Conservation in Earthen Heritage : Assessment and Significance of Failure, Criteria, Conservation Theory, and Strategies [1 ed.] 9781443889292, 9781443886055

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Conservation in Earthen Heritage

Conservation in Earthen Heritage: Assessment and Significance of Failure, Criteria, Conservation Theory, and Strategies By

Mariana Correia

Conservation in Earthen Heritage: Assessment and Significance of Failure, Criteria, Conservation Theory, and Strategies By Mariana Correia This book first published 2016 Cambridge Scholars Publishing Lady Stephenson Library, Newcastle upon Tyne, NE6 2PA, UK British Library Cataloguing in Publication Data A catalogue record for this book is available from the British Library Copyright © 2016 by Mariana Correia All rights for this book reserved. No part of this book may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of the copyright owner. ISBN (10): 1-4438-8605-X ISBN (13): 978-1-4438-8605-5

Dedicated to Andreia, Sónia, Daniel, and Jacob

CONTENTS

List of Figures and Tables .......................................................................... xi Preface ....................................................................................................... xii Acknowledgments .................................................................................... xiv List of Acronyms ...................................................................................... xvi Chapter One ................................................................................................. 1 Introduction 1.1 Introduction 1.2 The focus on earthen heritage 1.3 Assessment of failure in earthen heritage 1.4 The research purpose 1.5 Research objectives of the investigation 1.6 Research methods approach 1.7 Thesis structure Chapter Two .............................................................................................. 17 Evaluation of Strategies and Planning Systems in Earthen Heritage Conservation 2.1 Introduction 2.2 Strategies in earthen heritage conservation 2.3 Planning systems in earthen heritage conservation 2.4 Conclusions Chapter Three ............................................................................................ 44 Evaluation of Methodology of Intervention and Conservation Practice in Earthen Heritage 3.1 Introduction 3.2 Methodology of intervention in earthen heritage conservation 3.3 Intervention in conservation practice in earthen heritage 3.4 Conclusions

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Chapter Four .............................................................................................. 73 State of Significance of Conservation Theory in Earthen Heritage 4.1 Introduction 4.2 The need to address a conservation theory framework 4.3 Principles observed in charters of heritage and international guidelines 4.4 Degrees of intervention 4.5 Values and significance 4.6 Conclusions Chapter Five ............................................................................................ 101 Research Methods 5.1 Introduction 5.2 Research aims 5.3 Overall methodological design 5.4 Sample selection 5.5 Data collection methods 5.6 Data analysis 5.7 Reporting the findings 5.8 Conclusions Chapter Six .............................................................................................. 126 Conservation in Earthen Sites - Chan Chan (Peru) 6.1 Introduction to the case study 6.2 Architectural and archaeological significance 6.3 UNESCO World Heritage List 6.4 Addressing the management plan 6.5 Conservation state of the site 6.6 Conservation practice at the site 6.7 Methodology of intervention at the site 6.8 Reasons for failure identified at the site 6.9 To recognise criteria for intervention at the site 6.10 Addressed significance of conservation theory at the site 6.11 Addressed strategies at the site 6.12 Site questionnaires analysis 6.13 Comparative issues to address between the three sites 6.14 Summary of key issues concerning Chan Chan site

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Chapter Seven.......................................................................................... 149 Conservation in Earthen Sites - Ait Ben Haddou (Morocco) 7.1 Introduction to the case study 7.2 Architectural significance 7.3 UNESCO World Heritage List 7.4 Addressing the management plan 7.5 Conservation state of the site 7.6 Conservation practice at the site 7.7 Methodology of intervention at the site 7.8 Reasons for failure identified at the site 7.9 To recognise criteria for intervention at the site 7.10 Addressed significance of conservation theory at the site 7.11 Addressed strategies at the site 7.12 Site Questionnaires analysis 7.13 Comparative issues to address between the three sites 7.14 Summary of key issues concerning Aït Ben Haddou site Chapter Eight ........................................................................................... 168 Conservation in Earthen Sites - Arg-E Bam (Iran) 8.1 Introduction to the case study 8.2 Architectural and archaeological significance 8.3 UNESCO World Heritage List 8.4 Addressing the management plan 8.5 Conservation state of the site 8.6 Conservation practice at the site 8.7 Methodology of intervention at the site 8.8 Reasons for failure identified at the site 8.9 To recognise criteria for intervention at the site 8.10 Addressed significance of conservation theory at the site 8.11 Addressed strategies at the site 8.12 Site questionnaires analysis 8.13 Comparative issues to address between the three sites 8.14 Summary of key issues concerning Arg-e Bam site 8.15 Summary of key issues concerning the three sites Chapter Nine............................................................................................ 189 Failure and Criteria in Earthen Heritage Conservation 9.1 Introduction 9.2 To identify reasons for failure in earthen heritage conservation 9.3 To recognise criteria for intervention in earthen heritage conservation 9.4 Conclusions

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Chapter Ten ............................................................................................. 221 Conservation Theory and Strategies in Earthen Heritage 10.1 Introduction 10.2 To give significance to conservation theory in the field of earthen heritage 10.3 To provide strategies concerning earthen heritage conservation 10.4 Conclusions Chapter Eleven ........................................................................................ 259 Conclusions 11.1 Introduction 11.2 Research Objective 1: Failure in earthen heritage conservation 11.3 Research Objective 2: Criteria in earthen heritage conservation 11.4 Research Objective 3: Significance of conservation theory in earthen heritage conservation 11.5 Research Objective 4: Strategies in earthen heritage conservation 11.6 Overall conclusions References .............................................................................................. 270 Appendix I Site survey questionnaire ...................................................... 298 Appendix II International key-experts survey questionnaire ................... 304 Appendix III Participation information sheet .......................................... 308 Appendix IV Contact summary forms ..................................................... 313 Appendix V Contact theme forms ........................................................... 321 Appendix VI Logic models ..................................................................... 331 Appendix VII Example of responses to survey questionnaires ............... 333 Appendix VIII International key-experts questionnaire responses .......... 342 Appendix IX Selected photos of the visit to the 3 case studies ............... 378 Appendix X Sheet Display Diagrams ...................................................... 382

LIST OF FIGURES AND TABLES Figures The authorship of the images presented in the thesis is credited to Mariana Correia, except when mentioned otherwise.

List of Tables The author of the research developed all the tables. Table 1.1 Table 5.1 Table 5.2 Table 5.3 Table 5.4 Table 5.5 Table 5.6 Table 5.7 Table 5.8 Table 5.9 Table 5.10 Table 5.11 Table 5.12 Table 9.1 Table 9.2 Table 10.1 Table 10.2

Addressing research objectives in each chapter Analysis progress and flows of action Decision criteria contributing to the selection of the sites Principal contributors for the assessment of the sites Decision-criteria and contributors answering to the questionnaire International key-expert questionnaire country representation Methods and models followed within this research Response to site survey questionnaire Response to the international key-expert survey questionnaire International key-expert questionnaire addressing research objectives Research objectives addressed at the site survey questionnaire Example of coding, and identification of where the code can be found Categories, themes and codes identified within this coding method Network diagram of research objective 1 Network diagram of research objective 2 Network diagram of research objective 3 Network diagram of research objective 4

PREFACE

Worldwide, there is a vast fragile earthen heritage that is barely surviving due to serious damage and decay of the fabric. In general, it is believed that natural agents are the overall cause for failure of earthen heritage. However, when thoroughly evaluating causes of decay, it is discerned that the interventions of conservators have a major impact. According to the literature, conservators’ actions towards earthen heritage have not been consistently and systematically investigated. This leads to questions about the approach to conservation, reasons why intervention mistakes are repeated, and why successful conservation results are still scarce. This investigation aims to discover reasons for failure of earthen heritage conservation; to identify consistent criteria standards for conservation intervention across identifiable indicators; to give significance to conservation theory in the field of earthen heritage; and to provide a framework concerning intervention strategies in earthen heritage conservation. The research methodology of this investigation is based in qualitative methods and a case study strategy analysing three World Heritage earthen sites: Chan Chan in Peru, Aït Ben Haddou in Morocco, and Arg-e Bam in Iran. A combination of sources was used following a multi-method approach: published literature, unpublished reports from international organisations, collection of local data, field analysis through site observation, two different types of questionnaires, and open interviews. The findings show consistent evidence of shortcomings due to the making of inadequate choices, lack of follow-up and maintenance, lack of preparation and confusion of roles. Mixed interpretations and lack of knowledge are also recognised as important causes of failure in the conservation approach. These findings support the claim that unprofessional practices are frequent, such as the use of universal solutions and of incompatible materials often applied by professionals without enough knowledge or experience in earthen heritage conservation. This research suggests standards for high quality intervention through the definition of criteria for decision-making, indicators of quality and indicators of best practice, as well as clarification concerning procedures in methodology of intervention. It also stresses the importance of conservation theory in earthen heritage conservation, combining theory

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and practice, as well as defining specific principles. Finally, this investigation recommends an overall strategy in the conservation of earthen heritage, with particular emphasis on an approach that integrates education, awareness, and research; anthropological conservation; scientific conservation, and preventive conservation. This publication is the result of research developed for a PhD Thesis, awarded in 2010, at the Oxford School of Architecture, in Oxford Brookes University, United Kingdom.

ACKNOWLEDGMENTS

I am grateful to all who contributed to the successful accomplishment of this research, but I wish to dedicate special thanks to: -

My supervisors, Dr. Nicholas Walliman and Dr. Marcel Vellinga, for their enduring support and encouragement through the years, and for always having faith in my work. - My director of studies, Prof. Mike Jenks, for believing in successful accomplishment, and for meeting me even in the busiest times as director of the department; - My advisors, Prof. Paul Oliver, Prof. Hubert Guillaud, and Prof. Elizabeth Burton for their dedication, solidarity, and continuous support; - Dr. Rasool Vatandoust, Dr. Eskandar Mohktari, Ing. Nima Naderi, and Dr. Guido Licciardi, for my exceptional experience in discovering Iran; - Sébastien Moriset and Mohamed Boussalh, for the discovery of Aït Ben Haddou; - My Viva Examiners Fernando Vegas and Fionn Stevenson for their constructive reviews. - Luis Fernando Guerrero Baca, Julio Vargas, Célia Neves and Karol Merten for their revisions and supportive friendship; - Jacob Merten, Marco Mourão and Filipa Gomes, for their help with the format edition; - All the team at Escola Superior Gallaecia for their commitment; - A special thank you goes to all the interviewees, colleagues in the field of earthen architecture that kindly responded to the survey questionnaire: Maddalena Achenza, Carolina Castellanos, Tony Crosby, Rosa Flores, Enrico Fodde, David Gandreau, Luis Guerreiro, Hubert Guillaud, Hugo Houben, John Hurd, Pamela Jerome, Isabel Kanan, Guido Licciardi, Camilla Mileto, Gernot Minke, Sébastian Moriset, Célia Neves, Leslie Rainer, Jeanne Marie Teutonico, and Fernando Vegas. - To FCT, Foundation for Science and Technology (Portugal) for the PhD scholarship.

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My late parents for inspiring me to fight for what I believe is right; My three children, for sharing their joy and energy, and for the sacrifice of the countless hours dedicated to research; My brothers and sisters, Delmira, João, Rui, Pedro, and Cuca, for their continuous strength and for being present for each other; My American family, my aunts Gertrudes and Fernanda, and D.Rosa and Goreti for their constant support; And finally, all my profound gratitude goes to Jacob, always supportive and without whom I could not have accomplished the dream of learning through research, and keeping up the high standards.

LIST OF ACRONYMS

CERKAS:

Centre de Conservation et de Réhabilitation du Patrimoine Architectural des zones Atlasiques et Subatlasiques (Centre for the Conservation and Rehabilitation of Architectural Heritage of Atlas and Southern Atlas Regions) (France).

CRATerre-ENSAG:

CRAterre - International Centre for Earthen Construction - Ecole Nationale Supérieur d’Architecture de Grenoble (France).

EAI:

Earthen Architecture Initiative – GCI (USA).

EAP:

The World Heritage Program on Earthen Architecture (UNESCO).

ESGallaecia:

Escola Superior Gallaecia (Portugal).

GCI:

Getty Conservation Institute (USA).

ICCROM:

International Centre for the Study of the Preservation and Restoration of Cultural Property (Italy).

ICHHTO:

Iranian Cultural Heritage, Handicrafts and Tourist Organisation (Iran).

ICHO:

Iranian Cultural Heritage Organisation (Iran).

ICOMOS:

International Council on Monuments and Sites.

ICOMOS-CIAV:

ICOMOS-International Scientific Committee on Vernacular Architecture.

ICOMOS-ISCEAH:

ICOMOS-International Scientific Committee on Earthen Architectural Heritage.

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INC:

National Cultural Institute of Peru | Instituto Nacional de Cultura del Peru (Peru).

NSW:

National Trust of Australia.

RCCCR:

Research Center for Conservation of Cultural Relics (Iran).

RPBCH:

Recovery Project of Bam’s Cultural Heritage (Iran).

PUCP:

Pontificia Universidad Católica del Peru (Peru).

UNDP:

United Nations Development Program.

UNESCO:

United Nations Educational, Scientific and Cultural Organization.

WHEAP:

World Heritage Earthen Architecture Program.

WTO:

World Tourism Organisation.

CHAPTER ONE INTRODUCTION

Fig.1.1 - Failure following conservation intervention at the earthen fortress of Alcácer do Sal, Portugal (credits: Mariana Correia).

1.1 Introduction In the last thirty years, there has been a resurgence of interest in earthen architecture, evidence being the increased number of publications; the dissemination of information through numerous conferences, seminars and exhibitions being organised worldwide; the creation of international and regional organisations, associations and networks; the broadcast of documentaries and news-reports; etc. This is due to an increase in the

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number of academics and professionals working in the area (Houben and Guillaud, 1989) (Doat et al., 1985) (Minke, 1994, 2001); a growing awareness of the public (Dethier, 1981); the interest in earthen heritage preservation (Jeannet et al., 1991) (Warren, 1993) (Warren, 1999); the continuity of Terra international conferences organisation (Terra 93) (Terra, 2000) (Terra 2003) (Terra 2008); to an increased interest for postgraduate training (Trappeniers, 1999) (Alva Balderrama and Albertini, 2004); the use of the earthen material for self construction (McHenry Jr., 1992); or in housing development projects (Swenarton, 2008), or in contemporary architecture (Terra 93) (Easton, 1996) (Fernandes and Correia, 2005) (Walker et al., 2005). Matero and Cancino confirmed that “interest in the conservation of earthen heritage has escalated at a rapid rate since 1990” (2000, p.21). Earthen architecture has an ancient history reaching back to the first settlements of humankind. This is witnessed by remains found in Jericho of adobes dated from 8300 to 7600 B.C. (Aurenche, 1993, p.73, p.77) (Sauvage, 1998, p.41) and in Çatal Höyük, Anatolia, one of the first cities to be built in adobe (Bahn, 2005, p.274). Earthen architecture also constitutes a diverse living heritage existing in almost all the continents (Oliver, 1997) (Vellinga et al., 2007), using different techniques and architectural expressions (Houben and Guillaud, 1989) (Guillaud et al., 2008a, 2008b). This rich earthen heritage represents an important component of the World Heritage Listed sites. In 2006, the World Heritage Committee stated that 25 percent of the “cultural properties inscribed on the List of World Heritage in Danger” (World Heritage, 2007a, p.2) are earthen sites, which illustrates the vulnerability of this type of heritage. At first sight the cause for the earthen heritage being at risk is the impact of natural agents (such as water, wind, earthquakes), as earthen architecture is composed of a fragile material. However, when reviewing the body of literature, it can be perceived that several threats are increasingly related to man-made actions. If this is the case, then the human agent is to a certain degree a source of decay, and can potentially contribute to failure, not just through physical causes, such as war and vandalism, but also through inadequate intervention or lack of action. This brings the need to focus primarily on the understanding of the meaning of earthen heritage.

1.2 The focus on earthen heritage Earthen architecture is the generally used term; though there are alternative terms also in use (e.g. mud architecture, unbaked earth

Introduction

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architecture). However, during the 4th International Symposium on Mudbrick (adobe) Preservation held in Ankara in 1980, it was recommended that the term “earthen architecture” should be used in the future, to represent this type of architecture (Terra 93, 1993b, p.143). Earthen architecture is considered as all the architecture built with raw earth, comprising different ways of building (monolithic group, masonry group and bearing structure group) (Houben and Guillaud, 1989, p.165) using different techniques such as rammed earth, adobe, wattle and daub, cob, etc. Earthen architecture is one of the most universal and diversified built heritages of humankind. It ranges from modest dwellings and mosques in Sub-Saharan Africa, to farms and urban dwellings in the United Kingdom, to churches, factories and «chateaux bourgeois» in France, to Islamic fortresses in Portugal and Spain, to missions and native American pueblos in the USA, village settlements in China, imperial cities in Peru, “skyscrapers” of more than eight floors in Yemen, etc. (Dethier, 1981) (Warren, 1993). Earthen architecture includes vernacular and monumental heritage, contemporary architecture, self-building construction, etc. In 1985, Doat et al. mentioned that a third of the world’s population that inhabited rural areas lived in earthen structures (1985, p.8). In 1989, Houben and Guillaud stated: “At least 20% of urban and suburban populations live in earth homes” (1989, p.6). These numbers are no longer real, in a constant changing world. In 2007, the United Nations established that half of the population lived in cities. This probably means, that 15% to 17% of the world’s population live in earthen structures. The great number of dwellings worldwide that are made of earth embrace a large variety of earthen architecture and earthen construction techniques. In the past, the building methods used depended mainly on the available soil, the knowhow of the master builders, local building culture, resource availability in the region, climate and environment conditions, etc. In terms of traditional construction, a humid to dry soil mixture was used in rammed earth (compressed mixture of earth and aggregates rammed between form boards). When the soil was softer, a semi-soft paste or mud combination with dry grass or straw was used; earth was applied in wattle and daub (structure of wood or bamboo with earthen fill-in), in cob (mixture of earth with straw piled to form walls) and in earthen mortars. A more plastic type of soil, with a high clay composition was used in adobe (sun-dried bricks) (Correia and Fernandes, 2006, p.234). However, this is no longer the case, as nowadays the availability of aggregates, additives, and stabilisers provides the possibility to improve any earthen building material according to the type of soil. Each technique incorporates an extensive

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variety of typologies with intrinsic characteristics (see Correia, 2008a, 2008b). Considering that each earthen building material and technique in a specific context implies different conservation procedures, the difficulty is increased yet further with the broad diversity of local building cultures. This diversity of techniques and intrinsic earthen characteristics are part of the uniqueness of earthen architecture, but it also creates problems of how to address conservation intervention. In the last years, the World Heritage Committee increased its interest in the preservation of this endangered heritage due to its long history and outstanding architectural diversity and value. During the 32nd Assembly, attention was dedicated to the serious threats that earthen sites are facing. It was stressed that: “In 2006, 105 out of 644 cultural properties inscribed on the World Heritage List incorporated earthen structures, and a considerable number of sites currently inscribed on States Parties’ Tentative Lists are partially or wholly built of earth. However, many of these sites are seriously threatened both by natural disasters (e.g. floods and desertification in Timbuktu, Mali; earthquakes in Bam, Iran; rain in Chan Chan, Peru; tornadoes in Abomey, Benin) and by social and physical changes to the environment (e.g. degradation of the environment through industrialisation and inappropriate use of modern technology, adaptation to modern comfort, disappearance of traditional conservation practices).” (World Heritage, 2007a, p.2)

This research focuses in particular on the diverse aspects of earthen heritage, such as tangible and intangible, material and immaterial, movable and immovable, vernacular and monumental architecture, cultural landscapes, etc. This investigation addresses earthen structures and sites included on the World Heritage List, and defined as archaeological or inhabited architectural heritage. Through the review of the body of literature there is evidence of the existence of damage and decay in earthen heritage (Warren, 1999) (Guillaud et al., 2008b) (Rainer, 2008), as well as recognition of the need to protect earthen structures and sites (Terra 93, 1993b) (Terra 2000, 2000b). The following section concentrates on reviewing conservation actions, or lack of them, undertaken in earthen heritage during the last decades, in order to identify causes for the frequent lack of success of conservation intervention.

1.3 Assessment of failure in earthen heritage Reviewing the body of literature concerning the physical state of ancient earthen heritage, it was noticed that most earthen structures or sites

Introduction

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lack a conservation policy and preventive procedures. Some of the monumental earthen sites are barely ‘surviving’ and are without conservation measures, only limited conservation repairs. For instance, this is the case with the ancient city of Jiaohe, in the autonomous region of Xinjiang Uygur in China (UNESCO Beijing Office, 1999) and the fortresses of the Ayaz Kala site, in Uzbekistan (World Monuments Fund, 2008b). Their remote locations and difficulty of access protected them from the human factor, but the vast dimensions of these sites exposed to weather conditions for several centuries and without any protection contributed to the acceleration of decay. Abduraschidow et al. refer to the fact that in the Republic of Uzbekistan, the city walls of Afrasiyab (the predecessor of today’s Samarkand) were built in earth (2005, p.248). Unfortunately, lack of maintenance has caused some areas to partially collapse. The same has happened to large parts of the Great Wall of China. Some of its sections were later faced with stone. The first walls constructed in rammed earth are dated to 656 B.C. (Scarre, 2000, p.215). In spite of the erosion, the survival of parts of the great wall certifies to the durability and resistance of this construction. In Egypt, the site of Shunet el-Zebib built in approximately 2750 B.C. is one of the oldest standing adobe monuments in the world, and one of the last remains of “monumental mortuary complexes built at Abydos by the early dynastic pharaohs” (World Monuments Fund, 2008b). If there is no urgent intervention “the walls of this highly important and very rare monument could collapse within a few years” (ibid., 2008b). In Bangladesh, the monastery of Paharpur, built from the 7th century A.D. onwards, is the biggest Buddhist monastery in the south of Asia. It is located 40km from the capital Mahasthan (Scarre, 2000, p.135). Due to the almost nonexistence of stone in the region, the central part of the sanctuary is entirely built in adobe and is considered a wonder of engineering (ibid., p.135). The other parts of the monument are built in fired brick. Unfortunately, all the above-mentioned monuments are without consistent conservation actions and measures. Can the lack of action from national heritage organisations be a cause for damage? Or is it more related to the lack of systematic intervention or adequate action from the conservators? Due to the rapid loss of the protective earth layer, degradation can affect the interior of the structure very fast. Being exposed to the environment is only one of the reasons for the rapid decay of this ancient heritage. Warren states that the great ancient city of Samarra still has city walls made of adobe (1999, p.15). In spite of major erosion, which created many degraded structures, the walls

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are still standing 3,000 years after being built. If properly protected and conserved, these monuments would be in better physical condition. Another possible source of damage is the human factor, which can be the cause of severe decay to the monument, especially through war. For instance, in Oman there are several historical earthen structures in this situation. This is the case of the fortress of Bahla (Michon and Guillaud, 2000), the fort of Bid-Bid and the palace of Birket Muz (Warren, 1999, p.xiv). During the fifties, British bombardment affected the palace of Birket Muz, which led to its abandonment. This was especially due to successive aerial attacks, which damaged the earthen walls (Warren, 1993, p.68). Following archaeological excavations, the lack of conservation measures can have a negative impact on the heritage survival. Frequently, after being exposed by the archaeological diggings, the structures are neither protected from the weather nor subject to conservation procedures. This was the case in the ruins of the adobe village of Mehrgarh (7.000 B.C.) in Pakistan. According to Bahn, this is the village that gives the only clue concerning the origins of agriculture in the Indian subcontinent (2005, p.154). Its value is immense, but unfortunately, when exposed to natural agents, these earthen remains, which have been covered for centuries, are disappearing rapidly. In Pakistan, in the Indus valley, the World Heritage archaeological ruins of the vast city of Moenjodaro listed in 1980, are also invaluable remains, as they are “built entirely of unbaked brick in the 3rd millennium B.C. (…) [and] provide evidence of an early system of town planning” (World Heritage, 2008e). In Turkmenistan, the earthen remains of Merv also present the same type of abandoned excavation. Cooke underlines the particular risk of the Archaeological Park of Merv, due to “the intensity of the earlier archaeological work” (2003, p.102). In Uzbekistan, the same has happened with the three adobe fortresses at Ayaz Kala. After 1,300 years of abandonment, the archaeologist Tolstov exposed them in the 1940s (World Monuments Fund, 2008a). Since then, they have been unprotected, hardly surviving because of natural decay. The fact that they were not reburied and did not receive any measure of protection exposes them to fast decay. According to a comprehensive review of the literature, increasing reasons for failure are related to the lack of measurements, and especially the lack of conservation processes. Correia and Fernandes maintain that there are difficulties both in “the efforts to conserve structures and/or the efforts to prevent the structure from decay, in part, because of the lack of information concerned with the compatibility of the materials and

Introduction

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techniques” (2006, p.235). Some of the World Heritage earthen cities, like Marrakech in Morocco, had, according to Serra Desfilis, inadequate practices of restoration and rehabilitation applied to them (2006, p.120). This leads to inevitable questions about the best ways to conserve and restore earthen structures. The fact is that through the years, there have been inconsistent approaches with regard to conservation intervention. A common solution was to face the earthen structure with stone masonry or to reinforce corners of earthen structures with stone facing (Pinto, 1992, p.37). This was a normal procedure, especially in monumental earthen heritage, as there was not enough experience and published literature about the conservation of earthen architecture. For instance, rammed earth walls faced by stone masonry can be observed in the south of Spain, at the Talamantes castle (Jaquin, 2008b, p.29). It can also be observed in the corners of the rammed earth tower, located in the archaeological museum of Silves, in Portugal (Fernandes and Correia, 2005, p.206). Another solution was to repair the damaged parts of the earthen walls with a cement plaster or a stabilised cement-earthen plaster. Such was the case during the sixties, of conservation intervention addressed at Larabanga mosque in Ghana (Ghana Museums and Monument Board, 2004), or the Wa Naa’s Palace, also in Ghana, coated with a sand-cement mixture in the seventies (World Monuments Fund, 2008c). During the sixties at Alcácer do Sal earthen fortress in Portugal, there was consolidation of the fortress walls with a cement capping. Results from this intervention can be observed on the left side of Fig.1.1. In the eighties, concrete was applied to the foundations, and a facing plaster was used that had a mixture to be rammed, which fundamentally consisted of hydraulic lime, yellow sand, and small pieces of brick as inert material (Trindade Chagas, 1992, p.90). Before the introduction of the earthen mixture, a metal net was placed inside the form boards, onto which was applied a uniform and homogeneous layer of cement glue and pebbles, followed by the earthen mixture that was then rammed (ibid., p. 90). All of the above-mentioned cases suffered, as a result from decay of the earthen fabric caused by incompatibility of materials. This was mainly due to the lack of conservation knowledge of how to intervene when dealing with earthen heritage. Other reported cases are the use of earthen plasters stabilised with emulsified bitumen (Orazi, 2000, p.88) or with industrial products. Orazi also mentions the use of “sulphonate petroleum products (SPPs)” (ibid., p.89). Presently, several of these solutions are being questioned, as there is more awareness of material compatibility and the results of their use have not been successful.

