nepaliimes.com. np/issue/2012/06/22/Headline/19397 Dixit, K. (2012b, June 22). Anisocial media.The Nepali Times. Retrieved July 3, 2012, from htp://nepaliimes.com/ issue/2012/06/22/Editorial/19399 Hampton, K. N. (2010). Internet use and the concentraion of disadvantage: Glocalizaion and the urban underclass. American Behavioral Scienist, 53(8), 1111-1132. Hinsley, H. (2000). Sustainable inner city renewal. In G. Roo& D. Miller, (Eds.) Compact ciies and sustainable urban development: A criical assessment of policies and plans from an internaional perspecive (pp. 91-110). Aldershot, Hampshire, England: Ashgate. Huesca, R. (2003). Paricipatory approaches to communicaion for development. In Mody, B., (Ed.) Internaional and development communicaion: A 21st-Century perspecive (pp. 209-225). Thousand Oaks: Sage. Liechty, M. (2010). Out here in Kathmandu: Modernity on the global periphery. Kathmandu: Marin Chautari Press. Livability report. (2010). Livability proile: Kathmandu. Retrieved July 5, 2012, from htp://store.eiu.com/aricle.asp x?producid=455217630&aricleid=105218595 304 MacLennan, S. (2012, February 21). Help Nepali NGOs access Global Giving. Global Giving. Retrieved July 3, 2012, from htp://www.globalgiving.org/projects/global-giving-access/ Mahato, R. (2012, June 22). Digital muliply. The Nepali Times. Retrieved July 3, 2012, from htp://www.nepaliimes. com.np/issue/2012/06/22/Naion/19401 Montgomery, L. (2002). NGOs and the Internet in Nepal. Journal of Computer-Mediated Communicaion,7(2), 1-14. Retrieved August 27, 2009, from htp://www.nepaldemocracy.org/media/ngos-and-Internet.htm?key=216#t1 Muzzini, E. & Aparicio, G. (2012, September 20). World Bank Publicaions: Nepal’s Urban Growth and Spaial Transiion: An Iniial Assessment. Retrieved June 15, 2012, from htp://publicaions.worldbank.org/index.php? main_page=product_info&cPath=1&products_id=24423 Nepal Facebook Staisics.(2012). Nepal Facebook Staisics, Penetraion, Demography. Retrieved July 3, 2012, from htp://www.socialbakers.com/facebook-staisics/Nepal Rai, B. (2012, July 6). Wire(less) below Everest. The Nepali Times. Retrieved July 7, 2012, from htp://www.nepaliimes. com.np/issue/2012/07/6/Naion/19437 Rademacher, A. (2011). Reigning the river: Urban ecologies and poliical transformaion in Kathmandu. Durham, NC: Duke University Press. Shrestha, A. M. (1999). Bleeding mountains of Nepal. Kathmandu: Ekta Books. Thapa, M. (2005). Forget Kathmandu. New Delhi: Penguin. United Naions Development Programme. (2011). Human development report 2011 - Sustainability and equity: A beter future for All. Retrieved July 3, 2012, from htp://hdr.undp.org/en/reports/global/hdr2011/download/ 305 CITY PLANNING WITH COMMUNITIES: EFFECTIVENESS OF COMMUNITY PARTICIPATION IN SYDNEY Zeenat Mahjabeen1 and Krishna K. Shrestha2 1 2 PhD Candidate, School of Social Sciences, The University of New South Wales, Australia Senior Lecturer, School of Social Sciences, The University of New South Wales, Australia ABSTRACT Community paricipaion is oten considered as an important instrument to overcome many problems of modern day ciies. Irrespecive of global ciies of developed countries or poverty torn fast growing mega ciies of developing countries, opportunity for community paricipaion is being created. The underlying assumpion is that paricipaion will bring forward the needs and expectaions of the communiies to be relected in the outcome, but in pracice, the outcomes someimes penalise the disadvantaged groups. Opportuniies for paricipaion are providing lip service and employing icking the box mechanism to align with legislaion or to saisfy the donor agencies. The aim of this paper is to invesigate whether the opportuniies for community paricipaion in planning pracice has enhanced objecive of efecive community paricipaion: a) bringing forward the views of cross secion of the communiies b) empowerment of the communiies c) downward accountability. The paper invesigates these issues in Sydney Metropolitan Strategy as a reference case. Research method includes 21 semi-structured interviews, 157 mail-out quesionnaire survey and muli-scalar policy analysis. The analysis of the results indicate that the policy process creates a very limited opportuniies for community paricipaion. Hence community paricipaion in planning pracice is erroneous to deliver efecive paricipaion outcome for the three major reasons – a) Bureaucraic mindset and insituional arrangements of the planning authoriies b) Prioriizing economic compeiiveness and atracing investments rather than ensuring social or environmental jusice, and c) Limited understanding of the concept and the importance of community paricipaion by the planning oicials. The paper concludes that in order to further the fundamental goals of community paricipaion, there is need to bring about cultural and systemic change in why paricipaion is criical and how this can be advanced in the exising poliical and economic environment. KEYWORDS: Urban planning, Community paricipaion, Sydney Metropolitan Strategy 306 URBAN HEALTH LIVENUP SMARTPHONE APPLICATION: INNOVATIVE IDEA TO REDUCE NUMBER OF NON COMMUNICABLE DISEASES (NCDS) IN INDONESIA Bheki Setya Ningrum and Wilda Af’idah Bitari MOBILE HEALTH CENTRE AS A COMMUNITY-BASED HEALTH SERVICES FOR HOMELESS IN URBAN AREA Ida Fauziah and Noviaji Joko Priono OPTIMALIZATION OF SOCIAL MEDIA TO EDUCATE AND INFORM HIV&AIDS AMONG URBAN CITIZEN Mochamad Aldis Ruslialdi and Anggraini Sari Astui DIARRHEA PREVENTION AND MANAGEMENT IN URBAN SLUMS IN INDIA: AN EVALUATION OF A BEHAVIOR CHANGE COMMUNICATION CAMPAIGN USING PRIVATE SECTOR S. Basian, V. Sharma, K. Ayyagari, L. Kumar, and R. Ganesan 307 LIVENUP SMARTPHONE APPLICATION: INNOVATIVE IDEA TO REDUCE NUMBER OF NON COMMUNICABLE DISEASES (NCDS) IN INDONESIA Bheki Setya Ningrum1 and Wilda Af’idah Bitari2 Faculty of Nursing, UI, Depok, Indonesia E-mail: bheki.setya@ui.ac.id 2 Department Nutriion Faculty of Public Health, UI, Depok, Indonesia E-mail: wilda.af@ui.ac.id 1 ABSTRACT Background and/or Objecives: According to the WHO Global Report 2008, the mortality rates caused by NCDs comes to 64% of all deaths: 28% from communicable maternal, prenatal and nutriional condiions, 9% from injuries, 30% from cardiovascular diseases, 13% from cancer, 7% from respiratory diseases, 3% from diabetes and 10% from other NCDs. This study aimed to inform people of the impact of raising Indonesian youth’s awareness for solving this problem and also to empower youth to become pro-acive about tobacco addicion in young people surrounding them. The prevenion of NCD can be done through lifestyle regulaion of risk factors which are related with cigaretes, diet, physical acivity, and alcohol consumpion (WHO global strategy, 2000). One of the main things to do to improve social lifestyles is to educate people individually (Disease Control Prioriies in Developing Countries, 2006) through the role of the media (Pascal Bovet, MD Ministry of Health, Switzerland, 