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There is also reference to the use of a more sustainable approach to the conservation of earthen heritage. This approach in conservation intervention relates to the use of available material on site (e.g. pieces of broken bricks or tiles, small irregular stones). For instance, an earthen plaster and a stabilised earth-lime plaster mixed with recovered pieces were used to fill in existing gaps in rammed earth walls (Correia and Merten, 2000, p.229). With the advance of research, conservators realised that in earthen heritage conservation practice, not using the same material of the original fabric could create new causes for failure in the medium and long-term. From another standpoint, if the same material is used, could failure be related to the earthen method applied to conserve the ancient fabric? There are presently different solutions that use earth as filler to repair gaps. One solution is to fill the gap with masonry, as is the case of adobe masonry. This was used in al-‘Udhaibat, in Saudi Arabia (Warren, 1999, p.183), but it is also recommended by Palma Dias for general adobe repair (1993, p.212). A further possibility is the replacement of ancient adobes by new ones with the same dimensions (Pinto, 1993, p.615). Another option is to use cob blocks, as was the case in Bowhill, United Kingdom (Harrison, 1999). An alternative type of earthen filler used for repair is a mass of cob, which is a common procedure in Devon, United Kingdom, where there is an important cob heritage (Williams-Ellis, 1999). Following the same type of procedure, it is also currently the practice to use a mass of rammed earth, which means to compress earth mixture in the existing gaps. This technique was used, for instance, in Castillo de la Reina, in Spain (Rocha, 2006, p.117), and in Lagos fortress wall, in Portugal (Mendes Paula et al., 2005, p.131). It would be important to assess the medium-term results of these interventions in order to get a fair evaluation of these solutions. Rammed earth conservation attracts increasing interest, as it is one of the techniques presenting the highest complexity in conservation practice. It is a monolithic earthen construction method that requires deeper knowledge for its conservation. Currently, when addressing the filling of the gaps, there is a tendency to try to reproduce the mixture of the original fabric. Feilden even states that rammed earth is “more difficult to repair than mud brick, since the repair is wetter, it shrinks, making it difficult to obtain a bond between old and new work” (2003, p.76-77). In addition, the consistency in the rammed earth quality varies, depending on the local earth used, the mixture in the rammed earth composition, and the amount of lime (if added) and its slow conversion into carbonate, as well as the amount of compression applied at the moment of construction. Besides, local geographical settings and physical conditions can also contribute to the acceleration of deterioration if the structures are not properly

Introduction

9

maintained. It is observable that the monolithic group requires a more complex approach towards conservation practice than the other two main earth groups of building (masonry and bearing structure). Notwithstanding, all earthen building methods are complex when dealing with conservation. Other ways to fill gaps are through earth projection, a technique applied in Paderne castle in Portugal (Cóias e Silva and Costa, 2006). It is also becoming commonplace to repair gaps and cracks, when possible, with various types of mortars. Attention should also be paid to reinforcement of old and new materials with bonding emulsions (like lime water), linear elements (e.g. wooden elements), as well as other connectors. However, a consistent assessment of all the mentioned solutions is still missing. There have been reports of failure resulting from using different earthen methods, especially when subjected to major disturbance, such as earthquakes (Mokhtari et al., 2008, p.167) (Shahnoori, 2005, p.319). The choice for the conservation material and the methodological procedure should be carefully analysed. A problem can develop if the old and new materials do not bond adequately and the conservation fails under continuous pathologies. Besides, if the conservator is driven by retention of the authenticity of the material, using earth as a repair material is not enough. Further attention and reflection should be directed to bonding between old and new materials, between distinct earthen techniques, procedures, etc. Additionally, it is rare to find papers that evaluate failure in intervention, and even rarer to identify papers that assess previously carried out conservation interventions. From the last four Terra conference’s proceedings, very few papers evaluated previous intervention (Chiari et al., 2000) (Matero and Cancino, 2000) (Guillaud and Avrami, 2003). This also demonstrates the lack of awareness of conservators for the need to review and evaluate previous interventions. Through a review of related literature, it can be observed that even if there is failure following the conservation intervention, this is not acknowledged by the conservator. When failure is recognised to exist, then it is justified due to the physical condition of the material or the structure or site, or due to continuous or dynamic natural agents. Failure is rarely attributed to the conservation procedure. However, it is important to accurately understand the concept of failure in order to encompass a comprehensive response to the cause of the failure. The Oxford English Dictionary defines failure as “lack of success” and “the process or fact of failing (…) giving way under pressure” (Brown, 1993, p. 907). Therefore, failure is considered to be a lack of achievement, and, in the scope of this investigation, will be considered as lack of success to accomplish the conservation process. As previously mentioned, there is a tendency to

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justify bad conservation results caused by material fragility and fabric weakness, but also due to the fact that earthen structures and sites have a tendency to decay faster than any other type of heritage. However, analysing the body of literature and observing earthen heritage under conservation intervention, it is noticeable that there is a specific lack of information and clarity of how earthen heritage should be preserved, and why there is a lack of successful conservation cases in earthen heritage. Is this related to a lack of knowledge of dealing with the material and with intervention procedures in conservation of earthen heritage? This will be investigated and analysed throughout the research. There has never been a thorough investigation of the impact of the actions of conservators. This explains the need to concentrate in the analysis of the actions carried out by conservators, as these are the professionals in charge of conserving and managing the earthen heritage. In this investigation, conservators are responsible for the conservation works that comprise the project, intervention, practice, and management of the earthen heritage. Conservators can include architects, engineers, archaeologists, material specialists, etc.; mainly professionals with recognised expertise in conservation that lead the conservation process.

1.4 The research purpose A cursory review of the international publications concerning earthen architecture in the last 20 years reveals a strong attempt to present, in some detail, case study papers and results of research. The body of literature reveals that several areas have been widely researched, in particularly the identification and characterisation of soils (Anger and Fontaine, 2005) (Anger et al., 2009); analytical methods and material improvement and performance (Baiche, 1992) (Dayre, 1993) (Kanan, 1995); structural performance (Varum et al., 2006); physical condition (Matero, 1999b) (Bruno, 2006) (Rainer, 2008); (Matero, 2003) (Guillaud et al., 2008b); conservation intervention case studies (Aguilar and Falck, 1993) (Rua et al., 1993) (Calarco, 2000); building materials and techniques (Campana, 2000) (Cooke, 2004) (Correia, 2007a) (Viñuales, 2007); plaster analysis and preservation (Matero, 1995, 1999a, 2000) (Faria Rodrigues, 2005); historical study of earthen construction structures (Pujal, 1993) (Jaquin, 2008a, 2008b); traditional methods and materials (Gupta, 2003) (Licciardi, 2007), architectural design and typologies (Guillaud et al., 2008a, 2008b); protection and management of sites and monuments (Crosby et al., 1992) (Castellanos, 1995, 2000, 2001) (Cooke, 2003); analysis of treatments and/or stabilizers (Chiari et al., 2000);

Introduction

11

seismic retrofitting (Kimbro, 1993) (Cancino and Matero, 2003) (Crocker, 2000) (Vargas et al., 2009); etc. Through studying the literature, it is noticeable that there is a general tendency to consider each case study in isolation and not to relate it in comparative terms with other similar case studies. Besides, when analysing earthen architecture conservation procedures, there is a tendency to repeat mistakes. This can be due to a lack of concerted strategies dealing with the methodological approach; lack of a conservation program or plan and its implementation; lack of knowledge of local conditions, or lack of identification of roles and responsibilities in the process of conserving; but in general, there is a lack of thorough reflection on the problem of conservation framework in earthen architecture. The existing research is concentrated on physical and structural conditions, structural performance, material analyses, construction technology, history and archaeology, conservation materials and treatments. There is very little literature or research that deals with the conservation process, and even less with the theoretical approach to conservation. Internationally, there are very few papers or book chapters that provide some analysis concerning conservation theory in earthen architecture (Warren, 1993) (Warren, 1999) (Correia and Fernandes, 2006) (Correia, 2007b), and even this can be considered to be limited in scope. The literature is also restricted concerning the assessment of conservation frameworks. A lack of general procedures assessment and of cross evaluation between the distinct methodology components can be noticed. The few existing assessments covering earthen heritage conservation are generally addressed in the introductory chapters of the international conference proceedings (Terra 2000, 2000a), in their post-proceedings or recommendations (Terra 93, 1993b) (Terra 2000, 2000b), or in the few literature reviews covering the field (Guillaud and Avrami, 2003) (Avrami et al., 2008). In comparison with other materials, the literature concerning the conservation of earthen heritage is still insufficient, as confirmed by Taniguchi and Fardanesh: “Conservation of earthen architecture has not been studied as much as that of other types of structures. Research on timber and stone structures has led to international consensus on how the authenticity is perceived and retained in a heritage asset, but studies on the preservation of the authenticity of earthen monuments in the comprehensive conservation process are relatively new.” (2008, p.40)

This entails a need for a consistent assessment and review of the literature in earthen heritage conservation, but especially the response to a

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prominent gap in conservation intervention, dealing with failure and lack of procedural approach. The purpose of this research is therefore to: x Identify reasons for failure related to conservator’s actions towards earthen heritage conservation x Provide consistent criteria and principles of conservation intervention across identifiable indicators x Give significance to conservation theory in the field of earthen heritage x Provide a framework concerning intervention strategies in earthen architecture conservation. The following sections explain the research objectives of this investigation.

1.5 Research objectives of the investigation It is in general believed that natural agents are the overall cause of damage to earthen heritage. However, when evaluating the reasons for failure more thoroughly it is observed that conservator’s intervention has a major impact on the earthen fabric. From reviewing the literature, it was also noticed that actions of conservators towards the heritage they are supposed to protect have not been consistently and systematically investigated. This poses questions concerning the conservation approach, and differences between conservation justifications and intervention results, but also reasons why mistakes are repeated and why there is a lack of best practice. This is why there is a need to identify and understand the causes of the damage, which can contribute to finding suitable methods of reducing earthen fabric damage. Therefore, the first research objective is: x To identify reasons for failure in earthen heritage conservation. Following the uncovering of causes for distress, it is fundamental to recognise criteria for intervention in order to provide standards for best practice in the conservation process. Consequently, the second research objective is: x To recognise criteria for intervention in earthen heritage conservation. During the literature review, when establishing a conceptual approach to earthen heritage, a common gap identified was the lack of a theoretical

Introduction

13

framework. There was also inconsistency between theory and practice in earthen heritage conservation. As a result, it becomes essential, as a third research objective: x To give significance to conservation theory in earthen heritage. Finally, when addressing conservation planning for courses of action, it is fundamental to consider that the previous research objectives are included in an overall strategy addressing earthen heritage conservation. Furthermore, the definition of strategies will clearly benefit the preservation of this heritage. Thus, a fourth and last objective of this research is: x To provide strategies concerning earthen heritage conservation. A reliable methodical approach was developed through the investigation. Table 1.1 was compiled to accurately present how the chapters and research objectives in this research correlate. Each literature review chapter addresses one of the research objectives. Chapter one relates to research objective 1 (Failure); chapter two to research objective 4 (Strategies); chapter three to research objective 2 (Criteria); and chapter four to research objective 3 (Conservation Theory). Furthermore, failure and criteria were considered to be factors investigated in the literature review chapters, and were addressed through the identification of keyissues at the end of these chapters. The thesis consists of three main components: literature review, analysis, and findings. The thesis is structured as follows: chapter one to chapter four contains the review of the literature; chapter five contains the explanation of the research methods; chapters six to eight, the analysis of the case studies; and chapters nine to eleven, the findings of the investigation. This systematic approach provides consistency to the overall thesis, and supports the achievement of the research objectives, which provide the basis for the theoretical framework that guides this study. This research is a critical investigation of the current situation of conservation of earthen heritage. The general purpose of the study is to identify critical factors present in the conservation process, and to contribute to filling a gap in knowledge. The research findings will contribute in particular to the improvement of conservation intervention, and in general to the enhancement of earthen heritage preservation. (Table 1.1)

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1.6 Research methods approach The research methodology of this investigation is based on a case study strategy using qualitative methods. Three case studies were selected: Chan Chan in Peru, Aït Ben Haddou in Morocco and Arg-e Bam in Iran. Each case study is listed as a World Heritage earthen site. To have an adequate extent and variety of data, a combination of sources was used for data collection following a multi-method approach: published literature, reports from international organisations, collection of local data, field studies with sites observations, and open interviews and survey questionnaires concerning the conservation of earthen architecture. The data was collected on three case study sites, as well as in national and international heritage institutions and organisations. It was crucial to visit each one of the sites so that proper evaluation of the data could be undertaken. Another important criteria was to have open interviews with involved stakeholders, in order to have more reliable data on the real forces involved in the management and conservation of the site. Finally, a questionnaire survey was addressed at a selected group of stakeholders and international key-experts in earthen heritage conservation. The survey approach provided a real overview of the present reality in the field of earthen heritage conservation. The triangulated approach made it possible to correlate results from case studies with expert’s perspectives, encompassing the framework of failure, strategies, planning systems, methodology of intervention, conservation practice, criteria for intervention, and conservation theory significance.

1.7 Thesis structure This thesis is organised in eleven chapters. The introductory chapter explains the gap in knowledge and formulates research objectives to fill this gap. This chapter defines the conceptual framework of the investigation. Chapter two reviews international strategies and planning systems developed in earthen heritage conservation. Chapter three reviews the methodology of intervention and conservation practice addressed in the field. Chapter four investigates the significance of the conservation theoretical framework in earthen heritage. Chapter five explains the selected research methods and clarifies the selection of case studies, data collection methods, and the stages of data analysis, as well as giving an explanation of how the results were established.

Introduction

15

Table 1.1 Addressing research objectives in each chapter.

Findings

Analysis

Literature review

THESIS

Chapter 1 Introduction Chapter 2 Strategies and Planning Systems Chapter 3 Methodology and Conservation Practice Chapter 4 State of Significance of Conservation Theory Chapter 5 Research Methods Chapter 6 Chan Chan case study Chapter 7 Aït Ben Haddou case study Chapter 8 Arg-e Bam case study Chapter 9 Failure and Criteria Chapter 10 Conservation Theory and Strategies Chapter 11 Conclusions

RESEARCH OBJECTIVES Research Objective 1 Failure

Research Objective 2 Criteria

Research Objective 3 Conservation Theory

Research Objective 4 Strategies

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Chapter One

Chapter six analyses the first case study: Chan Chan. Chapter seven addresses the second case study: Aït Ben Haddou. Chapter eight reviews the third case study: Arg-e Bam. Chapter nine presents the findings of research objective 1 (key-reasons for failure in earthen heritage) and research objective 2 (criteria for conservation intervention). Chapter ten presents the results of research objective 3 (to give significance to conservation theory in earthen heritage) and research objective 4 (providing strategies concerning earthen heritage conservation). Finally, chapter eleven presents the overall conclusions of the thesis (see table 1.1).

CHAPTER R TWO EVALU UATION OF O STRAT TEGIES AN ND PLAN NNING SYSTEMSS IN EART THEN HER RITAGE CONSERV VATION

i the Bandiag gara landscape,, World Heritaage site in Fig.2.1 – Earrth dwellings in Dogon countrry, Mali (credits: Mariana Correia, 2008).

2.1 Introd duction The purppose of this chapter c is to review the sttrategies and planning systems unddertaken in earthen e heritaage, taking iinto consideration the research objjectives of thhis investigation. The aim is, first, to develop d a deep undersstanding of thee decisions caarried out for targeted strategies and actions; andd secondly too understand the choice annd definition of plans addressing eearthen heritaage conservattion. This wiill contribute to better addressing the identificaation of reassons for failuure in strateegies and

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planning, the recognition of criteria in strategies and planning, and the reviewing of strategies and planning systems concerning earthen heritage.

2.2 Strategies in earthen architecture conservation The examination of a concept such as “strategy” raises issues about how to deal with the term with inherent subjectivity. The New Shorter Oxford English Dictionary has two definitions for “strategy”: “the art or skill of careful planning towards an advantage or a desired end”, and the “plan for successful action based on the rationality and interdependence of the moves of opposing or competing participants” (Brown, 1993, p.3087). Therefore, strategy is related to the planning and preparation of future directions to better address present operations. Nevertheless, the application of its definition is not always clear to authors, as there has been in the past uncertainty with the meaning of the term ‘strategy’. For instance, Correia (2004b) and Matero (1995, p.7) refer to strategies and address intervention methodologies. Strategies are important when addressing a framework for conservation, but Middleton mentions that they “are meaningless without knowledge and understanding of what exists” (1995, p.vi). This section intends to address and comprehend which strategies and general actions have been implemented for a better preservation of earthen architecture. Middleton also underlines the question of whether an examination of strengths and weaknesses can provide potential for improvement (ibid., p.vi). In this investigation, this will be addressed in section 2.3, related to the evaluation of planning systems. Furthermore, Middleton refers to the importance of the development of “survey, analyses, and the compilation of the inventory” (ibid., p.vi), as vital actions in conservation terms. These are important issues that will be addressed in section 3.2, which is concerned with the evaluation of the methodology of intervention.

2.2.1 International strategies Interest in the study and research concerning earthen architecture has increased greatly throughout the last three decades. Following, the main addressed strategies will be reviewed: a) Terra International Conferences The first formal international conference was held in Iran in 1972, and the latest one was organised in Bamako, Mali, in 2008. During these ten Terra conferences, general interest and specialised participation grew, frameworking the creation of concerted actions for preservation and

Evaluation of Strategies and Planning Systems

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protection of earthen architecture, as well as the establishment of national, regional, and international networks, associations and entities. The first and second international conferences, both held in Yazd, in 1972 and 1976, “may be seen as the first systematic attempts to characterise earthen architectural heritage and to outline preliminary recommendations for their preservation” (Trappeniers, 1999, p.7). A meeting in Santa Fé, USA, in 1977 “clearly identified the urgent need to conduct research on specific areas” (ibid., p.7). However, it was only at Terra 93, the 7th international conference held in Portugal, that a broader view of the field was introduced, by addressing not just adobe and archaeology, but earthen architecture in general. Terra 93 also brought a deep concern for development of comprehensive recommendations. Throughout the years, each international Terra conference had different subject approaches. For example, in Terra 2000, in Devon, United Kingdom, there was a specific interest in the archaeological and landscape approach, as well as a more technical and constructive perspective (Terra 2000, 2000a). In Terra 2003, in Yazd, Iran, the interest was more related to knowledge of the material, and its structural performance. Earthen architecture case studies in Asia were also broadly presented (Terra 2003, 2003). In Terra 2008, in Bamako, Mali, the approach embraced a more anthropological perspective, giving significance to cultural values in earthen architecture (Terra 2008, 2008). It is expected that the next international Terra conference, to be held in Peru in 2012, will address aspects closer related to climate change and natural disasters. The fact that it will be the Faculty of Engineering hosting the event at Pontificia Universidad Católica del Peru will probably bring a more scientific and technical approach to the conference. It is observable that the interest for research in earthen architecture is to some extent in line with international multidisciplinary research interests. In Terra 2008 in Mali, for example, the interest in intangible heritage was very present, not just because the conference was held on the African continent, but also because intangible heritage had been recently extensively approached by UNESCO, as well as ICCROM and CRATerre-EAG, in the frame of the Africa 2009 program. It can be noted that the slight shift of interest in the approach of each Terra conference adapts to the geographical and cultural area, but also, to some extent, to internationally discussed subject matters in the time period of the conference. The last four international conferences had recommendations discussed and presented at the end of the conference. However, Trappeniers underlines the lack of strategy to implement recommendations after each conference (1999, p.7). A situation still occurring at the present time,

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which can be explained by the fact, that researchers, academics, and professionals expect that action and decisions regarding this issue come from above, at a national or international level. Alva Balderrama mentions that for several years, recommendations remained concentrated in “efforts to take on specific problems” and in solutions “encompassing only small areas of physical material” (2001, p.5). In Terra 93, there was finally an effort to address general and specific recommendations (Terra 93, 1993b). Unfortunately, the reality is that over the last 20 years, there was no follow-up or even attempt to implement conference recommendations. However, there have been several advances concerning different aspects of earthen architecture. For example, the discussion of earthquakeresistant structures, which happened during the 4th International Conference, the International Symposium on Mud-brick (Adobe) Preservation in Lima, Peru in 1983, together with Peruvian research developed during the seventies, led the Peruvian Ministry for Housing and Construction to publish adobe standards in 1985 (Correia and Neves, 2011, p.373). During this meeting, “specific concerns about the development of a network for this field were expressed, and intensive training in established centres was recommended” (Trappeniers, 1999, p.7). This provided the basis for the development of common synergies and inter-institutional cooperation. Finally, during the 5th International Meeting of Experts on the Conservation of Earthen Architecture in Rome, Italy in 1987, commitments were made by the ICCROM and CRATerreEAG to carry out cooperation in training activities. This led to the creation of the Gaia Project, an agreement that grew from the 1983 critical evaluation of international recommendations. b) Gaia Project (1987-1997) This first international formal strategy of work was initiated by CRATerre-EAG and ICCROM. With a 10-year period, the Gaia Project was the result of a plan of cooperation in training activities, scientific research and joint publications, with special emphasis on intensive on-site education. International courses were organised in 1989, 1990, 1992, and 1994 (ibid., p.8), all of which were held at CRATerre-EAG, in Grenoble, France. These four PAT courses in Earthen Architecture Preservation (PAT – Préservation des Architectures de Terre) were granted “financial support from the Council of Europe, the European Union, the Aga Khan Award for Architecture, and the Rhone-Alpes Region” (ibid., p.8). As stated by Trappeniers, these courses addressed “general principles of preservation practice; scientific considerations on the earthen material and its relevant construction techniques, documentation, survey, and inspection; the preservation of archaeological sites; and the rehabilitation

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of the earthen architectural heritage” (ibid., p.8). It was noted that these short intensive courses had a general approach to the earthen heritage conservation field, and, according to Alva Balderrama, due to a series of obstacles, they had no chance to direct on-site training (2001, p.6). This would come with the following project. c) TERRA project (1997-2007) In 1994, the Getty Conservation Institute (GCI) joined the Gaia Project. Three years later, CRATerre-EAG, ICCROM and GCI “capitalising on their independent and shared experiences in earthen architecture education, research, and field projects” (Teutonico, 2008, p.vii) initiated a new strategy named the TERRA Project. Due to the institutional framework that stressed the importance of organising regional activities, two international Pan-American courses were organised in Chan Chan, Peru, in 1996 and 1999, which provided the opportunity for training in situ. These events, organised with Instituto Nacional de la Cultura – La Libertad, in Peru (INC), received the “sponsorship of the European Union and The World Heritage Fund of the United Nations Educational, Scientific, and Cultural Organisation (UNESCO)” (Trappeniers, 1999, p.9). These two postgraduate courses, specially dedicated to preservation of earthen architecture, entailed a high amount of investment of energy, human resources and finance for its preparation and organisation, with a limited attendance of participants. The results in terms of a very highspecialised expertise did not compensate for the scale of the investment, thus the courses stopped being organised. Trained professionals were not numerous enough to have an effective impact on the preservation of earthen heritage at a national level. Furthermore, different visions concerning program strategy and future plans of action to achieve common objectives undermined the initial synergy effort. Nevertheless, GCI admits that the “long-term initiatives and goals have continued under the programs of individual partner institutions” (2008b) and, at least according to Alva Balderrama and Albertini, the partner organisations contributed to “the dissemination of ideas, placing them in a world perspective and facilitating access to information” (2004, p.133). However, in spite of some disenchantment among the involved partners, professionals trained in the PAT courses became actively involved in the field throughout the following years. PAT courses also contributed to a decisive evolution of the pedagogy in the field, especially concerning adaptable patterns of intensive courses.

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d) Africa 2009 (1998-2009) and Central Asia Earth 2012 (2002-2012) The low level of inclusion of African heritage on the World Heritage List, due to the specificity of intangible heritage on the African continent, led UNESCO in 1998 to invite CRATerre-EAG and ICCROM to define the program Africa 2009 (1998-2009), which addressed a long-term need for African professionals to receive training in conservation and management of earthen sites. Consequently, this action had an increase of African heritage sites applications, for UNESCO World Heritage nomination. Similar objectives were followed when creating the program Central Asia Earth 2012 (2002-2012) (Central Asian Earth, 2006). In order to better prepare national and regional conservators in the five new republics of the Turkistan region (Turkmenistan, Kazakhstan, Tajikistan, Uzbekistan, and Kyrgyzstan) UNESCO invited CRATerre-ENSAG to develop regional training in specific World Heritage earthen sites from the region (e.g. Merv and Gonur Depe and Nisa in Turkmenistan, and Adjina Tepe in Tajikistan – Gandreau, 2005, p.15). The problem for most sites was responding to the rigorous demands of World Heritage Committee. To keep the nominated sites on the World Heritage List, national state parties have to produce and implement planning systems. The challenge of this task increases incertitude, due to the demands for adequate action regarding earthen sites. These issues will be reflected in the following section. e) UNESCO Earthen Architecture Conservation Program (2007-2017) In 2007, at the 31st session of the World Heritage Committee, the Earthen Architecture Conservation Program formally started. The World Heritage Committee had approved this program during the 25th session in Helsinki in 2001, with the objective of developing: “Policies for the conservation, revitalization, and increased awareness of earthen architectural properties, and to develop regional and national capacities for site managers and technical experts for enhanced conservation, presentation, and management of earthen architectural heritage.” (World Heritage, 2007a, p.1)

It was the first time that UNESCO addressed an integrated program on earthen architecture, with long-term objectives focused on best conservation practices, and without an exclusive geographical and political agenda. This time the goal was to formulate an approach that could be shared in different regions of the world, for the implementation of specific activities, such as: i) in situ pilot projects; ii) research projects; iii)

Evaluation of Strategies and Planning Systems

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publications on the results; iv) training; and v) promotion and advocacy activities (ibid., p.4-5). The program and consultations for the development of appropriate actions is still under implementation. In 2007, a consultation meeting on the World Heritage Program on Earthen Architecture (EAP) was held in Paris. This meeting was essential to defining the program strategy, the fundraising strategy, the management structure, the plan of action for the next 10 years, and the establishment of a road map for the implementation of the program (Mohaman and Castellanos, 2007). The meeting minutes were freely available and posted online. Different institutions were gathered together to produce a common international achievable strategy of work. For the first time there was a more open, inclusive, and consistent approach to an international program on earthen architecture. f) Networks During the last few years, several national associations and international and regional networks were created for the study and research of earthen architecture, or to encourage people to use earth as a sustainable construction material. According to Correia and Neves, networking encourages people to work together by sharing information and disclosing available data, and it provides a chance for the exchange of ideas and research (2011, p.375). Several networks were created worldwide working together to accomplish a common goal. This is the case of the Iberian-American network PROTERRA; in Europe, the UNITerra platform; in the Mediterranean region, the MEDITERRA network or the recent formed Pan-African network. There are also national networks, as in Tecnitierra (Colombia), PROTERRA-Brazil, PROTIERRAArgentina, etc. Furthermore, several national associations were created initially through networks, as is the case in Europe, with the German earth building association Dachverband Lehm e.V., in Portugal, Associação Centro da Terra, in Italy, Associazione Nazionale Città della Terra Cruda, and more recently in the United Kingdom, EBUK - Earth Building United Kingdom. Networking can be developed by a consistent exchange of information through an internet forum, a portal, a web list, chat rooms on a website, seminars, workshops, newsletters, and systematic exchanges, as well as through associations, research centres, etc. The different international networks should also attempt to define milestones, with specific tasks to be accomplished, but should also try to embrace common objectives in a more international perspective. This could be entailed, for instance, by addressing some of the same objectives as those in the UNESCO Earthen Architecture Conservation Program. If several international networks and entities would work together, through a

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Chapter Two

common strategy, there would be more comprehensive practices in terms of conservation, training, inventory, etc. In addition, it would better address an international vision for the long-term preservation of earthen architecture. The result would be less fragmented.

2.2.2 Institutional strategies a) CRATerre-ENSAG1: CRATerre, the International Centre for Earth Construction, created in 1979 and situated in Grenoble, France, is a renowned international centre in the field of earthen architecture. It offers several opportunities, with systematic postgraduate courses, intensive training, research, technical cooperation, diffusion of information, and promotion of earthen architecture awareness. CRATerre-ENSAG develops the only international postgraduate program specifically concerning earthen architecture. The consistency of education training reinforces network dynamics for cooperation between professionals that attend courses. In 2009, the 30 years of CRATerreENSAG’s activity launched an assessment of open evaluation and reflection of the achieved work, and perceived prospects for the future. This critical analysis allowed the development of a deeper level of understanding of their own limitations and potentialities, which is useful when establishing objectives, strategies, and plans of work for the future. In the last few years, as a centre of expertise in earthen architecture, CRATerre-ENSAG has received more requests to participate and cooperate in world programs, particularly related to UNESCO. But also, as an expert consultant, collaborating in management plans and conservation projects, training in situ around the world, organising conferences, and organising events (festivals, education programs, etc.), among other things. In spite of the rising numbers of collaborators working for the international centre, the numerous activities created increased difficulties to respond to requests and to accomplish desired goals. Additionally, CRATerre-ENSAG is redirecting attention to continue academic research, scientific publications, as well as international university exchange academics and students, within the UNESCO Chair. To better address responses and responsibilities, CRATerre-ENSAG is becoming less protective of projects, and is opening to exchange, actively contributing to networking in earthen architecture. It is also starting to

 1

In 2005, CRATerre-EAG (Ecole d’Architecture de Grenoble) changed the name to CRATerre-ENSAG (Ecole Nationale Supérieure d’Architecture de Grenoble).

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share more horizontal collaborative actions for a common strategy with other partners. The development of joint projects and more interinstitutional collaboration in international programs should result in a more inclusive approach. This had a successful start at the European project Terra Incognita, integrated in the European research program Cultura 2000 (Guillaud et al., 2008a, 2008b), the MEDITERRA 2009 conference (Achenza et al., 2009a) and partnership with GCI, ESGallaecia, and UNICA, from which resulted an action plan for the Mediterranean region (Achenza et al., 2009b). Other activities were entailed with successful results, as partially anticipated through the report of activities (CRATerre-ENSAG, 2009). More inter-institutional activities will continue being addressed to advance international horizontal partnership. CRATerre-ENSAG certainly has an important role in the success of a common international strategy in earthen heritage conservation. b) ICCROM ICCROM (International Centre for the Study of the Preservation and Restoration of Cultural Property), an intergovernmental organisation, was established in 1959, in Rome. The Centre is dedicated to worldwide conservation and restoration of cultural property. ICCROM has participated since 1987 in several projects related to earthen architecture conservation (Gaia Project, TERRA project, Africa 2009), looking to develop an interconnecting platform of international and regional programs on conservation and restoration. Among the specific work produced at ICCROM, and on the framework of the TERRA project, one must refer to the TERRA-Med database developed between 2003 and 2004. This initiative was foreseen as a regional activity, “aiming to promote the study and conservation of earthen architecture in the context of the Mediterranean region” (Alva Balderrama and Albertini, 2004, p.131). Some of the principal goals were to create knowledge, a database, and a network for cooperation among institutions and professionals “leading to the establishment of activities in the areas of education, research, application, and awareness” in the Mediterranean region (ibid., p.131). With the end of the TERRA project, earthen initiatives were discontinued at ICCROM. With the retirement of Mr. Alejandro Alva Balderrama and the following closure of the earthen architecture unit, ICCROM stopped being actively involved in the field, except through UNESCO programs, such as Africa 2009.

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c) Getty Conservation Institute The Getty Conservation Institute (GCI) was involved in earthen architecture preservation at an international level since 1994, joining the Gaia and TERRA projects as an active partner (GCI, 2008b). Later, GCI pursued an interest in earthen architecture research with a more physical condition approach, namely through “surface protection for adobe walls, treatments and shelters for earthen archaeological sites, and conservation treatment techniques for polychrome earthen bas-reliefs (…)” (ibid., 2008b). Finally, in 2006, GCI created a specific activity, named the Earthen Architecture Initiative (EAI), which includes “laboratory research, field projects, training, conferences, and publications focused on earthen architecture conservation” (ibid., 2008b). The most recent results of the GCI activity in earthen architecture were the joint organisation of Terra 2008 with the Ministry of Culture of Mali, as well as the projects that were developed under the GCI initiative: component one (seismic stabilisation) and component two (structural grouting). For the first component, current research is based on the work of the Getty Seismic Adobe Project (GSAP). Several activities were embraced to “identify, develop, and disseminate effective seismic retrofit measures that have minimum impact on historic fabric” (ibid., 2008b). For the second component, direct support was given to the laboratory research carried out at PUCP in Peru (Vargas et al., 2009), as well as the organisation of meetings of experts that bring together interdisciplinary groups of professionals with expertise in the area (GCI, 2008d) (Achenza et al., 2009b). It can be noted that there is still no clear strategy program and precise objectives established for the coming years for the Earthen Architecture Initiative. After Terra 2008’s organisation, GCI is more open for horizontal interdisciplinary and inter-institutional collaborative work. Thus, despite minimum resources, their present attention is to facilitate conditions for the advancement of knowledge, and to enhance the broad objective of developing earthen architecture as a discipline of its own. The recent focus of facilitating interchange of expertise (GCI, 2008d) (Achenza et al., 2009b) and funding of specific projects in the framework of the EAI components, opposed to a past history “reflected in years of research, teaching, and field projects” (Whalen, 2000, p.v) brought some role incertitude towards GCI. Regardless of the economical world crisis, GCI made an effort to work in a more horizontal collaboration, with other institutions. This new attitude is promoting more efficient teamwork cooperation. The establishment by the GCI of clear specific goals within the EAI will certainly contribute for even better inter-institutional collaboration and more effective and achieved results.

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d) ICOMOS-ISCEAH In 1990, the ICOMOS-International Committee on Earthen Architecture was created and jointly organise the fifth international conference on earthen architecture (Houben, 2009, p.23). This committee was active until 1995, but the lack of results and communication led to its closure in 2002. In 2005, with new statutes and new objectives, a new committee was created and was named “International Scientific Committee on Earthen Architectural Heritage” (ICOMOS-ISCEAH, 2008). The principal goal was to contribute to the development of better practices in the protection methods and preservation of the world’s earthen heritage at an architectonic, archaeological and cultural landscape level. For the last years, the ISCEAH has been focused on the consolidation of the committee. In these terms, and following the Xian meeting of ICOMOS, held in China in 2006, the statutes were fully implemented, and elections for the different boards took place. Also, a website and an exhibition of posters explaining the objectives of the committee were created (ibid., 2008). From 2006 to 2008, the procedures to select the location and implementation of an international conference were carried out, and the 10th Terra conference was organised in Mali in February 2008. At the present time, verification is being addressed towards the organisation of TERRA 2012, the 11th International TERRA Conference. In terms of the specific work of the committee, five Chairs were created. Until December 2008, only the Chair dedicated to cultural landscapes was active, with some research results presented in Terra 2008 (Kanan et al., 2011). In 2009, some activities are starting to emerge, such as the Illustrated Glossary on Earthen Materials Deterioration Patterns from the Archaeological Chair. However, a more active approach to the work of the Chairs and the members of the committee should be undertaken, in order to avoid a decrease of interest and respect in the field. A thorough reflection should be undertaken concerning ISCEAH strategy and its plan of work. For instance, there is a need to urgently define international recommendations for the preservation of earthen architecture. ISCEAH could lead the discussion and establish a common framework, as well as the basis for framework development. It is important that its members have a more pro-active approach and take into consideration the deeper common purpose: to take action to preserve earthen architecture. It is expected that ISCEAH will play an important role in the field, gathering perspectives and activism from its members, resulting in stronger international cooperation.

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e) UNESCO Chair – Earthen Architecture, Building Cultures and Sustainable Development In 1998, UNESCO awarded CRATerre-EAG the UNESCO Chair for “Earthen Architecture, Building Cultures and Sustainable Development”. According to the World Heritage Committee, the mandate of CRATerre is to increase, among universities, “the general knowledge about earthen architecture, and to develop training opportunities” (World Heritage, 2007a, p.2). It also aims “to accelerate the dissemination of scientific and technical know-how on earthen architecture amongst the higher education institutions and in scientific-technical centres” (CRATerre-EAG, 2002, p.2). It can be considered that the first phase of the Chair was developed during the nineties. The criterion to join the Chair was based on the work developed by the institution, regarding the field. If universities changed the commitment towards earthen architecture, they ran the risk of losing their eligibility. After 2000, the award through commitment was abandoned, and new attempts to find concerted solutions were devised. From 2005 to 2008, there was a renewed effort to further the development of the Chair, for instance in terms of communication through an eplatform. In 2009 a new strategy for the expansion of the Chairstarted, which evolved from a deep reflection brought by the commemoration of the 30 years of CRATerre, as an international research centre. The organisation of Mediterra 2009 conference in the framework of the European members of the UNESCO Chair contributed for the beginning of formal exchange within the Chair (Achenza et al., 2009a). Seminars with Chair members relating to specific themes are planned for 2010. In the general report sent by CRATerre-ENSAG (2009) to UNESCO, in May 2009, and in the reports sent by six of the 26 university institutions and professional schools incorporated in the Chair, it was noticeable an improved cooperation between the institutions was noticeable. To develop this program to its full potential, there will probably be, in the future, a definition of general aims, short-term objectives, criteria of member’s incorporation, and a definition of synergies for collaboration. Thus, the need for a consistent review every 2 to 3 years of accomplished results, and the definition of a strategy for the implementation and development of the UNESCO Chair has been discussed. The advances in previous years increased the expectation that the UNESCO Chair - Earthen Architecture will further contribute with consistent outcomes in education, research, projects, and dissemination of knowledge.

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2.2.3 Summary of key issues when analysing strategies in earthen architecture conservation Implementations of recommendations: Just a few recommendations are implemented after each TERRA conference, sometimes through the personal efforts of some professionals, other times by institutional leadership vision. Oftentimes, there is not enough dissemination and knowledge regarding the existence of recommendations. Their lack of implementation, and especially their lack of follow-up, is a clear gap. To address preservation of vernacular architecture: The present highlight by international agencies is particularly dedicated to the endangered earthen monumental world heritage, while insufficient attention has been given to the preservation of earthen vernacular architecture. More emphasis has to be dedicated to the preservation of earthen vernacular architecture, to its maintenance, to the inclusion of community and participative conservation action, but especially to its restoration and rehabilitation, in order to avoid abandonment of use. More education and training: There is an urgent need to develop more postgraduate courses in earthen architecture, as the demand for such education has been rising, especially in English and Spanish languages. A joint program through the UNESCO Chair could be the response to this need, addressing interdisciplinary studies, as well as inter-institutional education. Dialogue between conservation, construction, and technology: There is a need for dialogue between the disciplines of conservation, construction, and technology in earthen architecture. They all need each other to better address the challenge of earthen heritage conservation. It is important that conservators receive a more specific training in earthen architecture – material, behaviour and performance, techniques, local building cultures, specific values, technologies, etc. It is equally essential that professionals working in new earthen architecture better understand conservation values, principles and degrees of intervention, to adequately address the material and the specificities of this type of architecture, but also to understand daily maintenance and preventive conservation. Dialogue between tradition and modernity: To enhance tradition in building and conservation, as part of a common heritage, is important, but it could also be based on modernity that acknowledges identities. This will be a reaction to the tendency of globalisation and cultural homogenisation, which threatens intrinsic characteristics of earthen heritage. More action at national and local level: During Gaia and TERRA projects, it was clear that more action had to be foreseen and implemented by national and regional institutions, but the potential of local

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stakeholders’ engagement was also foreseen. Alva Balderrama and Albertini also state that: “While policies and approaches can be promoted internationally, it is at the local, regional, and national levels that substantive action must occur” (2004, p.131). That does not happen as frequently as it should, because there is a tendency to expect action to come from a higher level of the hierarchy. To identify examples of methodological references and recognised practices: It is important to recognise examples of methodological references that adequately demonstrate the use of established criteria for conservation intervention. It is also important to identify common goals and recognise good practices. If the different institutions involved on earthen architecture conservation would concentrate on achieving the best results for common references and goals, it would be more straightforward to establish a common ground for inter-institutional cooperation, as well as a common strategy. Misunderstanding of strategy meaning: There is not enough perception of the meaning of strategy. The meaning is generally misunderstood by axes of work, or by planning, or even by methodology. Lack of collaboration: Institutions and networks that contribute immensely to regional approaches should try to collaborate more with other institutions and networks. Looking at the big picture will allow for crossing of objectives, the creation of common strategies and avoidance of repetition. To address different aims, a concerted extended strategy will focus on the accomplishment of results that could include common interests. If not, there will be weaker results, due to fragmentation of efforts.

2.3 Planning systems in earthen heritage conservation Several conservators, professionals and researchers, have long advocated the importance of developing and implementing plans to better address earth heritage preservation. UNESCO World Heritage also recognises this need, as it is increasingly requesting sites that are applying for the World Heritage List to prepare plans. This is assured by Art.108, of the “Operational Guidelines for the Implementation of the World Heritage Convention”: “Each nominated property should have an appropriate management plan or other documented management system, which should specify how the Outstanding Universal Value of a property should be preserved, preferably through participatory means.” (World Heritage Centre, 2008, p.27)

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The importance of planning is generally accepted when addressing earthen architecture conservation, particularly for archaeological and monumental sites. The question lies on which plan to address for a more reliable conservation approach. Some of the world’s key experts, such as Hugo Houben, mentioned in the survey questionnaire that several of the existing threats derive, to some extent, from inadequate choice of plans, or lack of knowledge of their definition and composition. This brings up some of the inconsistency and confusion existing with the definitions and specific terminology concerning this subject. Several conservators defend the application of management plans to earthen architectural sites. Other conservators prefer to analyse case by case, and to apply specific plans to the different types of heritage, depending also on what is requested or planned for each site. For instance, a strategic plan is proposed for Paquimé, in Mexico (Castellanos and Gamboa, 1997), a preservation plan is considered for Old San Elizario Jail, in El Paso, Texas, USA (Dalbin, 2002) a Master plan is projected for the ancient ruins of Jiaohe, China (UNESCO Beijing office, 1999). However, to several conservators, it is still unclear if the difference between plans is just a question of terminology, or if it is also a question of content choice. The New Shorter Oxford English Dictionary defines a plan as “an organised and especially detailed method, according to which something is to be done; a scheme of action, a design; an intention, a proposed proceeding” (Brown, 1993, p.2233). It is clear that it is a prepared device, diagram, chart or table, developed ahead of the targeted action. Furthermore, it is “a design according to which things are, or are intended to be, arranged” (ibid., p.2233). This raises the question of which plan to address in archaeological and architectural earthen sites when approaching conservation?