2011). Frost & Sullivan, one of the insituions monitoring the economic growth of the company, said sales of Smartphone in Indonesia in 2009 would exceed 1.2 million by 2015 and predicted that total sales of Smartphone in Indonesia will reach 18.7 million (Pick, 2011). Many Smartphone users were originally entrepreneurs and young execuives, but now people from almost all walks of life use Smartphones. Students and school students did not want to miss the Smartphone trend because the price is relaively afordable. Students use the Smartphone because the look and features ofered very atracive, with complete applicaions that relect the lifestyle of the metropolis and are up to date (Eden, 2010). Methods/ Descripion: Extensive literature study has done to collect any informaion about Non Communicable Disease control and correlaion with technology. We also interviewed some experts in technology and health. Results/Outcomes: We disseminated our idea by spreading a video about it to college students and they all appreciated that. Conclusions /Lessons Learnt: Non Communicable Disease can be prevented at an adult age by interesing methods using Smartphone. KEYWORDS: Non communicable diseases, Smartphone applicaion 308 1. INTRODUCTION Non Communicable Diseases (NCDs) are already of major importance in developed countries and rapidly becoming a major public health threat in the developing world. In 2020, NCDs are expected to rise by more than 60%. The WHO data show that in 2008 mortality rate caused by NCD is very high, far more than the mortality rate caused by communicable disease. The highest rate is for low and middle income countries, such as Indonesia. Source: World Health Organizaion [WHO], 2008 Figure 1. Mortality data in the world in 2008 (WHO). In Indonesia, the rate of mortality is caused by NCD is 64% in 2010. That present by this pie diagram. Figure 2. Mortality Data in Indonesia in 2010 (WHO). The four most common Non Communicable Diseases (NCDs) are cardiovascular diseases, cancers, chronic respiratory diseases and diabetes. Though frequently occurring among the elderly, a signiicant proporion manifest before the age of 60 and may be caused by unhealthy lifestyles, including poor diet, lack of exercise and abuse of substances such as tobacco and alcohol. Lowering the incidence of NCDs can be achieved by targeing these risk factors (World Health Organizaion [WHO], 2011). 309 2. DISCUSSION Smartphone Basic Smartphone is an advanced technology which is a combinaion PDA and mobile phone. According to Brusco (2010), Smartphone are mobile phones that have funcions such as computerized systems, messaging (email), internet access and many applicaions that can search informaion such as health, sports, money and other topics. It can be used as a small size computer. Smartphone has become a primary personal and professional need. Smartphone is ideal for professionals who are doing long-distance communicaion such as sending a message (email). The advantage of a Smartphone is a sophisicated system that funcions to download and install applicaions in a short ime. The applicaion on Smartphone are like the programs on desktop computers, but not complicated and can be taken anywhere. Smartphone was created to provide a variety of applicaions that can be downloaded from the internet by using an operaing system (OS) such as Apple speciically with IOS, Google Android, Microsot Windows Mobile and Windows Phone, Nokia Symbian, RIM BlackBerry OS and others. The price of this applicaion is various and some of it is free (Cummiskey, 2011). The Smartphone’s features presented are mulimedia features, game features, features oice, or online features. 3. CONCLUSION A. Project Design Figure 3. Outline of Applicaion. LivenUP is a combinaion between healthy management system and life style with gamiicaion concept. LivenUP creates a fun and challenging soluion for users to educate and improve the quality of their life style. LivenUP will analyze the user’s daily acivity and give score as an indicator of how healthy the user acivity is on that day, and the raing can be seen on the leaderboard. User also can set and plan the acivity that will be done with the help of a personal assistant. LivenUp conclude three main menu: • MANAGE : Records and arranges healthy lifestyle by the Personal Assistence feature. • CHALLENGE : Collects as much as achivement and reach the leaderboard. • SHARE : Interact with other users of social media. Figure 4. Mock Up Display Tracking Applicaion Menu. 310 LivenUP can record your daily acivity that have relaion with healthy lifestyle. LivenUP divides aciviies into three parts to record, such as diet, sleep patern, and physical acivity. In the part of diet, users can input consumpion of breakfast, lunch, dinner, or snack. Form of input data are meals, menu, and porions of food. In the sleep patern record, LivenUP provides a small ‘sleep alarm’ applicaion. User sleep acivity will be calculated based on the ime when the user turns on the alarm as a sign the user has started to sleep and turn of as a sign the user has already woken up. Monitoring physical acivity patern is based on the physical acivity that the user did. This monitoring is real ime and use GPS technology. Figure 5. Mock Up Display Personal Assistant. Personal Assistant LivenUP personal assistant will remind user to do certain acivity, staring from breakfast, or physical acivity. Reminders given by the personal assistant can be set by user. With this feature, users won’t forget to do healthy aviviies and input applicaion data regularly. There will be a choice for personal assistant mode that could be selected as needed or users can set their personal assistant by themselves. Figure 6. Mock Up Achievement Display. 311 Get the Achievement LivenUP also have achievement where user can get reward based on their lifestyle. The achievement is based on research and will educate a healthy life style to the user. This feature will challenge the user more. In every achievement, users can see more detail, reason and achievement. Every achievement has been supported by research and can improve the user’s quality of life. With this system, users can learn how to life healthy indirectly. B. Public Response We have submited our idea to some compeiions and ater we published this Smartphone applicaion we got an enthusiasic response from some students in our university. The results show that we got more than 142 voters from people in our university. Some person explained that they really need this applicaion to maintain their lifestyle and in order to prevent NCDs in fun ways. Figure 7. Voters for Video Display. ACKNOWLEDGMENT We would never have been able to inish our paper without help from God, guidance from our friends, and support from our family. We would like to express our deepest graitude to our God, Allah SWT, for His excellent help. We are not sure we can inish our paper without His help. We would like