2.3.1 Which long-term plan? The choice of the type of plan to address can rely on terminology, content, but especially on the methodology to follow. The option for a type of plan will depend on the scale of the project, the scope of subjects covered by the plan, the definition of objectives and priorities to be achieved, resources available, the time period to address, and the implementation of the plan. a) Action Plan An action plan is mainly related to the definition of a program of actions and related activities. In general, it can be considered that there are six major elements to address for the definition of an action plan:

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identification of priorities, existent resources, activities, assignment of tasks, and time-periods, in order to achieve milestones. There are few published or disseminated action plans addressing earthen architecture. In 1984, UNESCO published an action plan for the preservation of AlKhandaq Fort in Oman (Stevens, 1984), but no further details addressing its implementation are known. The most recent developed action plan (Achenza et al., 2009b) was prepared through the combined work of UNICA (Italy), ESGallaecia (Portugal), CRATerre-ENSAG (France), and GCI (USA). Following the MEDITERRA 2009 conference, an expert meeting was organised with 25 participants from 11 countries of the Mediterranean region, for the formulation of an action plan. If implemented, its impact will certainly bring positive results, as there will be a comprehensive strategy addressing management and conservation of earthen sites, as well as earthen architecture for sustainable development in the Mediterranean. Other international regions showed interest in addressing the same type of framework. b) Conservation plan According to the English context, conservation plans give more importance to the analyses of the site and the guidelines to retain significance (Clark, 2001, p.66), but usually they do not go behind the setting of policies and strategies. Clark defines it by identifying “what is significant about a site and how that significance can be retained in any future use, alteration, repair or development” (ibid., p.34). There are very few cases of published literature concerning conservation plans for earthen architecture. Lassana Cisse does mention that the development of an integral conservation plan would certainly contribute to the safeguarding of the Dogon earthen architecture in Mali (2000, p.218). Gupta also supports the development of a conservation plan for the earthen Basgo temples, in Ladakh (2003, p.233). However, there has not been, in earthen heritage, a fully developed and implemented conservation plan published to date. There is even some confusion in conceptual terms between conservation plan and management plan. In February 2008, at TERRA 2008’s post-conference tour in Mali, and during the visit to Komoguel mosque, known as Mopti mosque, some of the mosque conservation team members underlined the relevance of addressing conservation plans. Following the conservation works conclusion, Gisele Taxil and Wilfredo Carazas supported the importance for a detailed conservation plan to be addressed, as well as preventive maintenance. In conservation practice, it is commonly interpreted that conservation plans are related to the programming of future maintenance, after the structures or sites have the conservation works completed. Clark

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complements the notion by also adding an overview of the site, its importance, conservation issues to take into consideration, and addressing “what needs to be done next” (2001, p.34). On the international keyexperts survey questionnaire, Hugo Houben even argues that the majority of site coordinators do not know what a conservation plan is, or when it is fundamental to consider it. Therefore, conservation plans focus on the conservation issues to address, following the conclusion of the conservation process. c) Maintenance plan Maintenance plans have not been very fully developed, but they are expected in the near future to become an important tool to delineate work that needs to be addressed in earthen heritage conservation. Crosby et al. underlined the importance of addressing continued preventive maintenance for the future preservation of a site (1992, p.15). Van Balen and Cebron Lipovec also emphasised the relevance of preventive maintenance (2008). At their poster presented at the Terra 2008 conference, they also called attention to the opening of the UNESCO Chair, which focused on preventive conservation, maintenance and monitoring of monuments and sites. At the conference, Correia (2009) addressed the significance of maintenance planning for the survival of earthen heritage, and emphasised the need for integrating maintenance plans as a component of conservation planning and preventive conservation. d) Management plan In general, a management plan includes a program of work, and a schedule of the management of the work to be undertaken, as well as the budget and program for its implementation. A management plan is wideranging, complex, and dynamic. Mason and Avrami argue that management plans “vary in scope and content” (2002, p.19), as well as at the level of detail. Some can present specific designs, and others can provide general aims. “Ultimately, the importance of a plan is its use as a decision-making tool over a period of time” (ibid., p.19). Therefore, the complex composition of a management plan and the way to approach it can differ from entity to entity. For instance, GCI advocates a value-based approach to address its definition (Teutonico and Palumbo, 2000) (Demas, 2002) (De la Torre et al., 2005), but CRATerre-ENSAG supports a more community participatory process (Boussalh and Moriset, 2007). It is rare to encounter earthen sites with developed and fully implemented management plans. One of the few is Fort Selden's management plan, developed by New Mexico State Monuments (NMSM,

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2004), USA. The archaeological earthen ruins of Joya de Cerén, in El Salvador, also had its management plan developed, although it is still not fully implemented (GCI, 2008c) (Castellanos and Descamps, 2009). The high standards needed to create good management plans drive institutions to concentrate on sophisticated programs and conditions. There is a risk of creating projects that can become too complex and difficult to implement. This can explain the low rating concerning their implementation. The challenge is extensive within earthen sites, as there is still not enough assessment about the conception, implementation, and time evaluation outcomes of earthen sites management plans. Nevertheless, management plans become fundamental as a resource tool to establish a program of work for preservation, management, and use of earthen sites. e) Master plan When a long-term plan is aimed, a master plan is considered, because master plans incorporate different detailed phases: the project program; definition of infrastructures; budget; methodology for implementation; definition of activities and treatments to address in the site for repair and preservation. It also involves: future strategies for the site’s preservation; short, medium and long-term preservation activities; and a disaster preparedness plan, among other procedures. For instance, the Master Plan of Jiaohe, in China was developed to create “guidelines for a long-term conservation plan” (UNESCO Beijing office, 1999, p.1). Master plans are sometimes envisioned to become a strategic tool when there is still not an overall decision of how to address the site preservation. This is also the reason that in general, they are less detailed than management plans. Additionally, the choice for master plans also concerns the time period. In the eighties, master plans were more frequently applied than management plans. The notion of planning management was introduced later. Michon and Guillaud recommended in 1995, “an integrated plan of action, i.e. a Master Plan” (1995, p.8) to Bahla Fort, in Oman, a World Heritage Site since 1986 (Michon, 2000, p.69). According to Hubert Guillaud, during the open interview, nowadays, it would probably be suggested as a management plan. f) Preservation plan Usually, when addressing a wide-ranging plan to preserve the physical remains, the plan is frequently named a ‘preservation plan”. For instance the preservation plan for the Old San Elizario Jail in El Paso, Texas, USA (Dalbin, 2002), considers the protection and stabilisation of immediate work, and the general reconstruction and preservation as part of the plan

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when addressing specific actions and technical specifications and maintenance procedures. Presently, Fort Selden has a management plan addressing a wider approach, but in 1971, the original approved project was to develop a preservation plan (NMSM, 2004, p.153). This encompassed a scope of work consisting of the preparation of “ground plans for the existing ruins, a development study for the park (…), working drawings and specifications for force account construction, and an updated and revised ground plan containing information obtained during excavation and stabilisation” (ibid., p.153). The term preservation plan consistently encompasses a broad approach, which essentially covers the material preservation of the site; and is less associated with management, with values approaches decisions, or with usage matters. g) Strategic plan A strategic plan is not very often developed, as there is a tendency to address plans with more direct impact. However, it is an important preliminary phase for the understanding of the site. A known earthen heritage strategic plan was addressed in Paquimé, Casas Grandes, in Chihuahua, Mexico (Castellanos and Gamboa, 1997). The purpose of the strategic plan was to present research, conservation, protection, and dissemination of natural and cultural resources available at Paquimé cultural complex, taking into consideration the future development of an integral management plan (ibid., p.5). By addressing the priorities and needs for conservation within the archaeological remains and natural resources in the region, a holistic approach could then be developed, taking into consideration, as a principal goal, the overall preservation of this important heritage (ibid., p.2). Another example is the Fort Union Strategic Preservation Plan. This plan was developed with the objective of learning about remaining architecture, its environment, and present and future resource limitations to produce “a strategic plan to guide future preservation efforts at Fort Union” (Hartzler and Oliver, 2000, p.29). Mostly, the strategic plan identifies the directions for priority and strategic actions that need to be addressed to develop a more complex plan, which follows later. The review that was addressed in this section provided the understanding of different planning systems. Several times, a plan is developed to comprise the requirements of UNESCO. Importance is frequently too focused on the result of the plan and not on its implementation. According to Demas, more significance is “attached to a specific outcome or destination (a “plan”), while the process for achieving that end (the “journey”) is undervalued or overlooked” (2002, p.28). See for instance,

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the Ashanti Traditional Building management plan in Ghana (Wellington et al., 2007). Some of the analysed management systems did not even have a scheduled plan or action plan prepared for their implementation. Frequently, the person who developed the plan is not directly involved on the site, or with its management. Therefore, the planning process and the implementation of the plan, the interdisciplinary team composition, the stakeholders, and community engagement for the development of the plan should be given more consideration. These fundamental issues will be reviewed in the following sections.

2.3.2 Planning process Over the past few years, the preparation process of plans addressing management and conservation have been analysed by different institutions (NSW, GCI, ICCROM), and disseminated in several publications (De la Torre, 1995) (De la Torre et al., 2005) (Teutonico and Palumbo, 2000) by distinct authors (Sullivan, 1997) (Clark, 2001) (Mason and Avrami, 2002) (Demas, 2002). The NSW Heritage Management System from Australia has long experienced on heritage site development and plan implementation. When addressing a management plan, a time-phased process should be comprehensively developed. NSW underlines that different stages and factors should be taken into account: the creation of an evaluative steering committee composed of stakeholders; the engagement of the community; geographical and historical context research; the preparation of a statement of significance; to draw up a conservation policy taking into consideration the condition of the site; to analyse opportunities and constraints of the site; to develop a draft of a conservation management plan; to create its implementation strategy; to prepare management recommendations; to prepare the plan for approval by national authority; and, once it becomes official, to produce promotional material for dissemination (NSW, 2002, p.12). The definition of significance of a site and ordering its values by priority can help contribute to preserving the site at its maximum level. A value-based-approach is well accepted nowadays by the scientific community. Values can become, in some instance, the base criteria for conservation intervention or for management of a site. As previously mentioned, a value-based-approach can help prioritise during the decision making process. The assessment of significance is made possible by carefully analysing why the site is valued for present and future generations (ibid., p.2), by identifying developed policies to retain the significance, and by developing conservation strategies to achieve the

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long-term viability of the site or area. Therefore, it becomes fundamental to develop a statement of significance specifically addressed to the site, as it would definitely contribute to its management and conservation. From another standpoint, Clark concentrates the management plan process in terms of the following concepts: understanding the site; assessment of significance; analyses of issues related to the object’s vulnerability; policies that retain the significance of the site; and implementation (2001, p.62-63). Furthermore, a program of work, maintenance work and its costs should also be considered (ibid., p.66). According to Clark, interest in stakeholders’ participation is important to address (ibid., p.69), though the local community is not involved unless a representative is included on the stakeholders group. Attention should also be given to the realistic conditions of applicability of the planning process, in terms of its feasibility and implementation. Both approaches address the basic conceptual definition concerning the process of management planning. Questions arise from the actual involvement of stakeholders and the community; their effective collaboration with the site or national manager; implementation of plans; and subsequent maintenance and preventive conservation issues. In addition, the identification of strengths, opportunities, weaknesses, and threats – SWOT (NSW, 2000, p.18) - is an analytical tool that should be taken into consideration when approaching the management and conservation of the site. SWOT, as a strategic tool, gives recognition to future potential damages, and to the benefits of not-immediately perceived resources and potentialities to the site. It is important to identify management limitations, lack of resources and lack of conservation knowledge, physical condition, pathologies, divergence between stakeholders, lack of understanding of the site, or conflicts between the different types of values, amongst several other arising issues. This will help define criteria to be followed, which can enhance or retain the value of the site. The conservation policy should be a positive set of guiding principles to reveal the significant heritage qualities, and not a set of restrictive regulations; for example, by giving to some parts of the object under analysis a new use more adjusted to its significance. According to Clark, some of the conservation policies can include “the philosophical basis for conservation, the definition of repair priorities, the identification of appropriate uses, the provision of disabled access, security requirements, service provision, the definition of mechanisms for future decision making and identification of appropriate controls on future development” (2001, p.64), among other proposed policies.

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It becomes clearer that defining a strategic approach that includes the SWOT analysis will support pro-activity if there are unexpected issues to deal with. Additionally, addressing conservation theory will also contribute to a more consistent and legitimate approach. Both approaches are essential when addressing the prevention of earthen heritage conservation failure. The definition of criteria in the decision making process can provide the necessary tools to be more effective in conservation intervention.

2.3.3 Stakeholders and community involvement During the development of the plan, representatives of interest groups and of the local community should be consulted in each phase of the process. This is an important issue, which is not always considered, for example the engagement of the local community and local, national, and international stakeholders in the process. Stakeholders are defined by Gray, Owen, and Adams as “any group or individual that can be influenced by, or can itself influence, the activities of the organisation” (Gray, Owen, and Adams, 1996, p.45, cited in Friedman and Miles, 2006, p.9). In this case, it refers to all the key players that can have an impact on the management planning, on its implementation, and on the future monitoring and maintenance of the site. This covers heritage experts, “city governments, tourist authorities, local communities, and tour organisations, as well as foreign and local scholars, and other experts such as conservators (…)” (Sullivan, 1997, p.18). The problem arises from the fact that several of the local or national site managers consider they hold the key responsibility for the site, which justifies their restrain in sharing insights related to the site. However, as stated by Sullivan, the “key players are those for whom the site has value, those who have important information about it, and those who can influence its management” (ibid., p.18). The World Heritage Committee already realised the importance of engaging the population and stakeholders in the decision making process, by starting to embrace “bottom-up” approaches. In spite of “still encouraging its members (its States Parties) to adopt adequate “top-down” legal and regulatory systems, the World Heritage Committee has promoted community involvement and public participation in management approaches, recognising the importance of traditional forms of management and protection” (Stovel, 2004, p.16). Additionally, Hankey emphasises the importance of building “consensus and participation, community involvement and ownership, as

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social equity and stability, especially for the larger conservation projects, lies at the heart of good management and sustainability” (2003, p.99). Therefore, several earthen sites are nowadays emphasising the participation of stakeholders and the local community in the definition and development of the management planning process. This was the case at Joya de Cerén, in El Salvador (GCI, 2008c) (Castellanos and Descamps, 2009). Nevertheless, it is not just sufficient to engage the key-players in defining the conceptualisation; it is also crucial to include them in any future conservation implementation, as they have to “feel that they participate in the ownership of the proposed outcomes” (Sullivan, 1997, p.18). Additionally, to achieve true consensus on the plan’s definition and implementation, Hankey underlines that all the stakeholders have to really “understand the enabling and team role that their particular position must play” (2003, p.99). It is not sufficient to simply inform stakeholders and the local community, it is also essential to listen to criticism and include the community’s recommendations, “since public participation or perception can be very important factors in achieving sustainable results and good governance” (ibid., p.100). This is crucial for the survival of the site, particularly when the management plan is implemented, and national and international entities become less present at the site. The local stakeholders and the local community should be given comprehensive information to monitor and follow-up the conservation measures of the sites. If these key players are not involved from the beginning of the process, they will not feel that it is their role and responsibility to keep up with the site maintenance follow up.

2.3.4 The role of the interdisciplinary team Management planning is a complex process with interdisciplinary contributions. It requires coordination of the distinctive parties that make decisions while attending to the site’s maximal preservation and respect. To avoid the occurrence of unpredictable damage, there should always be a balanced decision-making process that addresses the different factors implicated within the site (ecology, environment, archaeology, history, etc.). To address these diverse issues, there is a need for experts with different skills coming from different backgrounds (for instance architects, archaeologists, conservators, material scientists, etc.). Several authors support this interdisciplinary approach (Clark, 2001, p.68) (Osuagwu and Alafiatayo, 2007, p.21) (Castellanos and Gamboa, 1997, p.5), but very few address how the process should be devised to integrate interdisciplinary team participation. Morales Gamarra does approach the issue, but argues

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that the conservator should assume the role of the intermediary person for the interdisciplinary work (2007, p.261). Realising the existent gap, Teutonico and Fidler state that “though interdisciplinary is a well-used term” (1998, p.46), the reality is that there is a lack of interdisciplinary cooperation, as it is rarely practiced. Chogha Zanbil is one of the few projects with an integrative and consistent interdisciplinary approach implemented (Chogha Zanbil, 2003). Subsequently, the role of the team during the planning process is crucial, as it has an impact on the decision making of the different components of the management project. Furthermore, an interdisciplinary input will connote transdisciplinarity analyses, which will result in a holistic contribution to the general approach. This is a fundamental aspect for the success of the plan. It is also essential to integrate collaboration for a “shared vision and joint strategies” (Chrislip and Larson, 1994, p.5) in the interdisciplinary team coordination. This does not always happen, the result of which can bring fragmented and unsuccessful outcomes in the implementation of the plan. Therefore, lack of effective collaboration can be one of the causes of such a small number of earthen architectural sites with implemented management plans. There is also the threat to the site preservation brought about by lack of leadership, coordination, and communication within the group in charge of the conservation strategy and with the stakeholders and local population engaged in the process.

2.3.5 Implementation of the plan and follow-up One of the major difficulties after concluding the development of the planning program is its implementation, not just because of financial matters and lack of resources, but also due too the amount of energy and time spent developing the program and to the little energy and time missing for its implementation. Demas even bemoans that in spite of the existence of numerous management plans, they are as difficult to obtain as to implement (2003, p.5). It is therefore essential to consider implementation strategies during the development of the program, and especially the feasibility of the plan. Subsequently, it becomes important to develop valid projects and to structure financial budgets associated to real resources for the implementation actions and the following process of maintenance to acquire a sustainable feasibility. During the implementation period, the plan has to be monitored by a nominated team or a responsible manager, so that decision-making can be applied periodically or following unexpected results. That is why Zakriti underlines the importance of

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submitting periodical reports related to the condition of the site when it concerns a World Heritage Site (2007, p.20). During the implementation process, there should be a regular review and consequent update of the management plan, especially if the process took a long period of time to develop. The wide reach and importance of a successful management plan and its implementation, and even more its beneficial impacts, compensates for the diligence required by the interdisciplinary team to create and apply it, as well as the financial compromises required to implement it. Unfortunately, several of the plans are so complex and extensive that their implementation becomes only partially realisable. As it is the national site manager who is responsible for the overall planning process, as well as being the person in charge of the identification, engagement, and contribution of key players (Sullivan, 1997, p.18), ultimately, it can be considered that he is also responsible for implementing the plan. This should not be considered as exclusively his role, but should be the responsibility of the other stakeholders as well, as it provides a common goal to be achieved by all. Ultimately, considering that there is not enough assessment of planning systems addressed to earthen heritage sites, the approach is frequently undertaken through the adaptation of planning systems directed to stone heritage sites. The characteristics of both are different, and specific issues should be considered. For example, the principles of authenticity and reversibility are very distinct when considering earthen material versus stone material. The fact is that in earthen heritage, there is also the need to take into consideration these principles according to the cultural contexts. Additionally, one should emphasise the importance of choosing a plan, taking into consideration a realistic approach, the resource availability, local conditions, but especially the methodology to follow. Furthermore, more critical literature and research should address the original characteristics of earthen fabric. The gap between theory and practice might be reduced if the dimension of the plan is adequately managed to be realistically implemented.

2.3.6 Summary of key issues when analysing plans in earthen architecture conservation Content and terminology confusion addressing plans: There is still content and terminology confusion concerning the different types of plans to choose and to apply when trying to preserve a site. The different types of definition and implementation of plans should be cross-assessed, and the results disseminated. This would certainly contribute to a more

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effective selection when addressing plan selection, and the results gained throughout the most appropriate choice of plan would certainly be worth the previous time spent selecting which action to address. For instance, Fort Selden had a preservation plan originally requested, and it was later revised to evolve to a management plan. Management plans are not always the first option for planning systems, and main objectives to choose a plan should be considered first. Implementation of planning systems: It was noticed that there was almost no record of successful implementation of planning systems in earthen architecture sites. There is the need to evaluate reasons for this to occur. Awareness of stakeholders and community concerning management and planning: More awareness should be created, and accurate information concerning management and development of plans should be addressed to stakeholders and the community from the very beginning of the planning process. Not all the actors, as stakeholders, local community, and even some experts understand the importance of dealing with management plans, as to some actors, conservation means physical action. Therefore their initial option would be to deal first with the existent pathologies and to address a plan for the site, in a second or final stage. Lack of dissemination of management plans: In spite of the dissemination of management plans being requested by UNESCO, in most cases this does not really happen. Most of the dissemination is done among friends and colleagues, or among professional partners. It is important to disseminate the information through open channels like the Internet. Diffusion will help awareness, which will bring in more people to be involved in the area. As a result, there would be a rising quality of research and practice.

2.4 Conclusions There is a need for more collaborative inter-institutional work between international organisations and entities. When addressing conservation programs on earthen architecture, the little existent committed cooperation can lead to future failure when planning international strategies. It will be important for UNESCO to be inclusive with institutions that were involved in the past in international projects and that were not included in this specific program (e.g. GCI and ICCROM), or new entities, with a positive impact, and representative of an international region, as is the case of the PROTERRA network. A renewed institutional commitment has to be assured when aiming for a common successful result.

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Mixed interpretations and terminology misunderstanding is frequently present when dealing with strategies and planning of earthen heritage conservation. Through the body of literature, it is perceived that several conservators and experts have mixed interpretations concerning conceptual meanings and specific differences of strategies, planning, and methodologies. A participatory process involving stakeholders and local community is a major necessity. It was clear that identifying resources and potentialities becomes crucial for the successful development of plans. Importance can be given to partnerships with other local stakeholders, or with interested entities such as parks, forts, museums, universities, associations, etc. Nevertheless, inviting one representative from each interest group to be present at one or two meetings of the planning process is not enough to engage them in the overall process. It is essential to address leadership, communication, collaboration, engagement, and participation with different actors involved in the conservation process. If there is no participatory process to build consensus, people do not feel it is their responsibility to take action to preserve and maintain the site and to achieve future sustainable management. This is of crucial importance, as it can be a serious threat to lack of success of the conservation project implementation.

CHAPTER R THREE EVALUATTION OF METHOD DOLOGY OF IN NTERVEN NTION AN ND CONS SERVATIO ON PRACTICEE IN EART THEN HE ERITAGE

bil in Iran. Fig.3.1 - Connservation practtice at the Worlld Heritage sitee of Choga Zanb Areas withouut protection of brick masonrry are coveredd with an earth hen plaster (credits: Mariiana Correia, 20008).

3.1 Introd duction This chaapter reviews the phases fo ollowing plannning, which comprise methodologyy of interventtion and conseervation practtice. This review of the body of literrature contribuutes to an und derstanding off how the con nservation approach toowards eartheen fabric is being addresssed. Other important i componentss that are deciisive for comp prehensive deecision-making g and are

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part of the methodology of intervention are equally analysed, as is the case of assessment of significance and criteria for intervention.

3.2 Methodology of intervention in earthen heritage conservation The New Shorter Oxford English Dictionary defines intervention as “the action or an act of coming between or interfering, esp. so as to modify or prevent a result” (Brown, 1993, p.1401). In the present context, intervention is applied when trying to prevent decay of the earthen structures. In what concerns methodology, and according to the New Shorter Oxford English Dictionary, it is “the branch of knowledge that deals with method and its application in a particular field”, but also as, “the study of empirical research or the techniques employed in it” (Brown, 1993, p.1759). Additionally, method is considered “a mode of procedure; a (defined or systematic) way of doing a thing” (ibid., p.1759). Therefore, methodology of intervention in earthen heritage conservation will be considered within this investigation, as the procedural process that is applied to try to prevent decay. Matero categorises the process of preserving plasters in archaeological sites in four different phases: documentation, stabilisation, interpretation, and maintenance (1995, p.7-8) (1999a, p.60-61). A comparable phased approach was developed addressing the earthen surface finishes and mortars of Mesa Verde National Park, in Colorado, USA and it comprised: survey, analysis, stabilisation and interpretation phases (Matero, 2003, p.39). In Casa Grande Ruins National Monument, in Arizona, USA, in Phase I project, Matero once more embraced four phases: documentation and condition survey, material characterisation, structural analysis, and treatment (Matero et al., 2000, p.54). All the mentioned case studies present methodology approaches based on the condition assessment of the sites. The Canadian Code of Ethics considers part of conservation to consist of the following steps: inquiry (examination), documentation, preventive conservation, preservation, treatment, restoration, and reconstruction (Earl, 2003, p.191). In Huaca de la Luna, Trujillo, Peru, Morales Gamarra proposed four different levels of approach for the conservation methodology procedure: i) preliminary recognition of the document and general characterisation; ii) preventive conservation; iii) integral conservation; iv) post conservation monitoring and systematic maintenance (2007, p.264). In the framework of EAI, GCI underlines that conservation of earthen sites in Latin America continuously address the same procedural approach,

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mentioning that “professionals in the region generally apply the same type of treatments to different kinds of buildings and under very different circumstances” (GCI, 2008b). Morales Gamarra confirms the repetition of approaches when he mentions that some techniques of consolidation methodology applied in Huaca de la Luna, Peru were replicated in other sites, such as Huaca Cao, Túcume, Kuélap and Chavín, among others (2007, p.263). It is clear that there is an argument related with the tendency for repetition of treatments and procedures. The procedures of conservation for each structure or site should depend on the local conditions and resources, the complexity of the conservation process, and the commitment and comprehensive approach of the conservation team leading it. Methodological phases can be more straightforward or more complex and detailed, but should not be a recurrent procedure, applied equally to all the structures or sites. In the following section key components are reviewed, related to the methodology of intervention in earthen heritage conservation.

3.2.1 Documentation, recording, and surveying The process of data collection can be broad and can take time, as it is fundamental to collect the most information about the site or structure, including the data and description concerning its conditions, the environment, the surroundings, etc. All the data that can help characterise and better understand the site and its structures. The procedural process “begins with observation and description, which, in the case of conservation, leads to documentation” (Matero, 2003, p.40). For a more accurate understanding, in the following, the documentation, recording, and surveying phase will be conceptually distinguished. a) Documentation Documentation it is an important part of the methodology process, the importance of which the Venice Charter already reminded us of in article 16: “In all the works of preservation (…), there should always be precise documentation in the form of analytical and critical reports, illustrated with drawings and photographs. Every stage of the work (…) should be included (…)” (ICOMOS, 2004, p.38). Documentation can then be defined as the phase in which “compilation of all written, graphic, and photographic information, past and present” (Matero, 2003, p.56) is addressed. There are different ways to approach the documentation phase. On the Casa Grande program, Matero et al. developed “a methodology for documenting the condition of earthen architecture (…) [as until then] no systematic standardised program for recording or studying” (2000, p.57)

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had been developed concerning the susceptibility of earthen materials to decay. In Mesa Verde National Park in Colorado, USA, this methodology was further developed. It comprised field documentation (architectural survey, photo-documentation, condition recording) and digital documentation (Matero, 2003, p.46-49). Another way to compile information is to use “inspection forms as a means to document, but not evaluate the site” (according to Crosby (1983), as cited by Cancino, 2008, p.33). Later in the methodology procedure, Matero also uses a field documentation form to record the overall procedures of treatments and materials addressed (1995, p.15-17). Cancino identifies five types of documentation: “inventories and largescale documentation projects, historic structure reports, structural reports, condition assessments, and evaluation and monitoring assessments” (2008, p.33). Guillaud et al. consider that the documentation phase can comprise an extensive and comprehensive approach, including multidisciplinary studies such as: historic and documentary survey; socio-economic survey; graphic survey; architectural survey; survey of the materials used and implementation techniques (expertise and know-how); survey of the systems added to the original structure; survey of the surroundings of the house; and survey of the physical condition of the building (2008b, pp.4851). Several authors mention, during their methodology approach, the use of systematic documentation collection (Orazi, 2000, p.92) (Pujal, 1993, p.244) (Gallego Roca et al., 1993, p.277) (Correia and Merten, 2000, p.227) (Gupta, 2003, p.229), but some authors collect documentation without addressing condition recording previous to intervention (Rua et al., 1993, p.205). b) Recording and Surveying According to Matero, recording is “the processes of describing, through written, graphic, and photographic means, the present configuration and condition of cultural property” (2003, p.56). Recording differs from documentation that is based on collecting existing past and present information, whereby during the recording phase the required data is produced at the given moment. Recording and surveying a site or structure can be a long procedure, particularly if extensive detail is required. Warren underlines that physical measurement “has been applied to earth structures relatively late and inefficiently. Their qualities often lie in soft contouring, generous mass, and uneven form” (1999, p.96). However, at present, recording and surveying, but also monitoring sites and structures is advancing considerably, due to “the availability of highprecision equipment and computer-aided analysis” (ibid., p.96), which is

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possible thanks to “technical innovations, ranging from satellite to laser technology” (Demas, 2003, p.6). Consequently, the tasks of documenting, recording and surveying are becoming highly specialised fields, which are also recognisable by the existence of a specialised committee of ICOMOS: CIPA, Documentation Committee. Cliff Ogleby, from ICOMOS-CIPA, mentioned that nowadays some of the most advanced documentation tools are: high precision orthogrammetry, high precision surveying, satellite imaging, 3D-laser scanning, advanced photogrammetry, and thermal imaging (ICOMOS, 2008). Some of these tools are starting to be applied in World Heritage listed sites. This is the case of photogrammetry, a “technique of taking precise measurements and drawings from stereo (or overlapping) photographs” (Clack, 2001, p.113), which contributes to the high accuracy of site recording, which is becoming an important tool of documentation. In the Ad-Dir’iyah earthen heritage site in Saudi Arabia, the orthophoto elevations generated from 3D laser scanning were done with considerable rigour, in spite of the decay of the site (ATM.3D, 2009). However, to avoid failure, it is important not to forget that high precision tools are not the aim of the conservation process, but are a way to contribute to a better understanding of the site. The advanced recording of the earthen site of Timimoun, in Algeria, is a good example of this type of tools risk. The computer high-tech approach allows 3D surfing through the earthen palace of Timimoun. In national expositions, this 3D visualisation of the earthen palace took the lead, to the detriment of the architectural drawings, which are missing the perception of earthen fabric and architectural rigour. Documentation and heritage recording help to identify data, which is not immediately recognised through visual observation. This is supported by Warren, who stated that: “Built into the fabric of every historic building lies information about its history, and often about its creators” (1999, p.96). When lacking sufficient documentation, Correia and Merten mention that surveying the site to compile architectural and archaeological scaled drawing representations can deepen the observation and analysis, and subsequently can create a better understanding of the structure’s components and building history, in order to date the construction period of the different material additions (2000, p.227). The previous collection of documentation and recording of the state of the site and structures are significant stages, “as part of a comprehensive planning methodology for heritage management, and as a tool for managing change” (according to Cancino, 2008, p.32, citing several authors). It can be stated that conservation processes that do not include

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these phases as part of the methodology of intervention are not contributing to the subsequent management of the site, including the control of the physical conditions evolving alteration. However, sometimes conservators want to deal directly with the structure or site physical condition, without previously addressing and planning the methodology of intervention process. This was the case of Taroudannt fortress walls, in Morocco (Mesbah et al., 2000, p.266-271), which can be identified as a prescriptive approach. In several case studies, criteria for intervention are based foremost on the physical condition assessment, as will be shown in the following sections.

3.2.2 Interpretation Matero underlines that “it is the goal of interpretation to offer clarification and explanation of the site and its elements in their fragmented, incomplete state” (1995, p.8). It is then the responsibility of the team of conservators to analyse and interpret the collected documentation, record its state, and to try to achieve a holistic interpretation of the site and structures. This is a decisive phase, as an overall interpretation will give to the team of conservators a more accurate decision-making process. This is why, sometimes during interpretation, it is decided that there is a need for additional information. There are also different approaches about when the interpretation phase should be addressed. In the Fort Union National Monument project, Matero approached it after the stabilisation phase (ibid., p.8). Warren refers to interpretation as analysis and approaches it following the recording phase (1999, p.96). Some authors approach interpretation during the planning process (Morales Gamarra, 2007, p.261), and other authors address it after the assessment of significance (Gupta, 2003, p.233). To avoid failure, it is important to take into account that decision-making should not be addressed without first approaching data interpretation.

3.2.3 Assessment of significance To establish site significance following the interpretation of data collection, recording and analysis will not only contribute to decisionmaking in conservation management, but will also help prioritise intervention and balance planning. Additionally, it will contribute to the valorisation of the site or structures by the community. The assessment of the identified values should be explained in order to adequately justify its importance. The significance process should also be based on a criterion

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that identifies the nature and degrees of a site’s significance. So, it becomes relevant to categorise or zone the assessment of value of a site, because it is important to understand each part’s significance, as well as that of the whole site. The importance of identifying and integrating values in the overall process of methodology of intervention is still not very clear to most of the conservators. Besides assessment of significance undertaken in planning systems for World Heritage sites (Castellanos and Hoyle, 2000, p.14-17), there are very few authors (Koumas and Koumas, 1993, p.231-234) (Aguilar and Falck, 1993, p.250-251) that address the state of significance as part of the methodology intervention procedure for a site or structure. Some authors even propose to address it in a later phase, after the overall conservation practice is concluded (Gupta, 2003, p.233). This is emplained by Hankey, who states that frequently social-cultural values are ignored, and the physical condition is prioritised (2003, p.99). Values are sometimes included on the conservation process, as criteria for intervention (Aguilar and Falck, 1993, p.250-251), or they can justify the overall reason to safeguard the site or structures (Koumas and Koumas, 1993, p.235), or “to establish its regional importance” (Gupta, 2003, p.233). Mostly, the assessment of significance is not linked to the conservation practice. There are exceptions, for instance when conservation practice incorporates cultural values, such as community engagement, building capacity, and intangible know-how. Some examples of conservation interventions with embraced cultural values were carried out in the Djenné and Timbuktu mosques in Mali. But most of the time when this occurs, as was the case of the earthen Basgo temples conservation in Ladakh (ibid., p.232), there is no clear perception that the mentioned aspects are related to values. Moreover, to include values in the conservation process is also one of the main reasons to address assessment of significance before conservation practice.

3.2.4 Assessment of physical condition Presently, ICOMOS-ISCEAH is working on an Illustrated Glossary of Earthen Materials Deterioration Patterns to help identify pathologies affecting earthen architecture physical conditions. Pathology is defined by the New Shorter Oxford English Dictionary as “the science of the causes and effects of diseases” (Brown, 1993, p.2123). Pathology is addressed in earthen architecture, when dealing with deterioration of the earthen fabric and evaluation of earthen structures condition (Avrami et al., 2008, p.xii). To identify and describe the symptoms, to search for the causes and their

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origins, to evaluate and understand results and effects of decay, and to discontinue the source of the problem will all contribute to a formulation of a comprehensive diagnosis. The overall process can have different approaches, although three aspects are important to identify when addressing deterioration of the physical condition: agents of failure, identifying and understanding pathologies, and diagnosing. These will help identify, evaluate and understand symptoms, causes and effects/results, and formulate a diagnosis. a) Agents of failure Over the last few years, when addressing the literature concerning assessment of the physical condition of earthen sites and structures, it is recognisable that this is a specific area that has been intensively researched. Cancino states that over “the past three decades, the field of conservation has advanced methodologies for addressing deterioration mechanisms for site management and conservation” (2008, p.32). The body of literature concentrates on condition assessment (Matero, 1999b, 2003) (Matero et al., 2000), agents of failure and their identification (Warren, 1999), deterioration and pathology (Rainer, 2008), failure mechanisms in rammed earth structures (Jaquin, 2008a), causes for damages (Guillaud et al., 2008b, pp.33-43), water assessment (Faria Rodrigues and Henriques, 2005) (Rainer, 2008), seismic retrofitting (Kimbro, 1993) (Torrealva et al., 2008) (Blondet and Vargas, 2008) (GCI, 2008d) (Vargas Newman et al., 2009), etc. Some authors address pathology through the cause of the pathology, relating it to intrinsic or extrinsic origin (Sanpaolesi, 1973, p.117, as cited by Morales Gamarra, 2007, p.266) (Rainer, 2008, p.47). Intrinsic causes indicate that the origin of the problem is interior to the earthen wall, which can be due to excessive moisture content, chronic damp, crystallisation of salts, structural instability of the walls, non-consistent compaction of earth or dosage of the material, inadequate construction, inadequate design conception, etc. (Warren, 1999) (Rainer, 2008) (Guillaud et al., 2008b). Extrinsic causes relate to the fact that the source of pathology is exterior to the walls. These sources of decay are the most common to observe and can be due to heavy rains, wind erosion, water movement, capillary action, humidification and drying cycles, freezing and thaw cycles, rising damp, foundation settlement, ground subsidence, land movement, biological factors, human factors, earthquakes, interactions with other structures, inadequate previous repairs, etc. (Warren, 1999) (Jaquin, 2008a) (Guillaud et al., 2008b).

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b) Assessing Pathologies As a result of pathologies, several effects can be seen to affect the fabric. This is the case in surface condensation, swelling and shrinkage, structural vertical cracks, loss of stability of the walls, loss of structural properties, loss of material, material alteration, material defects, structural defects, delamination and flaking failure, detachment of plasters, plasters blistering, salts efflorescence, mechanical damage, biodegradation, and others (Warren, 1999) (Matero, 2003) (Faria Rodrigues and Henriques, 2005) (Rainer, 2008) (Guillaud et al., 2008b). Because earthen architecture is more fragile than other materials, inadequate conservation actions can have even more damaging consequences, and, in some cases, irreparable losses. To increase conservation problems when addressing earthen heritage conservation, there are pathologies that originate from the poor interaction of different techniques built at distinct time periods due to the characteristics and performance of each building method. This happens sometimes with conservation repairs that were not properly addressed, which raises the complexity and responsibility of procedure when addressing conservation intervention in earthen heritage. Besides, if an incorrect diagnosis is defined, based on an inaccurate perception of evidence, the conservator may apply the incorrect procedure. c) Diagnosis According to the New Shorter Oxford English Dictionary, diagnosis means “the process of determining the nature of a disease” (Brown, 1993, p.660). In conservation, diagnosis arises from the direct study of evidence, which contributes to the identification of the pathology. According to Matero, it emerges from the “overall recording of conditions (…), which allows a working prognosis or prediction of causes, trends, patterns, and significance. These can later be supplemented and confirmed using other methods of investigation and analysis that lead to the point of diagnosis” (2003, p.49). Guillaud et al. recall that diagnosis “must be accurate and based on an in-depth knowledge and understanding of the building, including the site, shape, and size of the architectural elements, materials and techniques used, the history of modifications and maintenance, the conditions of use” (2008b, p.47). It also embraces damage survey and symptoms survey, as well as knowledge of the cultural context that “generated other similar constructions (for a comparative approach)” (ibid., p.47). ICOMOS 2003 Recommendations concerning Principles for the Analysis, Conservation and Structural Restoration of Architectural Heritage clarify the meaning of diagnosis, distinguishing it from remedial measures or therapy (ICOMOS, 2004, p.172-173). Additionally, in Art.2,

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sections 2.5 and 2.6, it is clarified that evaluation is the last step in the diagnosis, which is based on: “Historical, qualitative and quantitative approaches; the qualitative approach being mainly based [on] direct observation of the structural damage and material decay as well as [on] historical and archaeological research, and the quantitative approach mainly on material and structural tests, monitoring and structural analysis. Before making a decision on structural intervention, it is indispensable to determine first the causes of damage and decay, and then to evaluate the safety level of the structure” (ICOMOS, 2004, p.172)

Conservators do not always follow this comprehensive procedure. There is a lack of a consistent approach when relating diagnosis to methodology of intervention and conservation practice. There is even a tendency by some conservators to address a more prescriptive approach, based on a physical condition assessment, as is the case of Rua et. al. (1993) and Pujal (1993); or based in direct observation of damage and decay, with monitoring and structural analysis, but without historical and archaeological research, as is the case of Fahnert and Schroeder (2008), and Mesbah et al. (2000).

3.2.5 Criteria for methodology of intervention The Oxford English Dictionary defines criteria as “a principle, standard, or test by which a thing is judged, assessed, or identified” (Brown, 1993, p. 551). This definition can help understand that criteria can be established through distinguished principles to facilitate and estimate impartial judgement. It was observed in the body of literature that the term criteria was applied in several scientific papers and was often used to justify the carried out intervention. The decisive factors or reasons for intervention associated with the concept were: bioclimatic criteria (Giardinelli and Conti, 2000, p.239); analytic methods criteria (Shekede, 2000, p.170); design criteria (Guerrero Baca, 2007, p.198); conservation principles criteria (Morales Gamarra, 2007, p.262); criteria associated with the space use (Guillaud et al., 2008b, p.63); sustainable principles criteria (Correia and Merten, 2000, p.229); and criteria associated with values (Aguilar and Falck, 1993, p.250). In some cases, it was recognised confusion of terminology content between criteria and recommendations (Calarco, 2000, p.22), between criteria and intervention objectives (Hoyle et al., 1993, p.224), between criteria and programs to follow (Pujal, 1993, p.244), and between criteria and methodology (Orazi, 2000, p.89). This

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shows a recurrent use of the word ‘criteria”, sometimes related to a trend in the use of the term, other times with the problematic associated with the intervention. In fact, there are distinctive ways to approach the methodology of intervention addressing the conservation practice of a site. As mentioned by Correia, this relates to the orientation applied to addressing its specific problematic (2004b, p.336). Morales Gamarra supports the same perspective (2007, p.262). This can relate to different approach criteria for analyses of data. It can be stated that there are different approaches for the identification of criteria. According to Goldberg and Larson, three types of approach can be recognised: (i) "Designative or Descriptive”; (ii) “Evaluative”; and (iii) “Prescriptive and Appraisive”; (1975, p.145). In what follows, these approaches will be related to the field of earthen conservation: a)

A descriptive approach happens when one has to try to understand the earthen site or structures by describing its different historical and technical parts, the different components and methodology applied, etc. This occurs with most of the papers presenting case study analysis (Lassana Cisse, 2000) (Correia and Merten, 2000).

b)

An evaluative approach takes place when one has to try to comprehend the reason for the site or structures to be in a certain physical condition; or to try to question the significance meaning attributed to it, or to evaluate the best methodology to apply (Michon and Guillaud, 1995).

c)

A prescriptive approach occurs when the evaluator points out immediately what to do, or how to intervene, without sometimes including documentation collection, recording, etc. (Mesbah et al., 2000) (Fahnert and Schroeder, 2008).

It is important that the different principles and approaches co-exist and inter-relate, as they complement each other. To identify and understand this will allow the interdisciplinary team to implement the decisions that are the most appropriate for the conservation intervention.

3.2.6 Evaluation and monitoring In previous years, there has been an increasing interest in addressing evaluation and monitoring as essential procedures of conservation and management of earthen sites. Several papers have been published related to evaluation and monitoring (Silver et al., 1993) (Fiero et al., 2000)

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(Shekede, 2000) (Chiari et al., 2000) (Oliver, 2008a, 2008b, 2008c). Evaluation and monitoring can be carried out on test walls or in situ, on the original structures. Around the world, there have been several wall tests conducted, such as in Grenoble, France (Dayre, 1993), Fort Union, USA (Matero, 1995), in Scotland, U.K. (Morton, 2004), and in Sydney, Australia (Heathcote and Moor, 2004). These assessments have provided several results concerning the impact of natural agents (as erosion, abrasion, weather exposure, capillarity action, etc.). The performance analyses facing on-site conditions provided very useful information related with the understanding of pathologies and the way to address diagnosis. Cancino underlines that “a fair amount of research has been undertaken to monitor treatments; [but] there is a fundamental need to design transferable protocols for the evaluation of past interventions and for the monitoring of sites” (2008, p.38). However, and according to Oliver, there is often a discrepancy between the results obtained from laboratory research and test walls, and from original structures, especially in the case of consolidants (2008b, p.102). Evaluation and monitoring are also considered methodological phases of the conservation intervention. Morales Gamarra mentions the need for a systematic monitoring of the conservation treatment, as decay is a dynamic and continuous process (2007, p.266). Matero confirms the same type of approach when stating that just “through comparative monitoring of site conditions and treatment options can such methods be truly evaluated in contrast to other solutions designed to be long-term” (1995, p.8). In inhabited conserved heritage, inhabitants can address monitoring, but conservators should always entail some surveillance of the monitored results.

3.2.7 Maintenance In spite of several papers addressing plasters and surface finishes, very few papers have specifically addressed maintenance. In Terra 2000, although the third theme of the conference was “Conservation, repair and maintenance”, just one paper specifically approached the maintenance procedure (Lassana Cisse, 2000, p.223). In Terra 2003, one paper mentioned maintenance in the title, but barely approached maintenance in its content (Tehran, 2003). Maintenance requires continuity and assures preventive conservation. Warren adds that “since earth buildings are inherently fragile, although very long lasting, maintenance should be… planned as a regular routine” (1999, p.193) addressing, for instance, plasters in inhabited earthen architecture or conservation treatments in

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archaeological remains. Beside the relevance of local expertise, knowledge and community involvement brought to maintenance an important social role contributing to local sustainable development. The tomb of Askia, in Gao, Mali, listed as World Heritage in 2004, is a good example of community involvement in annual maintenance. Once a year, the local population gathers and transports mortar that was prepared over the previous days for masons to apply (Joffroy et al., 2005, p.12). In Navrongo Cathedral, the training of a maintenance team, of technical monitoring and the interest of the inhabitants also sustain the fact that the restoration “leads to a revival of the know-how required for effective maintenance work in the future” (ibid., p.29). This had an important impact on the community, as there would be less need for further outside assessment of the evolution of the state of the cathedral, considering that the community gets engaged in its maintenance. For the survival of earthen architecture, maintenance is a procedure that will be subject to growing interest in the coming years.

3.2.8 Lack of methodology or misinterpretation It is interesting to note that in several earthen architecture conservation procedures there is no formal methodology of intervention being addressed. In a mission to the Bahla Fort, in Oman, Michon and Guillaud call attention to a lack of methodological procedures previous to the intervention of restoration, and even the lack of a documentary basis (including architectural photogrammetry and survey) before and during the intervention (1995, p.6-7). There is also in some cases a misinterpretation of the conceptual meaning of methodology, or a trend in the use of the term. Koumas and Koumas present a paper, the title of which is “Methodology and Technique of Conservation” (1993, p.231-236). The fact is that methodologies for conservation are not addressed within the paper, nor are techniques for conservation. Additionally, attention is called for a section concerning technical methods for safeguarding, and then problems faced during the process are presented (ibid., p.234). It can also be noticed that certain terms are frequently used in the scientific lexicon of international conferences, such as ‘methodology’ and ‘criteria’, because it will give more scientific recognition to the work being developed. Warren confirms this reality when he states that “most conservators work by the instinctive application of technique, that is to say, the combination of experience and knowledge which allows them to apply a methodology to their actions without consciously analysing the sequence or the reasons” (1999, p.35).

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However, Warren presents the logic of the procedural process to apply to earthen architecture, not differentiating methodology procedures from conservation principles, criteria or recommendations. He justifies the combination through a “sequence of decision-making [that] are correlated” (ibid., p.35). Conservation methodology will have different procedures for earthen archaeology or earthen living heritage. Oliver reminds us that “repair and maintenance strategies applied to inhabited earthen structures are often deemed inappropriate for archaeological sites” (2008a, p.80). The fact is that in inhabited earthen structures, maintenance and traditional repair methods are part of local tradition. In this case, the conservation problematic lies in inhabited historical earthen structures where community habits and local traditions are not addressed anymore, or are being lost. In terms of earthen archaeological sites, Oliver underlines that in modern cultures, the value of the site “is derived from the physical remnants of a lost culture or tradition, rather than from the cultural traditions by which it was constructed and maintained” (ibid., p.80). This is part of the reason why there are conservators who concentrate their methodology efforts on the physical condition of the archaeological site, and conservators who address a broader approach, especially if related to inhabited heritage. However, it is important to call attention to the fact that it is not always so straightforward, as historical, cultural, and social values can also have an impact on the decision-making of archaeological sites management, as in San Diego Royal Presidio, in California, USA (Calarco, 2000, p.23).