to thank Nanda and Aji, who as a good friend, was always willing to help and give their best guidance, best suggesions. Our paper would not have been possible without their help. We would also like to thank our parents. They were always supporing us and encouraging us with their best wishes. We are really nothing without them. REFERENCES Brusco, J. M. (2010). Using smartphone applicaion in perioperaive pracice. AORN Journal, 92(5), 503-508. Cummiskey, M. (2011). There’s an app for that smartphone use in health and physical educaion. Journal of Physical Educaion, Recreaion & Dance, 82(8), 24-29. World Health Organizaion [WHO]. (2011). Non communicable disease. Retrieved May 30, 2012, from htp://www. who.int/mediacentre/factsheets/fs355/en/ World Health Organizaion [WHO]. (2012). NCD Surveillance strategy. Retrieved May 30, 2012, from htp://www. who.int/ncd_surveillance/strategy/en/index.html 312 MOBILE HEALTH CENTRE AS A COMMUNITY-BASED HEALTH SERVICES FOR HOMELESS IN URBAN AREA Ida Fauziah1 and Noviaji Joko Priono2 Student of Reproducive Health Department, Public Health Faculty, University Of Indonesia, Depok, Indonesia, 16424 E-mail: Ida.fauziah@ui.ac.id1 , E-mail: kakjok@yahoo.com2 ABSTRACT According to the staisics center of Indonesia, based on the populaion census in 2010, the majority of homeless people are in East Java and Jakarta. One analysis of the Central Bureau of Staisics explained that the homeless populaion in Jakarta were spread over 122 points, including the nearby Railway Staion of Manggarai, Tanah Abang, and Tanjung Priok. These homeless people have a lot of problems ranging from poverty to social, educaional, and health issues. Some fundamental problems experienced by homeless people on the issue of reproducive health is a personal security and privacy, personal hygiene including vital organs, sexual violence, lack of access to health services, and the persistence of rejecion or discriminaion of others including government and health agencies and private. The objecive from this study is to design an alternaive soluion for health promoion outreach and access to health services related to personal hygiene, together with reproducive health intervenions for the homeless in urban areas. The situaion analysis was done based on the secondary data about condiions in urban area published by Ministry of Health Indonesia, WHO. A survey was done using a qualitaive study with an in-depth interview at one locaion of homeless people to get their responses about health, behavioral, and medicaion problems. One way of efecive outreach for health promoion and access to health services is the use of a car mobile as a mobile health service for the homeless in urban areas by providing prevenive services of health promoion and curaive services for maternal and child health. Mobile health centre as a community-based health service for homeless in urban area is one of the efecive and eicient methods to perform prevenive and curaive aciviies for speciic target outreach aciviies and support the registraion of the health status of homeless in urban areas. KEYWORDS: Mobile Health Centre, Homeless, Urban area 313 OPTIMALIZATION OF SOCIAL MEDIA TO EDUCATE AND INFORM HIV & AIDS AMONG URBAN CITIZEN Mochamad Aldis Ruslialdi and Anggraini Sari Astui Department of Epidemiology, Public Health, University of Indonesia ABSTRACT Based on data from the Ministry of health Indonesia, the highest prevalence of HIV&AIDS was in Jakarta. This was caused by development in many sectors, such as technology, mobilizaion, modernizaion and also behavioral and lifestyle change. Technology is opening up possibiliies and potenial to re-energize HIV&AIDS prevenion. There are 43.6 million Facebook users and 19.5 millions Twiter users in Indonesia. Indonesia is one of the important market to begin with social media perspecives. Jakarta as the capital of Indonesia is ranked irst as the most acive city in the world in terms of posted tweets. Social media could be used to share informaion and educate ciizens about how to prevent HIV&AIDS. Social media and internet are widely used by young people including low income countries. This study aims to inform reader about the important of social media for educaing and informing urban ciizens about HIV&AIDS. This study combined literature review and casestudy from an urban context. From this study, researchers found that social media have a big impact in terms of educaing and informing urban ciizens about HIV&AIDS, especially among young people. Social media also have the potenial to deliver HIV&AIDS prevenion in cost-efecive ways because ciizens are already using it. KEYWORDS: HIV AIDS, Social media, Internet, Urban lifestyle 1. INTRODUCTION “When you are working to combat a disastrous and growing emergency, you should use every tool at your disposal. HIV/AIDS is the worst epidemic humanity has ever faced. It has spread further, faster and with more catastrophic long-term efects than any other disease. Its impact has become a devastaing obstacle to development. Broadcast media have tremendous reach and inl uence, paricularly with young people, who represent the future and who are the key to any successful i ght against HIV/AIDS. We must seek to engage these powerful organizaions as full partners in the i ght to halt HIV/AIDS through awareness, prevenion, and educaion.” Koi Annan The prevalence of HIV&AIDS in Indonesia is sill higher than other countries. The highest prevalence of AIDS in Indonesia was in Jakarta (3997 cases in 2011) and the second highest was Papua (3938 cases). The number of people living with HIV&AIDS is dominated by 20-29 year olds and 1.298 cases were in men and 703 in women. In almost all parts of Indonesia, as well as in countries outside Africa, HIV infecion is concentrated among people who are related to high risk of acquiring and transmiing HIV include regular sex partners, injecing drug users (IDU), transvesites, sex workers and their customers, and men who have sex with men (MSM), of which the majority are located in urban areas. 314 Cumulaives Cases of AIDS in Indonesia 2001-2010 Source : Surveillance report on AIDS Ministry of Health Jan 2000 – Sept 2010 Young People as Most-at Risk on HIV&AIDS Young people become vulnerable because most infecions are transmited because of sexual behavior iniiated during adolescence. Meaningful youth paricipaion for changing social norms and leading innovaions also started by choosing to have sex later, having fewer partners and increasing their use of condoms (WHO, 2011). The millenium development goals (MDG) 6 include the following target indicators relevant to young people: reducing HIV prevalence among populaion 15-24 years and increasing the proporion of populaion aged 15-24 year with comprehensive knowledge of HIV&AIDS. United Naions General Assembly Special Session (UNGASS) on HIV&AIDS includes the following targets to ensure that 95 per cent of young people aged 15 to 24 have the knowledge, educaion, life skills, and services to protect themselves from HIV by 2010. Distribuion of New HIV Infecion by Year (UNAIDS, 2006,2008, 2009) 315 Convenional versus Modern Health Promoion HIV&AIDS can afect many sectors, especially economic sectors because it can reduce human producivity, and social sectors because of sigma and discriminaion against people sufering from HIV&AIDS. HIV&AIDS has become a threat in both rural and urban communiies, but urban ciizen are more vulnerable than rural because of their greater mobility, human interacion and acivites. Another reason why urban ciizen more vulnerable than rural because lack of responsibility and high-standard of living someimes makes them ignore or not care about their health condiion. There is no efecive medicine to cure HIV&AIDS, so the Indonesian government has a primary strategy to solve this through health promoion. Social paricipaion is key to successful programs. Its not easy to spread informaion and educate wider community with various characterisics to prevent HIV&AIDS. Convenional health promoion, such as direct intervenion for most-at risk people, spreads lealets oline and through other strategies. But, in convenional model, there is sill a lack of paricipaion among the young. Other barriers were lack of funds and human resources in distribuing informaion, disseminaion and educaion. Now most people use internet for an efecive way to distribute informaion faster. Internet used has changed signiicantly the in past decade. Now internet has changed from one-way informaion to users to a more interacive style of communicaion. The standard internet is now known as Web 2.0. Social media is part of Web 2.0. Social media also include social networking services such as Facebook, blogging, video sharing, mobile phone applicaions, and uilizing game to persuade user of their content. Trends on the use of social media plaforms change rapidly, however sites such as Facebook and Twiter remain strong as leaders in the ield. Research in Australia shows that the internet is an important health resource for young people, with around three quarters using the internet to seek out health informaion. Nine out of ten 16 to 29 year olds use the internet daily and this age group spends more ime online than any other (South Australia Government,2012). Social Media Many deiniions for social media can be found online: social media is technically a means for social interacion through the web (Tommasi,2011 as cited in South Australian Government, 2012). Almost 21 percent of Indonesians have Twiter or at least 4,8 million people are Twiter users. Based on data from BBH Asia Paciic, 53% of Tweets originate from Indonesian retweets. Beside Twiter, Indonesia also has the second largest group of Facebook users in the world. 35 million Facebook users come from Indonesia. The prevalence of people who use social media has increased by 30% in September 2011. On avarage, indonesian visit social media 23 imes per month. Based on that problem, the authors are interested to ofer soluions by showing readers efecive and up-to-date ways to foster sense of urban society about HIV&AIDS prevenion. The authors have tried to explain the role of social media as an efecive way to promote health, especially to prevent HIV&AIDS. By this study, author would like to show that opimalizaion of social media have a beter impact on promoing health. 2. METHOD This study aims to inform readers about the importance of social media for educaing and informing urban ciizen about HIV&AIDS. This study is a qualitaive study with purposive sampling by inclusion and exclusion criteria. This study combined literature review and case-studies from an urban context. Authors combined this literature review by in-depth interview with young people who are living in urban areas as respondents. 3. RESULT AND DISCUSSION Two of our respondents have good knowledge about HIV&AIDS. They knew about deiniion of HIV&AIDS itself, how to prevent it, and what are the risk factors for that disease. They came from diferent backgrounds: we also asked them about their hobbies and internet user habits. One of our respondents said that he has no budget for internet use. So then, if he need to access the internet, he goes to an internet cafe or borrow his friend’s modem. 316 One of our respondent agreed with the statement that “Urban ciizens are more at risk of contracing HIV&AIDS” because he said that urban areas are close to prosituion, and young people’s lifestyle increases them potenial exposure to contract HIV&AIDS, and someimes urbanizaion which bring peoples from a village to city can cause culture shock. Diferent from respondent 1, respondent 2 said that rural ciizen are more at risk of contracing HIV&AIDS than urban ciizens, caused by lack of access to educaion and health knowledge. In rural areas there is sill a taboo when people talk about sexual health or myths about people living with HIV&AIDS. Our two respondents said that they knew about HIV&AIDS from lyers, phamplets, lectures, seminars, and the internet. They said that the internet has helped them to access aricles or new knowledges about health, especially how to prevent HIV&AIDS. Both of them support opimalizing social media to educate and inform about HIV&AIDS because social media could create wider connecions. Social media is important for its role as a media of informaion, educaion, and soluion sharing. Social media has great potenial to improve health promoion for many users, because it can educate more people at once. Respondents noted that use of social media to prevent HIV&AIDS can make the audience not only read at date ime but also another day they could read it again. It is like when we trying to remember words diferent from when we trying to remember by picture or video. Based on Indonesia Basic Health Research 2010, the percentage of residents who had heard of HIV / AIDS was higher among younger age groups (75.1 per cent) than other groups. The authors assumed that young people have more media to access knowledge about HIV&AIDS, such as social media. According to 2004 UNAIDS, what media can do is talk about it, create a supporive and enabling environment, and challenge sigma and discriminaion, promoing HIV&AIDS services, educaing and entertaining, mainstreaming, puing HIV&AIDS on the news agenda and encouraging leaders to take acion, sharing resources and pooling materials, and capacity building. These in-depth interview results were in line with a statement from United Kingdom Health Promoion that The world has changed, now people can easily connect each other. Technology has important role in human life, especially for young people whom are growing up and adaping to new challenges. Based on Nielsen’s research, most acive social networkers are female rather than male (108 per 96). The highest proporion are between 18-34 years old and come from Asia Paciic. Facebook and Twiter as Two Largest Social Media Number of Visitor by eBizMBA Rank, July 2012 Source: eBiz MBA, 9 January 2012 Early research found that the number of people accessing health informaion online has been grew up and search for health informaion is one of the most common reason for internet using (Eng et.al.,,1998 as cited in Smeltzer 2003). 