3.2.9 Summary of key issues when analysing methodology of intervention in earthen heritage conservation Mix conceptualisation between strategy, methodology of intervention and criteria for intervention - There is a recurrent uncertainty between strategy and methodology (Correia, 2004b) (Matero, 1995); or between criteria and methodology (Orazi, 2000). In the body of the reviewed literature, very few papers clearly distinguish methodology of intervention from intervention criteria (Aguilar and Falck, 1993, p.250-251). Furthermore, bad results are justified by conservators on the basis that they have applied a methodology of intervention. This is clearly a result of confusion between selected criteria for intervention and chosen methodology for intervention. Criteria for intervention are often nonexistent, mixed, confused, or focused on condition assessment. This

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also illustrates the existent gap and the need for further research concerning this matter. Recurrent use of trend terms – It was noticed that the terms methodology and criteria are recurrently used in scientific papers. Often, the meaning of the term is not properly applied or comprehensively understood. This is the case of some of the papers published on Terra International Conferences, in terms of the ‘methodology’ term (Koumas and Koumas, 1993, p.231-236) (Michon, 2000, p.68) and ‘criteria’ term (Orazi, 2000, p.89) (Calarco, 2000, p.22). Lack of knowledge of interconnection of earthen materials and techniques: There is still a lack of understanding of a body of literature concerning earthen materials interaction and their behaviour. This happens, for instance, when there is an interconnection of distinct techniques on the same wall, especially under extreme pressure moments, like in a seismic event. Another example is the need to understand the impact of applying in conservation earthen plasters or mortars composed of different types of clay. The existent literature relates to the isolated study of materials or building techniques, but not to the interaction of the different building methods. Repetitions of research among laboratories: The same types of studies are recurrently performed in different research laboratories. There is the need to communicate, disseminate, and cross reference data produced, and to avoid repetition of tests, unless they come integrated in a common strategy. Therefore, this brings the need to generate inter-laboratory research, integrated in planned programs that produce standardised data. Need to create a free database on earthen architecture: There is also the need to create databases relating to research already developed, together with the data produced, with free access, as researchers from different countries are constantly looking for the same type of information. For instance, when a country is addressing regulations to produce norms and standards for earthen architecture, experts recurrently request information about existing standards in other countries from their different contacts. There should be a common strategy addressing the creation of a database, as already exists with other fields of architecture. Several issues were identified related to conservation procedures in earthen heritage: a)

Procedures are assumed to be correct if they were based on the interpretation of international charters. That is not always the case. Which leads to:

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b)

Articles from Charters are sometimes chosen to validate procedures. When describing the application of projects into practice, articles from Charters are chosen to justify applied procedures (when should be done previously). This can lead to different interpretations of the same charter article.

c)

The desired procedure is frequently different from the accomplished result. In several cases there is a distinction between what conservators wish to follow as procedure, and its implementation and subsequent result. In addition, it is also noticed that in published literature, conservators will explain the desired methodology, but not the resulted procedures or the problems faced through the process. Assessment is, in general, reduced.

3.3 Intervention in conservation practice of earthen heritage In the last 30 years, there has been an increased amount of research into earthen architecture, related with the structure, the material, and ways to strengthen them. There are institutions that are keener to support one option more than another, as those are the research areas where they feel more experienced and knowledgeable. For instance, Pontificia Universidad Católica del Perú has developed copious research in geomesh (Blondet and Vargas, 2008), polymer grid (Torrealva et al., 2008) and the recent mud-based grouts (Dandona et al., 2008) (Vargas Newman et al., 2009). CRATerre-ENSAG research laboratory has been keener in researching about earth as a building material, its composition, properties, and potentialities (Houben and Guillaud, 1989) (Anger and Fontaine, 2005) (Anger et al., 2009) (Fontaine et al., 2009). GCI dedicated attention to seismic stabilisation (GCI, 2008b), structural grouting (GCI, 2008d), management systems (GCI, 2008c) (Castellanos and Descamps, 2009), and bibliography review (GCI, 2002) (Avrami et al., 2008). Research in the case of earthen heritage has been much related with trying to prevent or discontinue decay of the structures. Due to the limits of this investigation, specific options for repair intervention were not assessed. Nevertheless, for a full comprehension of the intervention possibilities, main components were revised in the following sections.

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3.3.1 Intervention through preventive measures The addressed preventive measures target specific interventions in archaeological sites. Alva Balderrama and Chiari mentioned that in the case of archaeological excavated sites or structures, one of the first measures to consider is backfilling, which means an immediate complete reburial (1995, p.104). This can be undertaken with the same soil that was originally removed, or other materials. They suggest using a “shallow layer of salt free sand (that) can be laid with the purpose of facilitating future excavation” (ibid., p.104). This method provides the reestablishment of the “state of equilibrium that existed prior to excavation. (…) Reburial has emerged as one of the most viable and flexible strategies for preserving excavated remains” (Demas, 2003, p.23). Dowdy and Taylor also support its benefits (1993, p.480-487), as does Palma Dias (1993, p.211). Thus, to properly address this conservation method, there are quite demanding technical requirements to follow. Cooke addresses the backfilling methods and implications emerging from its use at the Archaeological Park of Merv, Turkmenistan (2003, p.102-106). Reburial is usually chosen if tourism is not a priority, and if it is considered that the fragility of the remains can be put in danger when exposed to weather or open air. This was the case in the previously mentioned paper. In the Terra 2000 proceedings, Calarco describes in his paper the criteria that led to the decision to rebury the excavated remains of the earthen ruins of the San Diego Presidio, in the USA (2000, p.20-25). In this case this was the final choice to protect the site from decay. The fact must also be acknowledged that some sites are reburied informally, without addressing proper procedures. This can lead to a faster accumulation of humidity or salts in the material, which can become the cause of unexpected decay, even with the structure buried. Another cause that can seriously damage the backfilled structure is vegetation and root growth, which can appear unexpectedly (Palma Dias, 1993, p.211) (Demas, 2003, p.81). Other measures can be undertaken for the protection of archaeological remains. Shelters and protective roofing can be erected for long-term protection, as is the case of the Casa Grande shelter built in 1932 in Arizona, USA (Matero, 2000, p.52). This permanent shelter offers an efficient protection from decay resulting from weather exposure. Besides, in this case it gave more dignity to the earthen ruins. Demas does state that shelters have “become an increasingly popular response, especially for sites open to the public, [but] it is also one of the most problematic and potentially controversial interventions to a site” (2003, p.7), as the choice for the protective roof is not always consensual. Besides, its construction and foundations can, to some extent, affect the site. From another point of

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view, shelters do not protect from existing rising damp or salts brought by the wind. The fact is that there is little literature addressing earthen archaeology shelters, though it is possible to find some papers with recommendations (Palma Dias, 1993, p.211) or those that look at conceptual options for the less intrusive technique of sheltering (Jerome, 1995, p.41), an important factor that it is always necessary to consider. Erosion control and site stabilisation are other preventive measures that can vary from “highly engineered solutions (…), to simple techniques, such as the use of vegetation to control soil or wind erosion” (Demas, 2003, p.7). For instance, addressing a more high-tech approach, Moss develops an experimental program using simulated models to test conservation preventive methods in painted plastered adobe walls (Moss, 1998). More simple solutions to prevent erosion are through wall caps. Oliver mentions the existence of “three predominant types: prefabricated blocks, renders, and small roof-like structures” (2008a, p.82). Alva Balderrama and Chiari also suggested the first option, through the application of “one course of new, reinforced mudbricks” at the top of the walls (1995, p.105). Adobes composed of unmodified earth are also a common preference, and are frequently identified through different colour or texture, to show the difference from the old fabric. The second possibility to protect the head of a wall is to use renders, which are being applied more, especially through a sacrificial layer of gravel and clayey soil. At some sites, other aggregates (e.g. straw pieces) can be found within the mixture. This is observable in several earthen walls in the Castilla and Leon region in Spain. Furthermore, a different colour is added to clearly show, to the non-specialised observer, that it is a contemporary conservation intervention. Finally, the third option is applied through the application of a provisional or permanent head wall protection; for instance thatch, which is frequently found in rural regions of the UK (Bouwens, 2000) and Spain. All the mentioned preventive measures are deemed to fail if regular maintenance is not considered, as it is an important action to avoid future decay. Maintenance was previously reviewed in section 3.2.6.

3.3.2 Intervention through modified earthen materials According to Oliver, “modified earthen materials are used to create more durable mortars, patches, plasters, and renders, as well as new structural elements” (2008b, p.97) like compressed earth blocks (CEB). Modified earthen materials include “additives like sand or fibrous materials that reduce shrinkage (…), stabilisers that reduce the reactivity

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of the component clays through sorption, adhesives that bond soil particles together, hydrophobic materials that prevent water from reaching the clays (ibid., p.97). All of them can be inorganic, natural organic, or synthetic organic materials. a) Stabilisers Material stabilisers like cement are used, for example, to stabilise CEB. However, “cement is not used for stabilising clay, when the (…) clay content is higher than 30%” (Houben and Guillaud, 1989, p.122). Sometimes, cement is used as a stabiliser for foundations, load-bearing components, and, in occasional circumstances, earth lintels (Warren, 1999, p.115-116). But it is not a fully consensual decision. Walker et al. do not even suggest cement as an additive for repair, as it is not compatible with the earthen original fabric (2005, p.94). Once more, there is the need for more comprehensive assessment and comparison of results. This should become compulsory, with the need to advance research and avoid repetition of investigations. Another case to mention is the use of lime as a stabiliser in the earth mixture. Juss, or fired gypsum, and lime have been used for a long time as stabilisers of earth mixtures. As they are artificial preparations, they are added to the mixture “at the stage of preparation of the earths” (Warren, 1999, p.112). In the south of the Iberian Peninsula, Portugal and Spain possess several fortresses in “military rammed earth”. These earthen fortresses are composed of lime, aggregates, and earth (Correia, 2004a). Repairs to some of the castles (Rocha, 2006) (Mendes Paula et al., 2005) (Quitério, 2006) were made by compacting, in situ, an earth mix with lime as a stabiliser into the gaps or missing parts of the rammed earth fortress walls. As mentioned by Oliver, “lime is becoming perhaps the most commonly used stabiliser for earthen architecture today” (2008b, p.98). However, there have recently been new directions of research concerning the use of natural organic stabilisers, especially stabilising with clay and biopolymer composites (Fontaine et al., 2009). b) Additives Additives can be used as a complement for stabilisation, which is the case of the inorganic components, “pulverised fly ash (PFA) and brick dust” (Oliver, 2008b, p.98). There are also organic components that can be added to the earth mixture to reduce shrinkage. For instance, in experimental performance tests, Vargas et al. mentioned the use of mortars with natural additives, such as egg white and cactus juice (2009, p.4). According to Shekede, when analysing by binocular microscopic earthbased construction materials from 14 sites across England, information was found on several different additives used by locals, such as “straw,

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chaff, wood chippings, and animal hair (…), ashes in the form of burnt wood chippings, charred straw and charred grain” (2000, p.173). This data brings interesting evidence of organic fibres being “included to improve tensile strength and reduce cracking in more expansive materials, and greater quantities of these were found in the higher-plasticity materials” (ibid., p.173), which means in cob and adobe materials. c) Adhesives There is general confusion about the role and use of adhesives and consolidants. Oliver underlines that “an adhesive is used to bridge gaps between grains larger than coarse sand (…) in contrast, a consolidant acts at a near molecular level to penetrate deeply and fix grains smaller than coarse sand” (2008c, p.114). Sometimes, adhesives are used as consolidants, but this “is limited to special circumstances, because the high adhesive concentrations required tend to cause unacceptable changes in the properties of the treated material” (ibid., p.114). The most common adhesives are emulsions, which can “function as adhesives that bond soil particles together, rather than binding through sorption and stabilisation of reactive clays” (Oliver, 2008b, p.101). The most known emulsions are acrylic emulsions, such as “copolymers of ethyl acrylate, methyl methacrylate, and/or ethyl methacrylate” (ibid., p.101).

3.3.3 Intervention through consolidants The body of literature addressing conservation intervention is varied and complex, as there is no agreement to establish a structured approach to the subject area. In this instance, consolidants can be addressed through modified earthen materials, or through the stabilisation of structures. Due to its importance and specificity, in this research, consolidants were analysed as a section of its own. It can be considered there are two types of categories for consolidation: inorganic and organic materials (Schmid, n/d, p.2) (Warren, 1999, p.v-vi); or three broad categories: inorganic consolidants, natural organic consolidants and synthetic organic consolidants (Guillaud and Avrami, 2003, p.207) (Oliver, 2008c, p.110). In this investigation, this last approach was followed. Depending on the authors, there are several materials that have been applied. Chiari evaluated that in Terra 93, there was 10 papers that dealt with analyses of material, eight papers dedicated to stabilisation (50 percent lime, 25 percent cement, and 25 percent other materials) and six papers dealing with consolidation (“three on ethyl silicate treatments, two on synthetic resins, and one on cactus extract”) (1993b, p.69). In Terra 2000, Matero and Cancino also mentioned that from 1972 to 1993, there

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was a recurrent use of chemical consolidants, with a slight decrease over the last years (2000, p.17). Accordingly to Schmid, there is not one single consolidant being used nowadays in conservation that responds to all of the principle conservation criteria (n/d, p.2). Due to the scope limit of this research, main materials for consolidation of the building structure were reviewed in this section. a) Inorganic consolidants Some examples of traditional inorganic materials can be mentioned. This is the case of limewater (originated from lime paste) and alkaline silicate (sodium or potassium silicate). Other examples that are currently in use are ethyl silicate (or gel silicate) and clay hydroxide (Schmid, n/d, p.2). In spite of calcite being a natural mineral, gypsum and lime are prepared artificially and they are considered to be inorganic materials, being “treated as synthetic consolidants” (Warren, 1999, p.112). In terms of treatment for material preservation, a few chemical products are mentioned as having good results for surface stabilisation with long-lasting effects. From Alva Balderrama and Chiari’s perspective, this is the case for silica esters, that preserve the surface, but allow the internal moisture to evaporate rather than retaining it (1995, p.106). For the vertical surfaces of walls, they state that the most effective treatment is to apply a spray of “ethyl silicate (about 1 litre per square metre)” (1995, p.105). Barrow also confirms the use of ethyl silicate, also known as silicon ester, as being widely applied for the “consolidation of earthen fabric in the latter third of the twentieth century” (2009, p.342). Barrow underlines that the positive results probably originated from its earlier use on plasters, as it had been “recorded as being sprayed on a wall at Tumacácori in 1954” (ibid., p.342). Schmid underlines that it has good penetration into the earthen fabric. However, it is expensive, and it takes a month to be fully effective, during which the earthen structure should be protected from rain (n/d, p.3-4). Other chemical substances, such as absorbent paper and calcium hydroxide, applied to consolidate the wall surface, were proven not to be efficient to avoid initial exfoliation of the surface (Meyer, 2008, p.147). There have been several other treatments. Hoffman states that through the years in his practice as an architect building rammed earth houses in Brazil, he tried different surface treatments for the conservation of rammed earth walls. He even sprayed earthen walls with waxes, solvents, epoxies, silanes, silicones, acrylics, and urethanes, among others (personal communication, 20/05/2008). All of these materials had different procedures, prices, and benefits. To avoid surface resistance to abrasion, Hoffman suggests the use of vinyl polymer (ibid., 20/05/2008), from

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which he had good results. Oliver says that “vinyl polymer, namely polyvinyl acetate and polyvinyl alcohol, have also been used as soil stabiliser” (2008b, p.101). The use of polyvinyl acetate, known as PVA, was mentioned by Barrow, as being applied in 1949 with good results, to “stabilise friable surfaces” (2009, p.343) and consolidate the plasters at Tumacacory mission. Oliver confirms that the best laboratory results were achieved by polyvinyl acetate (2008b, p.101). Nevertheless, Schmid mentions that during the eighties, polyvinyl acetate was substituted in conservation treatments by acrylic emulsions (n/d, p.7). In spite of extensive research developed in the eighties, the use of chemical consolidants reduced in recent years. Unexpected appearance of certain side effects had, as a result, the acceleration of deterioration (Guillaud et al., 2008a, p.9). Consequently, through the last years there has been more scepticism about the application of some chemical materials. Adding to the complexity of choosing the most adequate consolidant, Warren calls attention to crucial research needed concerning the choice of consolidants in relation to the type of clay used in the original wall (1999, p.120). For instance, earth structures that have clays that contain a high proportion of montmorillonite (the most expansive of clay materials) when treated with PVA and sodium silicate had unsuccessful results, but “success has been achieved with potassium silicate solutions” (ibid., 1999, p.120). For consolidation, this is a better product than “the cheaper but similar sodium silicate, because it does not produce a surface scum or efflorescence” (ibid., p.120). b) Natural organic consolidants There are several examples of traditional organic consolidants. This is the case of animal glue, sicative oil, natural gum, bee wax, gum lacquer, egg white, and casein, among others (Schmid, n/d, p.2). Egg white and casein are consolidants that were used in the last two centuries; nonetheless they are irreversible and have a tendency to form a film, and make the fabric to contract through time (Schmid, n/d, p.5). Animal glue, originating from rabbit and fish, has a lower penetration into the earthen fabric, which as a consequence creates a surface pellicle; it also has a tendency for suffering from biological attacks, in the case of humid conditions (ibid., n/d, p.5) Natural gum, of which the most known example is Arabic gum, was, according to Gisele Taxil’s explanation during the post-conference tour visit to Mopti mosque, used in the preservation of Mopti mosque with good results. The fact is that it is a known and frequently used traditional treatment. Nevertheless it is highly sensitive to humidity, it has a tendency to get yellow, and it is also prone to biological attack in case of humid conditions (ibid., n/d, p.6). Beeswax has been

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applied for a long time as a protective film in several European countries (ibid., n/d, p.6). In spite of being a natural solution, the fact that it completely seals the fabric in the case of earthen architecture can cause worsening results, as the natural humidity in the air cannot pass through the sealed earthen walls, and creates deposits that can dramatically damage the fabric. Gum lacquer, as a natural resin of animal origin, was frequently applied, as it penetrated well through the earthen fabric and has good adhesive strength (Schmid, n/d, p.6). Besides, its disadvantages are few compared with other natural treatments. Meyer (2008, p.147) mentioned that the use of natural cactus juice of the tuna-cactus could be a solution to conservation. Morales Gamarra has a different opinion (personal communication, 31/01/2008), mentioning that the proposed treatment had already been applied in Huaca de la Luna, in Peru, but results had not been satisfactory. c) Synthetic organic consolidants Schmid mentions that synthetic organic consolidants currently in use are “acrylic resins, silicone resins, etc” (n/d, p.2). Silicon resins are an organic material, transformed to become a synthetic consolidant (Schmid, n/d, p.2). Barrow mentions that in spite of performing well as water repellents in some of the test applications, over time it restricts “the evaporation of surfaces undergoing the capillary action of moisture that seeks to move both in and out of the material” (2009, p.343). As synthetic organic materials, acrylic resins have been widely applied in conservation since 1965. The fact that they are reversible, have no tendency to turn yellow, can penetrate easily, consolidate in humid conditions, and are easy to apply made them a commonly used material in conservation. Its major disadvantages are its instability when facing exterior variable conditions (Schmid, n/d, p.6). Alva Balderrama and Chiari do not advise the use of synthetic resins for surface treatment of outside walls: “Synthetic resins (i.e., acrylics, epoxies and polyurethanes) have been extensively proven to be ineffective, since they tend to form a film on the surface that presents physico-chemical characteristics too different from the untreated parts. With the exfoliation of this film and the detachment of the treated part, more damage is done to the surface to be protected than if it had not been treated at all” (Alva Balderrama and Chiari, 1995, p.105)

Fiero et al. also confirm that synthetic materials should be avoided (2000, p.34). This provides evidence that not all the organic materials are adequate solutions for preserving earthen heritage. In fact, there is no agreement about the use of synthetic resins as a surface treatment.

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Treatments should be undertaken only when needed as preventive measures, or to solve specifically diagnosed causes of deterioration. The choice of synthetic resin materials to apply in earthen consolidation and treatment is an important responsibility that can seriously affect the earthen fabric when an inadequate decision is made. This is why the decision-making should not be carried out by only one person, but should be a collaboration of the members of the conservation team. Additionally, treatments work better if walls are protected from rain, variations of atmospheric humidity, soluble salts and rising humidity (Hoffman, personal communication, 20/05/2008), which is very difficult to attain. In spite of complex treatments and procedures with higher costs, there is a substantial choice of possible treatments to apply. Nonetheless, there is a need for assessment of general conservation treatments. More specific literature should be published and made accessible to the general public, exposing findings, and outlining the advantages and disadvantages of the existing treatments.

3.3.4 Intervention through stabilisation of structures Conservation intervention in terms of stabilisation of structures is a vast research area. In the first part of this section, stabilisation is approached through a building structure perspective, in this case through the surface coating. In the following sections, structural stabilisation through some non-intrusive and intrusive techniques will be addressed. There are other conservation intervention methods that cannot be reviewed due to the limits of this investigation. a) Surface coating The use of surface coatings is also a common procedure of intervention. In previous years, when there was less knowledge about the bond between earth and cement, it was frequent to find cement mortars or cement capping in earthen structures. In 1995, Alva Balderrama and Chiari proposed the use of a capping of soil cement at the top of the walls, with an amount of Portland cement not exceeding 10% (1995, p.105). Palma Dias had previously suggested the same approach for protection (1993, p.212). From 1959 to 1962, at the Tumacacori mission in the USA, it was also common to use “capping with soil-cement adobes” for the preservation of earthen structures (Barrow, 2009, p.344). Additionally, correcting basal erosion in earthen structures with bitumen or cement were also common measures (ibid., p.343). From 1963 to 1980, soil-cement continued to be applied at the mission, but as shelter coats (ibid., p.344). Some authors advocate the use of earthen mortar stabilised with cement.

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For instance, Warren suggests its use, but only if it is not subjected to fluctuation of live loads (1999, p.116). Alva Balderrama and Chiari, in 1995, sustained their argument with reference to a published paper that presented good results (Torraca et al., 1972, cited by Alva Balderrama and Chiari, 1995, p.105). However, at present this approach is not entailed due to several medium and long-term failure results. An example of failure is the Larabanga mosque in Ghana, classified in 2003 by World Monuments Watch after being covered in the sixties by a cement plaster that brought the monument to a state of almost ruin with collapsed components in 2002. The cement capping contributed to “entrapped humidity in the walls slowly and imperceptibly weakening the walls from within” (Ghana Museums and Monument Board, 2004, p.22). The difference from the previously mentioned arguments for the use of capping was the fact that the capping applied at Larabanga mosque was not stabilised with earth, but was made entirely with cement. In fact, several problems can arise from cement capping. Matero refers to the salt deposits brought by cement-based repairs and protections (1999b, p.224). Dalbin mentioned the fact that cement mortars can trap the moisture inside the walls, which saturates the earth material (2002, p.11). Faria Rodrigues also supports this evidence by referring to the condensation occurring in the interface between the wall and the rendering (2005, p.72), and Crocker states that: “Soft earth and hard cements cannot bond into a monolithic or even an inherently strong structure” (2000, p.2). The fact is that a substantial volume of cement in the earth mixture brings too much rigidity to the material. The disadvantages emerging from this are the lack of flexibility and, as highlighted by Warren, the crystal formation that “interferes with clay structure and can negate the cohesion provided by the clay component” (1999, p.115). Nowadays, after several tests and site experiences with damaged results, as can be checked on the several proceedings of Terra conferences (Terra 2000) (Terra 2003) (Terra 2008), there is finally a general consensus about not using cement capping on earthen architecture. Gypsum and lime are compatible materials within earth-based mortars. They create softer plasters than cement, and produce a chemical bond with earth, especially slaked lime or hydrated lime. These advantages provide interest for several research projects and theses that advocate their use (Kanan, 1995) (Faria Rodrigues, 2005). At the present time, the use of gypsum and lime is also being advocated by some conservators as being a safe option. Nevertheless, there are references (Warren, 1999, p.114) to the fact that the nature and activity of clays, if present in the earth mixture, have influenced the lime plaster carbonation. In countries without lime

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plaster tradition, or without limestone (and with difficult access to lime) other solutions have to be foreseen. Earthen mortars have been applied in several structures and sites (Joffroy et al., 2004) (Joffroy et al., 2005) (Guillaud et al., 2008b). It is considered a non-intrusive solution that became very applied in the last years. When profusely used in restoration, and if too thick layers are applied, it can carry further problems, especially facing earthquakes. This was the case in Bam’s citadel, as several of the structures that collapsed with the earthquake had detachment of their plaster (Mokhtari et al., 2008, p.167). Earthen mortars can also be used to fill in thin and non-structural cracks and gaps. It is not the best solution for structural repair in areas subjected to major seismic activity, unless combined with other solutions. It should not be applied without considering the physical conditions of the structure or site, and criteria for intervention. b) Non-intrusive techniques Non-intrusive techniques can be guaranteed through different ways. One of the possibilities is to use cement, gypsum, lime, and earth, and apply them as “grouts, mortars, fillers and substrates in the repair of indented or damaged surfaces” (Warren, 1999, p.116). In terms of repair, structural grouting is a method that has been very investigated in earthen architecture research (Cancino and Matero, 2003) (Vatandoust et al., 2008) (Dandona et al., 2008). Grout, as mentioned by The New Shorter Oxford English Dictionary (Brown, 1993, p.1152) is considered “a fluid mortar used to fill gaps or interstices.” Grouting has raised so much interest that an “Interdisciplinary Experts Meeting on Grouting Repairs for Large-scale Structural Cracks in Historic Earthen Buildings in Seismic Areas” was organised (GCI, 2008d). Recent performance tests undertaken by the Catholic University of Peru (PUCP) brought attention to the promising results of this “ongoing experimental program, developed to explore the possibility of repairing structural cracks on adobe walls through the injection of soil-based grouts” (Vargas Newman et al., 2009, p.1). This research could help to significantly advance the techniques of repair and prevention of seismic induced cracks. Warren also provides other types of grouts for the stabilisation of earthen structures (e.g. pulverised fuel ash) (1999, p.117). As previously mentioned, the purpose of grouting is related to the filling in of “cracks and voids in order to prevent further infiltration and damage by water, and this it usually does. (…) another purpose is to re-establish structural integrity by readhering the separated parts of the structure” (Oliver, 2008c, p.110). This last intention is being researched by PUCP, but more long-term evaluation needs to be addressed. Additionally,

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the obtained results need to be crossed-compared with other research laboratories results, following the same procedures. c) Intrusive techniques Considering structural repair, some authors have been addressing intrusive techniques of structural stabilisation. In the south of Morocco, the Lehmexpress project applied strengthened measures at the Asslim Kasbah (Fahnert and Schroeder, 2008, p.249). When assessing results two years after the repair was undertaken, measures like “strengthening of the damaged structure using buttress reinforced concrete frame”, the use of “steel tie cables with buttress plates and turnbuckles” and stabilisation “of the vertical cracks using cement-embedded anchors (“needles”) (ibid., p.249) were presented as being successful, as two years later, no further cracks developed. Notwithstanding the present results, a medium and long-term evaluation of the undertaken actions should be carried out, as some of the results can only be judged with time. It could also be interesting to compare results from other actions taken elsewhere to combat the same cracking pattern. Jaquin et al. mention the existence of “little general published material on the structural stabilisation of rammed earth structures, although much has been published on new build techniques” (2005, p.6). For severe vertical cracking, he calls attention to the possibility of using bolted steel beam ties and grouted reinforcement bars inserted in walls. As a retrofitting technique he suggests “nylon strapping to provide tensile support across the crack” (ibid., p.6). The fact is that there are several invasive techniques that can be applied for structural repair. Some might not be the best solution when considering the guiding principles of conservation. Tolles et al. apply “repair methods based on criteria of stability (…) using tension-resistant reinforcement” (cited by Vargas et al., 2009, p.1). In some countries, due to very restricted standards, there are several intrusive techniques for nondecorated earthen walls, applied mandatorily on the retrofitting of historical structures. This is the case of some of the Californian historical adobe houses, in the USA, which are in some cases over retrofitted. However, and as stated by Jaquin, the fact that these intrusive techniques of structural retrofitting are recommended for historic masonry structures does not mean that they are suitable to be applied to earthen structures (2008b, p.29). The fact is that there are also other less intrusive or even non-intrusive techniques of retrofitting. Very intrusive techniques can put at risk the assessment of significance of this heritage.

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3.3.5 Summary of key issues when analysing intervention in conservation practice More critical literature and assessment of conservation is needed Reviewing the procedures of international conferences addressing earthen architecture conservation, it can be perceived that there is an increase in the publication of case studies repair papers. There is also, to a certain extent, a rise in bibliography review (GCI, 2002) (Demas, 2003) (Guillaud and Avrami, 2003) (GCI, 2003) (ICOMOS Documentation Centre, 2004). However, this review was developed more than five years ago and is not up to date with the most recent research and repair techniques. Thus, more comparative, analytical, and evaluative papers, as well as critical literature, are required to improve the quality of evaluation of conservation intervention. Lack of information or data collection preparation: It can be noticed that in several sites, for lack of information or data preparation, conservation coordinators tend to repeat procedures that did not work in other sites. This happens even if it is known that those procedures are incorrect. Lack of assessment of treatment procedures: If the procedures were already developed by other teams in other projects, why do conservators have a tendency to repeat the same procedures in conservation or in laboratory analyses? Is it connected with the fact that there is little communication and networking in earthen architecture research. As mentioned by Oliver, more standardisation of laboratory procedures is needed (2008c, p.117), as it is to cross-evaluate and assess produced data between research laboratories.

3.4. Conclusions There is inconsistent evidence and no general conformity on the best treatments or stabilisers to use. It is a fact that there is a lack of real assessment when comparing long-term results in different weather and temperature conditions. As mentioned by Oliver, there are several papers that “provide historical perspective (…) and contain information specific to the preservation of adobe and/or archaeological sites” (2008a, p.81). However, there is a lack of cross international comparison of results and further bibliography on conservation consolidants and stabilisers, specifically to earthen architecture. Papers by Guillaud and Avrami (2003) and Oliver (2008a, 2008b, 2008c) are some of the few published materials addressing this gap.

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There have been tests and procedures developed by research laboratories addressing intrusive materials for earthen heritage, such as steel, cement, or concrete components. Some of these materials when used for conservation in earthen heritage present very damaging results, which can occur due to a lack of general knowledge in addressing the compatibility of materials, local factors, and geographical-environmental specificities. There are solutions used up to the present time that appear to be an efficient choice for the consolidation and stabilisation of structures. However, further attention in conservation intervention should be paid in seismic areas, considering prevention and repair. The intrinsic characteristics of earthen architecture are different from those of other material heritage. Conservators should consider its specific characteristics when undertaking conservation consolidation and stabilisation treatments for earthen heritage. This is why a conservator of stone heritage will likely fail when conserving earthen fabric. To address earthen heritage, a conservator has to know the different techniques, ways of building, and needs to recognise and understand the local building culture, to know the composition and types of soils, additives, and consolidants specifically used in this type of architecture, but above all, has to know about compatibility of materials in earthen heritage. There is also the need to better address and relate conservation practice and conservation theory. In earthen heritage, there is a tendency not to accurately apply conservation principles or concepts in conservation practice. It is important to raise the state of art, as has happened with stone conservation, and analyse the state of significance of conservation theory in earthen heritage, a subject that will be analysed in chapter four.

CHAPTER R FOUR STATEE OF SIGN NIFICANC CE OF CON NSERVAT TION THEORY IN EART THEN HER RITAGE

Fig.4.1 – In thhe Dadès valleyy, in Morocco, the Ksar of Aïït Ben Moro waas recently rehabilitated ((credits: Marianna Correia, 200 06).

4.1 Introd duction In spite of the publisshed informattion on the suubject of architectural conservationn, little attenttion is focuseed on earthen heritage con nservation practices baased on architeectural conserrvation theoryy. This chapteer aims to give a view w of conservvation philossophy/theory, through thee earthen architecture perspective. In spite of th he complexity of related isssues, it is essential to dedicate significance to thee framework of conservatio on theory in earthen aarchitecture. The T first part of this chapteer explains the need to relate the ffield of conseervation with earthen heriitage; the seccond part

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includes the recognition of principles embodied in international conservation charters and guidelines. The third part encompasses degrees of intervention in conservation and ethical intervention. Finally, a review of the significance of implicit values and of factors that enhance values was undertaken. Therefore, this review of literature concentrates on the conservation concepts that have significance to the fragile earthen heritage. By giving value to a specific conservation framework, efforts towards a conservation approach will have more consistency and foundation.

4.2 The need to address a conservation theory framework Feilden and Jokilehto refer to the importance of properly interpreted conservation, “in the particular situations arising in each specific case” (1998, p. vi). Despite thorough research, there has not yet been sufficient investigation on earthen heritage and conservation theory. Most of the literature concerning earthen heritage conservation is approached from a practical and methodological viewpoint. Conservation theory is rarely taken into consideration, although a few examples of publications can be mentioned (Warren, 1993, 1999) (Vegas López-Manzanares and Mileto, 2001), as well as several isolated papers (Jokilehto, 2003) (Correia and Fernandes, 2006) (Correia, 2007b). Most of the analysed literature presents different viewpoints and reflections. It is important to recognise a clear framework for systematic analyses into the subject, but also to give responsibility to conservation professionals for their actions. Brock-Nannestad explains this very well when he states that conservation theory must provide: “A well-founded action regarding the physical entity that it is desired to keep available to present and future utilisers. Problems such as authenticity before and after treatment and the source value of the physical entity must be handled in such a way that persons responsible for decisions and for carrying them out may feel a security in having handled matters in a conscientious and responsible manner. There must be no doubt as to the consequences of an action (or its omission).” (Brock-Nannestad, 2000, p.22)

4.3 Principles observed in charters of heritage and international guidelines Architectural conservation is a complex procedure, as the conservation work usually has to be carried out when the building is still in use, and

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should avoid compromising the lives of the people inside. In addition, there is a normally a large number of people comprising the interdisciplinary team of professionals involved in the conservation interventions, as well as in the financial cost of planning and management of the project. These generally related to the complexity of the conservation project. All of the above have ethical implications concerning attitude and behaviour of all the professionals. Consideration of an adequate conservation approach, as well as the definition of the most important principles of conservation, must be taken into account.

4.3.1 Conservation Principles Several principles can be taken into consideration as guiding rules for the conservation of earthen heritage. Orbasli stated that: “Conservation philosophy today advocates a values-based approach” (2008, p.51). Following are some of the major principles that should be taken into consideration: a) Authenticity One of the most essential principles concerning cultural heritage is that one must ensure authenticity of the materials used, its form, and equally, the nature of the conservation intervention. The annual maintenance applied in the mosque of Djenné, in Mali, is a good example of the application of the authenticity principle. Despite repetition through the years of conservation procedures, the same form/shape, material (earth) as used on the original structure was maintained. However, the notion of authenticity should not be reduced uniquely to technical and formal aspects. The Nara document on Authenticity embraces other perspectives of understanding authenticity through social and cultural values of societies. This is emphasised in its Art.13, “depending on the nature of the cultural heritage, its cultural context, and its evolution through time, authenticity judgements may be linked to (…) form and design, materials and substance, use and function, traditions and techniques, location and setting, and spirit and feeling (…)” (ICOMOS, 2004, p.118). Understanding the different aspects of authenticity plays a fundamental role when approaching it through the earthen heritage perspective. Orbasli enhances the fact that in the western world the genuine fabric and its material form are of greatest importance, whilst in other cultures the sense of place is more important for the achievement of authenticity (2008, p.52). This sense of place is fundamental to understanding the notion of authenticity of the Dogon community living in the Bandiagara landscape dwellings, in Mali (fig.2.1). It also relates to the intangible value

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of the structure or site through the local population view. This occurs in the case of the Tomb of Askia, in Gao, also in Mali (Joffroy et al., 2005, p.12). The highly symbolic and spiritual values associated with the monument use result in maintenance practices by the community. The principle of authenticity is one of the most important conditions in terms of the reliability given to the reading and perception of cultural heritage. b) Integrity In general, the principle of integrity is related to the notion of the structure or site as a whole, entire and indivisible. According to Art.8 from the Venice Charter, materials and components “may only be removed from it, if this is the sole means of ensuring their preservation” (ICOMOS, 2004, p.37). The Operational Guidelines for the Implementation of the World Heritage Convention, in Art.88 define integrity as “a measure of the wholeness and intactness of the (…) cultural heritage” (World Heritage Centre, 2008, p.23). This also explains why the physical fabric of World Heritage sites should be in good condition and have their deterioration process controlled (Art.89, ibid., p.23). The principles of authenticity and integrity are major conditions for a site to be recognised as a World Heritage site. The continuous loss of earthen fabric, as has happened in the earthen complex of Chan Chan, in Peru jeopardises the evaluation of its condition of integrity. c) Minimum Intervention This principle of intervention was enhanced by the Burra Charter (Earl, 2003, p.166), and by Philippot and Feilden (2003, p.6). When following the principle of minimum intervention, it is indispensable to research and acquire a good knowledge concerning the object, material and its techniques, so that adequate interventions with minimum materials and resources can be applied. Minimum intervention can rely on protecting earth structures at the top (capping) and surfaces, with compatible materials. The principle of minimum intervention facilitates the reversibility of the intervention, as well as the preservation of its authenticity. Both the minimum intervention and the reversible principles are important to take into consideration, as they encourage the retention of the earthen fabric and the preservation of the settings of the structure and site, with minimum impact. In the Kasbah of Aït Ben Moro, in the Dadès, in Morocco, the use of the original material and application of a minimum intervention principle, returned integrity and authenticity back to the structure. These were the criteria followed by Faissal Cherradi who was responsible for the project, when returning significance to the original structure.

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d) Reversibility Reversibility is one of the most pertinent principles nowadays. The use of procedures to ensure the distinction between the original structure and the conservation intervention (applying different tones of earth, a different material layer, etc.) facilitates reversibility, particularly if the intervention is done with rigour and care. Nevertheless, the selection of adequate procedures that ensure reversibility of conservation interventions in earth architecture is one of the most difficult measures to apply, as many new materials can damage the original structure in the mid and long-term, as is the case of cement plasters. If there is a chemical bond between materials, the reversibility principle can also be compromised. Alva Balderrama and Chiari mentioned that when applying chemical products as treatments to consolidate walls, even when those are considered reversible, it has proven to be very difficult to extract them from mud brick (1995, p.106). This is also the case if earth is mixed with lime, as lime carbonates through time, becoming more difficult to separate. On the other hand, this is one of the desirable characteristics for its use in the conservation of earth structures. Therefore, the efficiency of materials that protect earth architecture can go against the reversibility principle. e) Unity Following Brandi, the character of unity is developed through the notion of reading the object as a whole, whilst respecting its different parts (2006, p.13). During intervention, one should take into account what is suggested by the potential unity of the site, without compromising its parts, but also considering the demands of its historical and aesthetic aspects. Correia and Fernandes confirmed the same, by stating that earthen cultural heritage should be assessed by taking into consideration the principle of unity, and acknowledging the components of the site as a whole (2006, p.238). One should not see unity as the transformation of the site to one single time period. The Huaca de la Luna conservation intervention is one of the few good examples of proper conservation of a site that presents different time periods by respecting their different characteristics, whilst maintaining the principle of overall unity of the site. Brandi supported this principle, as referred to by Morales when addressing principles of conservation in the Huaca de La Luna project (2007, p.263). f) Universality The principle of universality has been applied since the Paris Convention in 1972, during which it was established that cultural heritage of extraordinary significance would be classified as world heritage,

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belonging to humankind and acquiring a universal significance. The principle of Universality is based on the safeguarding of heritage by a common responsibility, by preserving it for the next generations. This is the case of sites classified as World Heritage sites, such as Joya de Ceren Site in El Salvador, Pueblo de Taos in the USA, the Old Towns of Djenné and Timbuktu in Mali, among several others.

4.3.2 Charters of heritage and international guidelines Several Charters and International Guidelines were created during the 20th century and beginning of the 21st century. For this study, just the most important charters and international documents related to conservation of earthen architecture are analysed below. a) The Charter of Athens (1931) This is the first international document concerning general principles for conservation and restoration of historical heritage. González-Varas notes that Art.2 presents with clarity a general tendency to abandon the integral restitution giving significance to a “regular and permanent maintenance” (2005, p.467), this being a more efficient measure. This assures the conservation of monuments, as well as “the use of the monuments”, which will guarantee their “vital continuation”. In earthen heritage, this has crucial importance, as earthen structures that are not in use and are not regularly maintained will have increased decay than the ones that are. b) The Charter of Venice (1964) Because of its rigour and clarity, the International Charter for the Conservation and Restoration of Monuments and Sites continues to be universally accepted. One of its orientation principles is the duty of humankind to transmit historic monuments to future generations in the “full richness of their authenticity” (ICOMOS, 2004, p.37). Art.1 of the Charter of Venice refers to the equally significant value of “great works of art” and more modest works, if they “acquired cultural significance with the passing of time”. Art.3 also calls attention to the importance of conserving and restoring monuments by safeguarding them “no less as works of art than as historical evidence”; reinforced by Art.9, where it states: “its aim is to preserve and reveal the aesthetic and historic value of the monument”. In the Dadès valley in Morocco, the Kasbah Ait Ben Moro, built in the 17th century, went through a rehabilitation of its rooms, as well as a physical “restoration” of the building fabric and structure (Correia, 2007b, p.205). The result was a balance between the building

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conservation outcomes as a work of art, and the respect of ancient forms and historical significance, taking into consideration the original material, the ancient elements, and its authenticity based on historical evidence. Art.10 states: “Where traditional techniques prove inadequate, the consolidation of a monument can be achieved by the use of any modern technique for conservation and construction, the efficacy of which has been shown by scientific data, and proved by experience.” (ICOMOS, 2004, p.37)

In 2005, the castle of Paderne in the Algarve, south Portugal, was consolidated using a new technique imported from the United States. To consolidate the original structure from the almoade period of the 13th century (Correia, 2004a), projected earth was used - a technique considered non-intrusive by the people responsible for the conservation intervention (Cóias e Silva and Costa, 2006). Thus, Feilden states that whenever it is not appropriate or is difficult to use traditional methods to consolidate, they should be substituted by modern techniques, if they are reversible and have previously been experimentally used in a comparable project facing similar weather conditions (2003, p.viii). In this case, the technique had been applied before in the conservation of earth monuments in the American missions in the southwest of the United States. However, the weather in New Mexico, USA is much drier than in the south of Portugal, which has a more humid climate. This fact will probably result in different consequences, considering the long-term effects of weather conditions in the earthen structures. Art.12 refers to the fact that “replacements of missing parts must integrate harmoniously with the whole, but at the same time must be distinguishable from the original, so that restoration does not falsify the artistic or historic evidence” (ICOMOS, 2004, p.38). In the literature concerning Alcácer do Sal Castle conservation procedures, Trindade Chagas refers to this matter, emphasising the need for a better visual recognition by the visitors, of parts of the walls with filled gaps. He indicates that repaired walls will be properly signposted through the affixation of a ceramic plaque with appropriate information. Information panels will also be placed along the footpath (1985, p.181). It is also mentioned that new sections will be identified through a different texture, to be able to distinguish between the ancient and the recovered facing (ibid., p.181). In fact neither of these measures was carried out. Thus, it is interesting to note a clear distinction from what the author wishes to carry out and what takes place. This difference happens frequently when

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analysing the conservator’s approach. Several times, conservators will explain the methodology that they wish to follow, but not the real results of the carried procedures or the chosen criteria applied in practice. It is also important to mention Art.14 of the Charter of Venice: “The sites of monuments must be the object of special care in order to safeguard their integrity and ensure that they are cleared and presented in a seemly manner (…)” (ICOMOS, 2004, p.38). This can be observed in Taos Pueblo, in New Mexico, USA (fig.10.1). The installation of sanitary systems gave back significance to the site’s value as a place for the local Native American community to live in, which in this case created cleaner site surroundings. Giving significance to the environment of the site allowed a better balance of the site with its landscape. This did not happen in the city of Djenné in Mali. In spite of being listed as World Heritage, the old town has an open sewer system and lack’s a proper cleaning of the city surroundings, creating an unbalanced relationship with the environment. Additionally, at present, in Taos Pueblo, the systematic cleaning and maintenance follows Art.4: “It is essential to the conservation of monuments that they be maintained on a permanent basis” (ibid., p.37). This is also possible due to the fact that Taos Pueblo is inhabited, which is essential for keeping continuous maintenance. c) The Norms of Quito (1967) Dedicated to conservation and the use of monuments and sites with an historical and artistic value, specialists from Latin American countries created recommendations of great importance, in particular to the future of Latin American cultural heritage. Taking into consideration progress in the process of economic and social development, one of the most important issues is the double value of cultural heritage: as economic value and as an instrument of progress (González-Varas, 2005, p.501). Thus, heritage can also be considered an instrument of progress. Underlining the dangers of accelerated development, Art.3.4 “entails the expansion of infrastructure and the occupation of extensive areas by industrial installations and constructions that tend to alter and even totally disfigure the landscape (…)” (ICOMOS, 1996). This was the case of several of the Huacas, in Peru, especially if located inside cities. Huacas are pre-Colombian ceremonial adobe structures. Some located near Lima started to decompose and became ruins through time without proper maintenance and protection. Several of them, surrounded by urban pressure, even became places for rubbish disposal. Dedicated to the relation between monuments and tourism, Art.7.4.a acquires more importance, as “the tourist traffic deriving from the suitable restoration of the value of the monument ensures rapid recovery of the

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capital invested for that purpose” (ICOMOS, 1996). This article is applied in Huaca de La Luna, near Trujillo, in Peru. The tourism development and access to the site allows financial independence to fund the conservation practices. A sustainable management of the project was just possible by the balance between archaeology, conservation, and cultural tourism, through a planned strategy of research, conservation, and relevance of the site for tourism. d) The UNESCO World Heritage Convention – concerning the Protection of the World Cultural and Natural Heritage (1972) It was this convention that established the necessary requirements for cultural assets to become “world heritage of mankind” if candidatures could prove their “Outstanding Universal Value”. The Paris Convention is composed of an extensive document (ICOMOS, 2004), which defines the criteria to be followed for cultural heritage to be integrated into the World Heritage List. In Art.1, the notion of cultural heritage is classified in three cultural assets groups, as: monuments, groups of buildings, and sites. Art.2 gives equal significance to “natural heritage”, which becomes of crucial importance, as natural and cultural heritage are for the first time regarded as equals. This convention brought equal standards to the different types of heritage. In particular, it gave relevance to heritage built with less acknowledged materials, like earth architecture, but it also gave significance to natural heritage being as important as cultural heritage, and the importance of safeguarding it. e) Declaration of Nairobi – Recommendation Concerning the Safeguarding and Contemporary Role of Historic Areas (1976) Dedicated in particular to the safeguarding of historic and traditional settlements and their integration in contemporary life, its principal contribution resulted from the definition of “historic and architectural (including vernacular) areas and their surroundings”. Article 1 (a) includes “any groups of buildings, structures and open spaces including archaeological and paleontological sites, constituting human settlements in an urban or rural environment, the cohesion and value of which, from the archaeological, architectural, prehistoric, historic, aesthetic or sociocultural point of view are recognised” (UNESCO, 1976, p.1). This wider definition gave more significance, especially to vernacular groups of dwellings. As a consequence, more applications for World Heritage sites started to be submitted. That was the case of the Dogon country region, on the Bandiagara landscape, in the centre-east of Mali. The remarkable Dogon architecture is mostly built from moulded earth and is located in a rocky landscape with very difficult access. The Dogon