4. CONCLUSION The proporion of Indonesians with access to the internet is coninually increasing and addiionally young people also regularly access the internet. Young people are at the forefront when it comes to the adopion of social networking technologies and the internet is highly important in the lives of young people. Social media have a higher impact on educaing and informing urban ciizen about HIV&AIDS, especially among young people. Social 317 media also have the potenial to deliver HIV&AIDS prevenion in a cost-efecive way because ciizens are already using it.This efort needs support from many sectors such as government or local non-government organizaions to implement it. REFERENCES Ali, J., LgiU, Davies, T. (2012). Social media youth paricipaion in local democracy. Retrieved from htp://www. pracicalparicipaion.co.uk/yes/start eBiz MBA. (2012). Top 15 most popular social networking sites (Top rated of social media number visitor). Retrieved 9 January, 2012, from htp://www.ebizmba.com/aricles/social-networking-websites Ferguson, J. (2012). HIV AIDS and young people: Material on sexual reproducive and health. Switzerland: World Health Organizaion. Global Media AIDS Iniiaive. (2012). The media and HIV & AIDS: Making diferences. Switzerland: UNAIDS and The Henry J. Kaiser Family Foundaion, 2004. Ministry of Health Indonesia. (2010). Indonesian Execuive Summary Report on Basic Health Research. Indonesia: Author. Smeltzer, S. C., Zimmerman, V., Frain, M., DeSilets, L. & Duin, J. (2003). Accessible Online Health Promoion Informaion for Persons with Disabiliies. Journal of Issues in Nursing, 9(1). Retrieved from htp://nursingworld. org/MainMenuCategories/ANAMarketplace/ANAPeriodicals/OJIN/TableofContents/Volume92004 /No1Jan04/AriclePreviousTopic/AccessibleInformaion.aspx South Australian Government. (2012). Social media use in youth health promoion: An analysis based on literature review and survey of the youth sector in South Australia. Australian: Author. The Nielsen Company. (2011). State of the media: The social media Report inal (Q32011). Retrieved January 9, 2012, from htp://cn.nielsen.com/documents/Nielsen-Social-Media-Report_FINAL_090911.pdf 318 DIARRHEA PREVENTION AND MANAGEMENT IN URBAN SLUMS IN INDIA: AN EVALUATION OF A BEHAVIOR CHANGE COMMUNICATION CAMPAIGN USING PRIVATE SECTOR S Basian1, V Sharma1, K Ayyagari2, L Kumar1, and R Ganesan1 ABSTRACT Diarrhea is the second largest killer of children under ive. 66 percent of these deaths are preventable through an integrated approach of i) hand washing with soap, ii) drinking water treatment and iii) use of oral rehydraion salts (ORS) during incidence of diarrhea. Access to hygiene products is not a problem; tradiional beliefs and aitudes require change. A project was conducted among caregivers of children under ive to deliver messages on behavior change for diarrhea prevenion and management in urban slums in India using the private sector. Commercial and noncommercial partners were catalyzed through an integrated plaform to deliver behavior change communicaion on diarrhea prevenion and management through outreach aciviies in 30 slums in Utar Pradesh, India. The outreach aciviies included health workers conducing group meeings, health camps and door-to-door visits to provide informaion related to hand washing with soap, drinking water treatment and ORS and the sale of drinking water treatment products. Addiionally, schools catering to these slums were also engaged to inluence the older siblings of children under ive. There was a signiicant increase in knowledge and percepions about hand washing with soap, water treatment methods and ORS. Behavior change was seen through increased hand washing with soap ater defecaion and cleaning the child’s botom and in the adopion of promoted water treatment methods. Among the contacted caregivers, 21% purchased chlorine tablets from the health workers; 16% of them were repeat purchasers of chlorine tablets; and approximately 20% of those who started treaing water with chlorine tablets purchased gravity water ilters. 1. INTRODUCTION Diarrhea is the second largest killer of children under ive. India has the largest number of diarrheal deaths in the world with about 400,000 children under ive dying from it every year (UNICEF, 2009). Poor hygienic pracices are a signiicant factor in increasing children’s risk of muliple bouts of diarrhea and make children more vulnerable (Gupta et al., 1998). About 88 percent of diarrheal deaths worldwide are atributable to unsafe water, inadequate sanitaion and poor hygiene (UNICEF, 2009). Urban slums are deined as ‘a compact area of poorly built congested tenements, in unhygienic environment usually with inadequate infrastructure and lacking in proper sanitary and drinking water faciliies’ (Census of India, 1 Abt Associates Inc., New Delhi, India; 2 Save the Children, New Delhi, India Acknowledgments: We thank United States Agency for Internaional Development (USAID) for supporing the design and implementaion of the project, the slum community in Lucknow, Varanasi and Kanpur for paricipaing in the qualitaive and quanitaive research and Purple Audacity and TNS Mode for assising with data collecion and analysis. The views expressed in this publicaion do not necessarily relect the views of the United States Agency for Internaional Development (USAID) or the United States Government. 319 2001). These characterisics increase the vulnerability of the urban slum populaion to diseases. For this project 30 urban slums in three ciies of north India each with a populaion of over 1 million (Lucknow, Kanpur and Varanasi in Utar Pradesh, India) were selected. While the risk of diarrhea among children under ive is as high in urban slums as in rural areas, urban slums have an advantage in terms of having access to inexpensive and eicient means of diarrhea prevenion and management. Nearly nine out of ten child deaths due to diarrhea can be prevented with simple, efecive and proven lifesaving soluions (Jones et al., 2003). Hand washing with soap is efecive in reducing diarrheal incidence up to 42 - 47 percent. Drinking water treatment at point-of-use and safe storage of drinking water can reduce diarrhea by up to 39 percent. Use of oral rehydraion salts (ORS) is efecive in managing diarrhea by prevening dehydraion once a child has an incidence of diarrhea. ORS has saved an esimated 50 million lives (Elliot, 2011). However, use coninues to be low; ORS use has not changed from 1999 to 2006 (NFHS-3, 2007). According to Jones et al. (2003), integrated approaches that combine various simple, efecive home-based intervenions like hand washing with soap, drinking water treatment, oral rehydraion and zinc therapy, immunizaion and correct feeding pracices can reduce diarrheal incidence by up to 66%. While availability of soaps, water puriicaions systems and ORS in urban slums is high, gaps remain – paricularly in changing consumers’ knowledge and aitudes towards these products, as these contribute to low levels of use. Gupta et al. (1998) report that availability of clean sanitaion faciliies does not translate to use since people cling to tradiional beliefs and pracices. Maternal literacy per se has no efect on incidence of diarrhea among children under ive. However, speciic instrucions on the importance of hygiene pracices are beneicial. Behavior change for diarrhea prevenion and management among children under the age of ive can be brought about through mothers (primary caregivers). Among the 30 slums selected for the project, the approximate populaion of primary caregivers of children under ive was 100,000. Addiionally, there are opportuniies to conduct outreach aciviies at schools, to take advantage of a spillover efect of educaing the elder siblings who are key inluencers or secondary caregivers to children under ive (secondary caregivers) (SBK Baseline, 2011). Comfort et al. (2003) discuss the vital role played by school going children in behavior change in the community. This paper evaluates the behavior change communicaion (BCC) campaign for improved diarrhea prevenion and management in urban slums, funded by the United States Agency for Internaional Development (USAID) through the Market-based Partnerships for Health - Saathi Bachpan Ke (friends of childhood) project. Further, the paper details results of a pre-post intervenion analysis, discusses indings and provides conclusion and recommendaions. 2. BEHAVIOR CHANGE COMMUNICATION CAMPAIGN Understanding caregivers A qualitaive and quanitaive research study was conducted in October 2010 in urban slums in three ciies in Utar Pradesh; Lucknow, Kanpur and Varanasi among primary caregivers and their spouses to understand the barriers and triggers that moivate adopion of desired behaviors (SBK Baseline Report, 2011). Hand washing with soap The hand wash behavior was founded on the deep rooted concepts of ‘Pavitrata’ (ritualisic purity), ‘Gandagi’ (visible sign of impuriies) and ‘Ghin’ (feeling of disgust). Women, the primary caregivers to children below the age of ive, believed that they were pure (Pavitrata) once they had taken a bath unless there was contact with an 320 element of i) disgust (Ghin), like in case of defecaion (where soap was used consistently) or ii) visible impuriies (Gandagi), where they would wash their hands with water alone since they believed that ‘what looks clean, is clean’ and would thus make their hands clean. Hence, the need to wash hands with soap was not felt. Washing hands with water alone emerged as the most signiicant compeitor to using soap for hand washing. Therefore, focus was needed on communicaing that hand washing means washing with water ‘and’ soap, not with water alone. Drinking water treatment The purity of water was associated with its transparency, taste and smell as seen with water that comes from a pipe. In addiion, there was a tradiion of drinking fresh water i.e. water lowing from hand pump or pipe was considered to be safer than stored water. The low risk percepion was reinforced by the fact that the younger generaions had always seen their parents following similar behaviors and nothing ‘bad’ had happened to them. Therefore, communicaion needed focus on changing the belief that water which looks clear or does not taste bad or does not smell bad smell is safe to drink. Use of ORS The two signiicant determinants that could trigger behavior change among those who did not give ORS frequently to their child during their last diarrheal episode (two weeks prior to study) were: a) recommendaions by healthcare providers and b) knowledge that ORS should be administered in small quaniies to facilitate the child’s acceptance of ORS. Therefore, focus was needed on communicaing that ORS should be administered frequently, emphasizing that ORS should be administered in small quaniies if the child iniially refuses to take ORS. Communicaion strategy The strategy adopted for BCC for diarrhea prevenion and management was to catalyze private sector (both commercial and non-commercial partners) through an integrated plaform to engage caregivers in on-ground aciviies at slum level to impact knowledge, aitudes and behaviors of caregivers of children under ive. The details of the BCC strategy are given below: Table 1. Behavior Change Communicaion Strategy. Area Current Behavior Consumer insight Water is believed to be good enough (purity) BCC Strategy Reason To Believe Hand washing with soap Low consistent use of soap at criical imes of hand wash Hand washing to be synonymous Germs thrive in with hand washing with soap. water, only soap Demonstraion to show the need gets rid of them for hand wash with soap Drinking water treatment Low use of Water that is visibly Water tesing demonstraions water puriicaion clean and tastes to establish need for water methods good is believed to treatment be safe Water has invisible germs that on tesing turn the water black Use of ORS Low use of ORS ater every diarrheal episode Diarrhea can become life threatening if child gets dehydrated. Child refuses to Moivate caregivers to rehydrate take in liquids -ORS, ater every diarrheal episode so mother gives up even if child refuses. Demonstrate ORS preparaion and ease of feeding child 321 Acivity An integrated plaform was established under the brand ‘Saathi Bachpan Ke (SBK) – friends of childhood’. Outreach was conducted from July 2011 – November 2011 in select slums to communicate with primary caregivers. Schools catering to these slums were also engaged to inluence secondary caregivers. Addiionally, video van aciviies were conducted in November 2011 to provide focused messages on use of ORS and a hand wash with soap. Details of these aciviies are given below: Slum Outreach was conducted among primary caregivers through slum health workers who provided informaion on hand wash with soap, drinking water treatment and use of ORS. They also sold chlorine tablets through the intervenion period and gravity ilters during the last month. Partners were inluenced to use the integrated diarrhea prevenion messages in sales drives and provided free samples for slum outreach aciviies. A comprehensive series of aciviies were conducted among caregivers, comprised of group meeings, health camps and house-to-house visits: • Group meeings were conducted with 8 to 10 caregivers. Caregivers were introduced to SBK and the need for diarrhea prevenion and management through lip-charts. Their current pracices on hand washing, water treatment and ORS use were discussed. Demonstraions were conducted on hand washing with soap and ORS preparaion. Water from local sources was collected for tesing. Ater a few group meeings a health camp was conducted in the community among the caregivers. • Health camps were conducted among 250 to 300 caregivers who had previously atended the group meeings. Water tesing results were shared and diarrhea prevenion and management methods were revisited through edutainment tools like puppet theatres, magicians, audio visuals and games. Trained local private providers were invited to conduct free health check-ups for children and recommend diarrhea prevenion and management methods. • Household visits were conducted to follow up health camp and group meeings to reinforce messages and encourage caregivers to pracice diarrhea prevenion and management methods. Health workers also sold chlorine tablets and combinaion gravity ilters. School Outreach aciviies were conducted among secondary caregivers in schools catering to children from the select slums on Global Hand Wash Day, World Water Day and ORS Day. Various aciviies were conducted including puppet theatre, pantomime shows, paining compeiions, pledges, demonstraions of hand washing with soap, soap staions at schools, partner mass media adverts with diarrhea prevenion and management messages, seing up of school clubs and iniiaing reinforcement of messages through teachers at paricipaing schools. Video van acivity was conducted in select slums in November 2011 to show mass media adverts with focused messages on i) hand wash with soap: germs are unafected by water and soap is necessary for hand washing; and ii) use of ORS: ORS should be administered in small quaniies if the child iniially refuses to take ORS. The mass media adverts were developed and launched to build credibility of the integrated plaform and value for partners. 3. METHOD To assess the impact of the BCC campaign, a pre-post intervenion analysis was conducted. Baseline study was conducted in October 2010 and endline study was conducted in November 2011 among caregivers of children under ive in the pilot sites in three ciies of Utar Pradesh; Lucknow, Kanpur and Varanasi. For baseline, a total of 2354 caregivers for hand washing, 777 caregivers for water treatment and 774 caregivers of children under the age of ive years with diarrhea two weeks preceding the survey for ORS were covered under the study. The sample for endline was 2427 for hand washing, 758 for water treatment and 551 for ORS. A systemaic simple random sampling was adopted to select the eligible respondents. The slums included in the program were taken as primary sampling units (PSU) for the study. A lising of households was conducted in each PSU and the eligible respondents were ideniied using a small quesionnaire to determine socio-economic 322 classiicaion of the household and the presence of children less than 5 years of age. In each PSU, household lising was conducted unil 21-25 households were ideniied with a child under 5 years who has sufered from diarrhea two week prior to the survey. Ater establishing the household lists, caregivers were selected from the eligible households using systemaic simple random sampling for the hand wash secion and the water treatment secion. All the caregivers from the listed households with a child under 5 years who sufered from diarrhea two weeks prior to the survey were selected for the ORS secion of the survey. The instrument was designed for a structured face-to-face interview in a private seing, where the interviewer would code responses given by the respondent. The quesionnaire was translated into the local language and pre-tested before inalizaion. A well trained and experienced ield team of TNS Mode conducted the survey with appropriate data quality checks. Responses to open-ended quesions were translated and coded appropriately and the data was entered and analyzed using PASW Staisics 18.0 version (IBM, New York, USA). The sample data was weighted and then analyzed using muli-variate logisic regression techniques. The key indings are presented in this paper through percentage, adjusted proporion and mean scores. 4. RESULTS Hand wash with soap N=2354 (baseline); 2427(end line); * indicates signiicantly (p<0.05) diferent from baseline. Figures shown are adjusted proporions using mulivariate logisic regression. Figure 1. Knowledge levels on washing hands before criical imes. Table 2. Percepions regarding washing hands. Percepions regarding Baseline Endline Using soap for hand washing is common among people around here 2.4 3.4* Those who wash hands with mud also require washing hands with soap 3.0 3.5* Washing hands with ash is not equally efecive as washing hands with soap 2.9 3.4* Even though hands look clean, we should wash with soap 3.2 3.3 I can always ind soap to wash my hands at the wash staion 3.8 3.8 Hand washing is a habit for me in my personal life 3.8 3.8 I would feel unhygienic if I did not wash hands ater defecaion 3.8 3.9 People will speak disparagingly of someone who doesn’t wash hands ater defecaion. 3.5 3.7* People will speak disparagingly of someone who doesn’t wash hands before eaing food 3.5 3.4* I would feel unclean if I did not wash my hands before eaing 3.8 3.7* Washing hands only with water is not suicient before eaing 2.4 2.5 I do not allow my children to eat food without washing hands 3.8 3.7 Hand washing with soap Hand washing ater defecaion Hand washing before eaing and feeding a child N=2354 for baseline; 2427 for the end line; * indicates signiicantly (p<0.05) diferent from baseline. Figures are adjusted means of scores given by respondents on an agreeability scale of 1-4. 323 Figure 1 shows a signiicant increase in the knowledge of hand wash at criical imes. Percepions about washing hands with soaps improved (Table 2); these include ‘using soap for hand washing is common among people around here’ (signiicantly increased from 2.4 mean score at baseline to 3.4 mean score at endline), ‘those who wash hands with mud also require washing hands with soap’ (from 3.0 mean score at baseline to 3.5 mean score at endline) and ‘washing hands with ash is not equally efecive as washing hands with soap’ (from 2.9 mean score at baseline to 3.4 mean score at endline). Perceived social support regarding hand wash ater defecaion and consistent use of soap for hand washing ater defecaion (86 percent to 92 percent) and ater cleaning child’s botom (82 percent to 91 percent) also increased signiicantly. However, there was a signiicant decline over ime in consistent use of soap for washing hands before eaing (28 percent to 8 percent), feeding children (26 percent to 14 percent) and cooking (26 percent to 6 percent). Drinking water treatment N=777 for baseline; 758 for the end line; * indicates signiicantly (p<0.05) diferent from baseline. Figures shown are adjusted proporions using mulivariate logisic regression. Figure 2. Awareness of diferent water treatment and storage methods. Awareness of acive water treatment methods signiicantly increased from baseline to endline (Figure 2). There was a signiicant increase in beliefs (from 3.7 mean score at baseline to 3.8 mean score at endline) and self-eicacy among caregivers in treaing their drinking water (from 2.2 mean score at baseline to 2.4 mean score at endline). However, the felt need for water treatment decreased signiicantly from 40 percent in baseline to 27 percent in endline. N=777 for baseline; 758 for the endline;* indicates signiicantly (p<0.05) diferent from baseline. Figures shown are adjusted proporions using mulivariate logisic regression. (a): Acive HWTS: Boiling, chlorine tablets, iodine, alum, gravity ilters or other ilters (b): Use of chlorine includes use of Aquatabs; baseline levels assumed to be zero since no presence of Aquatabs in program areas at baseline (c): Promoted HWTS: Chlorine and Gravity Filters Figure 3. Usage of HWTS methods. Figure 3 shows that the usage of chlorine and gravity ilters, the promoted water treatment soluions, increased signiicantly. Program MIS (2012) showed that 21% of caregivers contacted by slum health workers bought chlorine tablets. 16% of them bought chlorine tablets again and were repeat users; 20% went on to purchase gravity water ilters from the health workers. 324 ORS There was a signiicant increase in the awareness of ORS from 57 percent at baseline to 72 percent at endline. Belief that ORS helps ight dehydraion increased signiicantly from 42 percent at baseline to 57 percent at endline (Figure 4). There was a signiicant increase in acion taken (i.e. treated at home or sought external advice) by caregivers in response to the latest diarrheal episode of their child (86 percent to 99 percent). However, there was no change in ORS usage from baseline (49%) to endline (50%). N=774 for baseline; 551 for the endline; * indicates signiicantly (p<0.05) diferent from baseline. Figures shown are adjusted proporions using mulivariate logisic regression. Figure 4. Awareness of ORS and belief that it helps ight dehydraion. 5. DISCUSSION Speciic behavior change discussion: Hand wash with soap There was a signiicant increase in knowledge of ive criical imes of hand wash, percepions of hand wash with soap and consistent use of soap for hand wash ater defecaion. However, consistent use of soap for hand wash before eaing and feeding signiicantly declined over ime. This could be due to over-reporing at baseline. Self-reported hand washing measures are subject to over-reporing (L Danquah, 2010). This over-reporing may have declined at endline due to i) sensiizaion by the campaign on importance of hand wash with soap at criical imes and ii) lack of belief that hand wash with soap ater defecaion was as criical as hand wash with soap at other occasions since hand wash ater defecaion was a social norm whereas hand wash with soap at other criical imes was at nascent stage. Drinking water treatment N=777 for baseline; 758 for endline; * indicates signiicantly (p<0.05) diferent from baseline Figure 5. Main sources of drinking water. 325 There was a signiicant increase in awareness, self-eicacy and use of chlorine and gravity ilters to treat water. However, there was a decline in felt need for water treatment from baseline to endline. Upon invesigaing it was observed that there was a signiicant change in the source of drinking water from tube well/borehole to piped water. JNNURM (2012) data also shows increased supply of piped water in select ciies. The movement in source was larger in Varanasi and Kanpur than Lucknow between baseline and endline. Figure 5 shows a decline of 11.5 percent in ‘tube well/borehole’ and ‘others’ as the main source of drinking water in Lucknow and 40.5 percent in Varanasi & Kanpur. Further, the felt need for water treatment increased signiicantly in Lucknow from 48 percent to 63 percent while it decreased signiicantly in Varanasi and Kanpur from 39 percent to 11 percent. Since the main source of drinking water was tubewell/borehole water tesing eforts by the BCC campaign had litle efect when the main source of water change to piped water, which looks clean and is believed to be safe. ORS Awareness of ORS and the belief that ORS helps ight dehydraion increased. However, there was no change in the key factors inluencing use of ORS: i) ORS should be given in small quaniies when a child refuses to take ORS; and ii) providers’ recommendaion of ORS to caregivers (SBK Baseline, 2011). The focused messages on giving ORS in small quaniies when a child refuses to take ORS were shown for a limited period. Greater duraion of exposure may have posiive results. Addiionally, seeking advice from private providers to treat diarrhea had increased signiicantly. However, caregivers did not report ORS being recommended by providers during the last incidence. 6. CONCLUSION AND RECOMMENDATIONS The SBK integrated plaform with commercial and non-commercial partners demonstrated behavior change was seen with respect to hand wash with soap ater defecaion and cleaning child’s botom, and in adopion of promoted drinking water treatment methods. There was also improvement in knowledge and percepions about diarrhea prevenion and management. It is important to note that the intervenion period was limited to four months. Changing aitudes and percepions to bring about lasing behavior change requires longer exposure to communicaion. Coninued slum outreach aciviies can help bring about behavior change in other areas. Some recommendaions for coninued aciviies include: • For hand wash with soap, communicaion needs to connect percepions of hand wash with soap and consistent use of soap for hand wash at all criical imes including before eaing and feeding. Addiionally, more accurate assessment, through observaion based data evaluaion, may be explored. • For drinking water treatment, communicaion needs to reinforce that ‘water that looks clear or does not taste bad or does not have bad smell is unsafe to drink’ even if it comes from a pipe. Such communicaion to increase the felt need for water treatment due to microbial reasons may inluence overall use of acive water treatment methods. • For use of ORS, there is a need for intensive exposure to campaign focusing on ‘ORS to be given in small quaniies’ to change belief. Addiionally, mechanisms need to be explored to ensure that the providers recommend ORS. 326 REFERENCES Census of India. (2001). Concepts and Deiniions: Deiniion of Slum. India: Author. Comfort, B. O., Ezirim, C., Ezirim, G. C. & Nigeria, O. (2003). Children as agents of sanitaion and hygiene behavior change. 29th WEDC Internaional Conference – Towards The Millennium Development Goals (pp. 55-57). Abuja, Nigeria: Loughborough University. Danquah, L. (2010). Measuring hand washing behavior: Methodological and validity issues. South Asia Hygiene Praciioners’ Workshop, Dhaka, Bangladesh. Elliot, R. (2011). Third world diseases (Topics in medicinal chemistry 7). New York, London: Springer. Gupta, P., Murali, M. 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