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country was listed as a UNESCO World Heritage site in 1989 (Schmidt et al., 2008, p.15). It was after this Charter, that planning systems became compulsory for the management of world heritage sites. For earth heritage sites, this was of major importance, as the rate of decay is faster if compared with stone heritage. According to the Declaration of Nairobi, the planning of the required documentation and program are fundamental components for safeguarding measures. They should prevent possible failure and ensure better criteria in the application of these preventive measures. However, this does not always happen in earthen heritage conservation, as plans are not always implemented, as mentioned in section 2.3.5. f) The Burra Charter, Australia – for the Conservation of Places of Cultural Significance (1979) This was created in 1979, and revised in 1981, 1988, and 1999 (Earl, 2003, p.164). In spite of being created by ICOMOS Australia, it was raised to international status. This charter provided the chance to express concepts, such as “cultural significance” of a site, and to give them meaning such as enriching “people’s lives, often providing a deep and inspirational sense of connection to community and landscape” (ICOMOS, 2004, p.62). It also recalls that the significance referred to should be expressed as a whole, and that a conservation plan should be planned and justified in detail before any intervention takes place. Also important is that the Burra Charter advocates “a cautious approach to change” (ICOMOS, 2004, p.63), defending the minimum intervention approach, as cultural significance might be altered due to too much intervention. Several authors have based their approach to conservation extensively on the provisions of the Burra Charter. The enhancement of cultural significance and the sequence of steps (investigations, decisions and actions) taken when applying the Burra Charter process provide the framework for the actions of intervention (Stanley Price, 1990, cited by Demas, 2002, p.152) (Teutonico and Fulco, 2000, p.vii). g) Washington Charter - Charter for the Conservation of Historic Towns and Urban Areas (1987) The Washington Charter defines the principles to protect historic towns and urban areas. One of the articles relevant to earthen architecture is Art.2, referring to the importance of “all those material and spiritual elements that express this character” (ICOMOS, 2004, p.98). In the case of earthen architecture, earth and the symbolism associated with the architectonic elements that compose its spiritual character are of great

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significance, in particular with architectural elements moulded by hand, recognised in several African cultures. Related to urban surroundings, Art.2.d refers to the importance of “the relation between the town or urban area and its surrounding setting, both natural and man-made” (ibid., p.98). A good example is the town of Figuig, located in a desert oasis in the southeast of Morocco, 2km from the Algerian border (Correia and Achenza, 2006, p.124). It has a good balance between the surrounding settings and the urban tissue. The town of Figuig is based on a traditional agrarian system that collects water from local springs by subterranean man-made tunnels. Water is transported underneath the oasis directly to the ksour, inside the town. In Figuig there are seven ksour, which are fortified agglomerations of residences contained within walls where an extended family can reside. According to Art.3, residents should be involved in the conservation program. In Figuig, the municipality understood that to better achieve good results in the conservation of Figuig, the population had to be involved. Therefore the municipality encourages the best practices of construction and maintenance amongst the population, not just by supporting local associations, but also by helping locals with material resources or demonstration projects (Correia and Achenza, 2006, p.127). h) Lausanne Charter - Charter for the Protection and Management of the Archaeological Heritage - ICOMOS (1990) This Charter takes into consideration the special needs for the protection of archaeological heritage. It states that the protection of archaeological heritage “requires a wider basis of professional and scientific knowledge and skills. Some elements of the archaeological heritage are components of architectural structures” (ICOMOS, 2004, p.104). In the World Heritage site of Chogha Zanbil, Iran, this principle was certainly applied (Chogha Zanbil, 2003). Several researchers and experienced professionals are working in an interdisciplinary and complementary way. This is possibly due to the need to study, record and compile the inventory of each element and material, the need to develop innovative research for archaeology and conservation, to train local and national conservators, and to apply maintenance measures into the ziggurat among several other actions. This work is just possible due to the collaboration of professionals from different backgrounds, such as archaeologists, conservators, architects, engineers, material specialists, information technicians, etc.

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i) Nara Document on Authenticity (1994) This charter acknowledges authenticity, as one of the most important principles to take into consideration, as it relies on the “values attributed to the heritage” and our “ability to understand these values” (ICOMOS, 2004, p.118). The significance of this principle on conservation of cultural heritage has risen through the years and become of major importance, which led to the creation of a charter to promote it. Earthen architecture is much integrated in values of social community, where inhabitants give higher significance and symbolism to some buildings, behind their historical value. When addressing conservation action, it is important to take into consideration the continuity of tradition throughout its “ramifications of traditional methods, continuity of skills, social stability, local employment and local pride (Warren, 1999, p.112). All of these embrace cultural values that are important foundation values in some societies. j) International Charter on Cultural Tourism (1999) This charter gave importance to the interaction between tourism and cultural heritage. The charter clarifies that tourism is increasingly becoming “appreciated as a positive force for natural and cultural conservation”, as it is “generating funding, educating the community, and influencing policy” (ICOMOS, 2004, p.139). The organisation of the ninth International Conference on the Study and Conservation of Earthen Architecture, that took place in November and December 2003 in Yazd, Iran, and the tenth International Conference on the Study and Conservation of Earthen Architectural Heritage, in February 2008 in Mali, had the involvement of the Department of International and Cultural Relations of Iran (Terra 2003, 2003) and the Ministry of Culture of Mali (Terra 2008, 2008). It was interesting to note during the event in Yazd, the deep involvement of the municipality and local communities in conserving the historic centre, as well as the application of best practices on the urban tissue. The media was also deeply involved in interviewing and reporting the reasons for organising such an international event in Iran. Consequently, there was great interest by the local communities to be more engaged in conserving their earthen heritage. In Mali, the involvement of imams on the conservation of the mosques, their presence on the local visit to Mopti and Djenné mosques during the post-conference tours involved local people and raised great interest for the protection of their own heritage. The organisation of this kind of international conferences is a clear example of how international cultural tourism can become relevant in national terms. As a result, there is improvement of measures to better protect and conserve cultural heritage,

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but also a clear positive impact into the community in financial and cultural terms. k) Charter on the Built Vernacular Heritage (1999) The charter on the built vernacular heritage brought relevance to the protection of vernacular heritage, a form of heritage that until recently was not even considered worthy of preservation. The charter clearly defines that “vernacular heritage is the fundamental expression of the culture of a community, of its relation with its territory and, at the same time, the expression of the world’s cultural diversity”, calling particular attention to the fact that vernacular structures are “extremely vulnerable, facing serious problems of obsolescence, internal equilibrium, and integration” (ICOMOS, 2004, p.150). These threats and forces that affect this fragile heritage oblige societies and communities to engage in its protection. This charter defends the recognition of the vernacular heritage, establishes principles to take into consideration in conservation approach, and outlines guidelines relevant in conservation practice. The last article of the charter, Art.7, refers to the importance of training to conserve the cultural values of vernacular expression, and how engaged “governments, responsible authorities, groups and organisations” should be (ICOMOS, 2004, p.151). A good example of its application is the conservation works carried through by professional training schools, for instance in Portugal and Italy, as in the case of the experiences presented by Lacerda Cabral (2005), Correia and Merten (2005) and Petagna (2006). This effort to train people in traditional construction is applied in courses directed to the conservation of earthen vernacular structures, having as a premise several of the principles and guidelines defined in this Charter. l) The Charter of Cracow (2000) For the conservation and restoration process of the built heritage, the Charter of Cracow addresses important issues such as memory, bearers, diversity, and processes of continual change, conservation plans and restoration plans (Charter of Cracow, 2000, p.1). Intervention is also addressed, underlying the important process of taking “decisions, selections and responsibilities” (ibid., p.2). This Charter also calls attention to the process of heritage conservation through maintenance and repair, and through a “restoration project”. For the first time, a consistent guideline concerning the organisation of data collection is suggested, by following a “systematic research, inspection, control, monitoring, and testing process. Possible decay has to be foreseen and reported on, and appropriate preventive measures have to be taken” (ibid., p.2), as well as a long-term strategy for conservation. In the case of earthen architecture, a

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monitoring system is rare and not systematically implemented, adapted to the site context. In most cases, the conservation process is not required to take into consideration a long-term plan of conservation. During the postconference tour of Terra 2008, in Mali, this was one of the aspects mentioned by the architect Gisele Taxil, as having been missing to the Mopti mosque conservation process. In contrast is the conservation project of Huaca de la Luna, in Las Huacas del Moche, in Trujillo, north of Peru. In this case, the monitoring, control, testing and research are daily procedures. Conservation strategies were also well established when preparing the management plan of the site. The terms of the “restoration project” referred in Art.3 of the Charter of Cracow, was also consistently adhered to in this site, taking into consideration the interdisciplinary approach (Morales Gamarra, 2007, p.264). This was mainly made possible through a real “cognitive process of gathering knowledge and understanding” of the site (Charter of Cracow, 2000, p.2), which is carried through by the co-ordination of qualified persons well trained in conservation, as in Huaca de la Luna. Additionally, Art.10 consigns value to conservation/preservation techniques, insuring compatibility between existing materials and the chosen intervention. As observed in Fig.1.1, the choice of cement plasters was not the best option, as they are not compatible with the earth material. Several authors and published scientific papers refer to this incompatibility, e.g. the case of Terra 93, Terra 2000 and Terra 2003 proceedings. In addition, Art.10 highlights the importance of improving knowledge of traditional materials and techniques. Previously, Feilden and Jokilehto had urged that value should also be given to compatible traditional components of cultural heritage (1998 p.70). Finally, reference should be made to three other significant aspects of the Charter of Cracow: management, training and education, and legal measures. These issues become especially relevant when protecting, enhancing and integrating cultural heritage into the community. m) Principles for the Analyses, Conservation and Structural Restoration of Architectural Heritage (ICOMOS, 2003) This document of principles describes the steps for addressing the conservation process. It is one of the first international documents clearly developed in two complementary sections: the first, defining the “principles, where the basic concepts of conservation are presented”; and the second developing the “guidelines, where the rules and methodology that a designer should follow are discussed. Only the principles have the status of an approved/ratified ICOMOS document” (ICOMOS, 2004, p.172). The first part of the document addresses principles in general

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criteria, in research and diagnosis, in remedial measures and controls. The recommendations ensure that guidelines can be followed in general criteria, in the acquisition of data: information and investigation, in structural behaviour, in diagnosis and safety evaluation, in structural damage, in materials decay, and in remedial measures (ICOMOS, 2003). This document also assigns importance to recommendations, as they provide “rational methods of analysis and repair methods appropriate to the cultural context”, not replacing “specific knowledge acquired from cultural and scientific texts” (ICOMOS, 2004, p.172). It is a very important issue, as it embraces a wider and holistic approach, considering each cultural context. This also confirms how important it is to develop appropriate guidelines for the conservation of earthen architecture, as the lack of a formal and recommended international document presents a major gap in the preservation of earthen heritage.

4.3.3 Summary of key issues when analysing principles observed in charters of heritage and international guidelines It is interesting to note that principles in conservation of earthen architecture are one of the few conservation theory issues with some specific literature, for example Warren (1999), Talebian and Hassan (2003), Gandreau (2005) and Morales Gamarra (2007). The use of principles can also be identified in literature that wants to justify procedures, such as Bedaux et al. (2000, p.204). However, it is a recurrent theme in the reviewed literature that conservators mix principles and values when looking for a theoretical framework to justify their actions. Principles are also applied as criteria for addressing conservation practice. In addition, it is noted that sometimes methodology is addressed by the writers when they meant to approach conservation theory (Morales Gamarra, 2007) (Gandreau, 2005). There is no strict definition of criteria in conservation. The Nara Document specifically states in Art.11, the fact that it is “not possible to base judgements of values and authenticity within fixed criteria” (ICOMOS, 2004, p.118). Thus, criteria in conservation depend on the project, its objectives and framework, available resources, etc. Several other charters refer to this situation. It is important at this stage to distinguish between “criteria in conservation” and “criteria for intervention”. Having established the first concept, it becomes relevant for the research to recognise criteria for intervention in earthen heritage. It is also evident that the Charters have become a relevant tool in the protection of cultural heritage. The different charters, documents,

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recommendations, and guidelines created subsequent to the Charter of Venice complemented it, and through the years provided more consistency to the significance of heritage and its protection and preservation. The notion of heritage and conservation became more widely known, and their meaning was expanded. Nevertheless, there was still a too theoretical and general approach recognised on the charters, which brought some scepticism. The guidance provided by the charters was considered in some cases too generic, which could lead to dubious interpretation. Orbasli confirms this perspective, and calls attention to other issues such as the problem of translation of the charters and the difference between western and non-western perspectives, etc. (2008, p.22). The effort required to ensure that the earthen heritage survives the 21st century might just be found through taking account of Art.7 of the Quito Charter, in which it is claimed that a significant return to value of heritage sites can be achieved through promoting cultural tourism. This must be done without forgetting the importance of adapting the universal nature of heritage doctrines to account for each country’s cultural characteristics. Finally, it is important to state that a thorough literature review confirms that earthen architecture did not have specific Charters, norms, principles, documents, nor international recommendations developed by ICOMOS or UNESCO. There are only recommendations produced at the end of each Terra conference. Therefore, there is a need for further research in order to suggest specific recommendations for the preservation of earthen architectural heritage.

4.4 Degrees of intervention It is fundamental to provide certain conceptual definitions, concerning concepts explicit to the context and with specific common vocabulary. The inadequate use of terms can create confusion and misunderstanding. For instance, Jiyao and Zhen applied the terms restoration and conservation when addressing inventory and study of the ruins of the Jiaohe Ancient city in China (1993, p.167). Conceptual definitions are needed in order to better recognise the significance of certain elements or terms, and to bring clarity to communication. It is common to find inconsistencies between the concept’s meaning, the interpretation and the conservation practice. These will provide better comprehension during the development of the body of theory. Finally, it will bring consistency to the research.

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4.4.1 Conservation Feilden states that conservation is “the action taken to prevent decay” (2003, p.3), but also deterioration and dynamic management of change, embracing all the acts that prolong the life of the cultural and natural heritage. The Canadian Code of Ethics defines conservation as all the actions that are developed with the objective of safeguarding the cultural property for the future (Earl, 2003, p.191). Equally important to refer to is the fact that in conservation, preservation of heritage materials is important to maintain the integrity and authenticity of the structure. Matero underlines that the conservation process should be “governed by absolute respect for the aesthetic, historic, and physical integrity of the work, and one requiring a high sense of moral responsibility. Inherent is the notion of cultural heritage as a physical resource that is valuable and irreplaceable - an inheritance that promotes cultural continuity” (2000, p.n/i). In 2003, Matero adds that conservation is “the relational study of the causes of deterioration and interventions based on scientific method” (2003, p.40).

4.4.2 Degrees of intervention in conservation The Charter of Cracow in 2000 defines that conservation approaches have different types of intervention. They can relate in heritage to decision, selection and responsibility of the degrees of intervention in conservation. The Burra Charter also mentions in Art.2.2 “the aim of conservation is to retain the cultural significance of a place” (ICOMOS, 2004, p.64). It can include maintenance and “may according to circumstance include preservation, restoration, reconstruction, and adaptation, and will commonly be a combination of more than one of these” (Orbasli, 2008, p.47). Following are some summary explanations concerning different conservation degrees of intervention. a) Preservation Following González-Varas, preservation is used in a similar way to conservation, although preservation focuses more on preventive measures to avoid damage or danger to the cultural heritage (2005, p.543). The Canadian Code of Ethics maintains that preservation is all the actions that are developed to delay deterioration and to prevent damage to cultural heritage (Earl, 2003, p.192). This relates to the management of the environment of the structure that one should try to keep as constant as possible throughout the assessment of its physical condition. In earthen heritage, it relates in general to the preservation of the material in physical

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terms, but it also concerns the application of preventive measures aimed at putting the structure or site in a state of minimum risk. b) Restoration The Charter of Cracow defines restoration as an intervention directed at a heritage asset, for which the objective of the community is to conserve its authenticity and protection. Warren states that restoration is part of conservation, as it is considered the continuation of conservation treatment when the latter is insufficient, “to the extent of reinstating an object, without falsification, to a condition in which it can be exhibited” (1999, p.vii). It is important to mention the difference between the Anglo-Saxon interpretation and the French and Italian (Latin) interpretation of the term restoration. The former has a more restricted definition, which relates to the reintegration of elements giving significance to the original material. Orbasli mentions that in the “English language, restoration is often used synonymously with reconstruction” (2008, p.50). The term is associated with major and minor interventions of rebuilding to unify a building. In the Latin interpretation, the term restoration is applied similarly to the way the term conservation is applied in the Anglo-Saxon interpretation. Besides, restoration is considered to be a process through which conservation policies are applied, which is just possible by a thorough collection of data in order to reach a profound knowledge of the building (e.g. archaeological or documental evidence). The restoration of the houses of Romeiros in Alcácer do Sal, south of Portugal (Correia and Merten, 2000) was based on the study of the original material and elements, such as the traditional typology of the local rammed earth. Its study and analysis allowed a restoration intervention, with the most possible integrative approach. c) Reconstruction Sometimes, due to incidents like fire, earthquakes, or war, it becomes crucial to reconstruct a structure with new materials. It is important not to use a fake patina of time, as one should recognise that it is not the original material, in spite of a rebuild with documental rigour. Reconstruction can even have a symbolical character, such as the Navrongo Cathedral in Navrongo, Ghana. This is one of the few earthen cathedrals of clear European influence (Joffroy, 2004, p.3), which had a bell tower dismantled in 1995 due to structural problems. Soon after, the tower was reconstructed, respecting the original shape, by a mason “with good knowledge of traditional techniques [which] allowed him to imitate the existing methods. However, can it be considered that dismantling and reconstructing the bell tower followed international conservation

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concepts? In this case, reconstruction is justified for social and cultural reasons and by the significance associated to the cathedral, as well as in terms of the identity of a community. In the citadel of Bam in Iran, some of the structures were also rebuilt after the 26th December 2003 earthquake. These interventions are based on collections of rigorous data produced previous to the earthquake. On the Latin interpretation, reconstruction is associated with the total rebuilding of a structure. Notwithstanding the symbolic value, in general it has a negative connotation that can be justified following catastrophes. In the Anglo-Saxon perspective, besides the total rebuilding, reconstruction can also relate to the re-inclusion of missing parts. As previously mentioned, in the Anglo-Saxon interpretation reconstruction can be a synonym of restoration. d) Consolidation Consolidation is the application of materials to the original structure in order to assure the durability of the structure. Nevertheless, the respect of the structural and formal integrity of the asset becomes a fundamental issue in consolidation. Orbasli refers to consolidation as the “physical interventions undertaken to stop further decay and structural instability” (2008, p.211). An example of consolidation in these terms was the intervention in 1995 by the General Direction of Buildings and National Monuments in the castle of Moura in Portugal. Gaps on the castle walls were filled in, as they could have set the original structure in danger, and affect the formal integrity of the structure. Some conservators refer to restoration as consolidation. These happen in some Spanish Castles, such as the castle of Reina (Rocha, 2006, p.62) and the Castillo Vello de Castellón (Font, 2006, p.77), which are restorations associated with the Latin interpretation of the term. Parts of the walls are reconstructed, having in this case a mixed interpretation of terminology. Consolidation relates to the respect of “the integrity of the historical structural system” (Feilden and Jokilehto, 1998, p.70) and restoration implies a volumetric restitution of the structure. The term consolidation also has a North American acceptance related to “chemical consolidation”. This is the case of conservation treatment, for instance, concerning “the application of a deep-penetrating liquid designated to restore cohesive strength to friable or powdering materials such as plasters, adobe or paint” (Matero, 1995, p.23). e) Rehabilitation One of the best ways to preserve a building is to give it a use, known in French as “mise en valeur”. In general, keeping the original use is the most

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desirable intervention to conserve a structure, as it brings fewer alterations to a project. Feilden and Jokilehto mention that rehabilitation is “to use, as close as possible, the original function so as to ensure a minimum intervention and minimum loss of cultural values” (1998, p.90). However, it should imply an adaptation of the structure to facilities, like the installation of sanitary facilities or heating systems. A good example is the Kasbah of Aït Ben Moro in the Dadès valley in Morocco. The Kasbah was rehabilitated to integrate modern facilities, following a meticulous intervention coordinated by Faissal Cherradi, which transformed the ancient Kasbah, with its numerous family rooms, into a rural hotel (Correia 2007b). According to Petzet, “interventions in the original fabric, made in connection with modernisation work, should be kept as limited as possible” (2004, p.19). Nowadays, to avoid degradation due to lack of use, it is fundamental to open rehabilitation to other integrative uses, respecting the original spaces and structure. f) Renew, Renovation or Revitalisation These terms are applied when referring to the achievement of a new condition, with the sense of improvement. Following González-Varas it is used particularly in urban areas, when associated with “urban renewal” (2005, p.546). It refers to urban planning when the urban characteristics are revitalised with new social and economic activities. Nevertheless, Feilden and Jokilehto mention, “revitalisation should be an appropriate balance between conservation and development” (1998, p.91). Nowadays, general renovation can be observed in the urban tissue of World Heritage cities, such as towns like Timbuktu in Mali (Bertagnini, 2006) or Marrakech in Morocco (Serra Desfilis, 2006). Renovation should be carried out in a sustainable way, taking into consideration local traditions and way of life, which is the case in the Timbuktu renovation. On the opposite side, speculative renovation is going on in the suk of Marrakech, with major renovations being done by real-a-state enterprises using modern materials and techniques. In this case, renewal is interpreted as a replacement of components, and it is undertaken with an opposite interpretation from Feilden and Jokilehto’s statement that “repair of heritage resources using compatible traditional skills and materials is of prime importance” (1998, p.70). A good example of renovation where traditional skills were applied during the intervention was undertaken in the historic fabric at Ouarzazate, Morocco. g) Maintenance Maintenance is ongoing repair with traditional materials (Orbasli, 2008). In earthen heritage, it is essential to address preventive measures,

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permanent vigilance, and regular maintenance. Annual maintenance is necessary on the vernacular dwellings using natural materials. Petzet maintains “entire cultural landscapes are perishing for lack of building maintenance, affecting the age-old traditional earthen architecture particularly dependent on constant maintenance (…)” (2004, p.16). Basic maintenance work should be carried out regularly. Besides, a minimum annual maintenance of the earthen dwelling is important, with special attention being paid to roofs and foundation walls, as this will avoid costly repairs later. h) Repair Petzet states that: “Boundaries between maintenance and repair are fluid” (2004, p.17), but in general, there is repair when there are long periods with a lack of or inadequate maintenance. On earthen architecture, repair work can be considered as the consolidation of the structure, refilling of gaps, avoiding the arising of fissures, etc. There is a general acceptance that it is preferable to repair than to renew or rehabilitate. Small interventions should be undertaken to avoid major repairs. However, when needed, they should be carried out with traditional techniques and materials. i) Regeneration As stated by Orbasli, regeneration is a long-term process that “combines building reuse, urban design and new build projects within the framework of an economic development project” (2008, p.185). It is generally associated with urban regeneration, being distinct from urban renovation. The regeneration intervention is more focused towards a vibrant environment associated with economic activities, opposite from urban renovation that concentrates more on renewing the “historic fabric and character of a place” (ibid., p.187). There are few examples on a world scale that address regeneration of earthen structures.

4.4.3 Ethical intervention It is fundamental to be aware of the negative consequences of incorrect actions of intervention. It is therefore of major importance to approach heritage with a responsible ethical attitude towards the appropriate conservation of earthen architecture, taking into consideration that the conservator is not the owner of the conservation project. ICOMOS, the International Council on Monuments and Sites, by promoting conservation theory, methodology, and scientific techniques, developed their own commitment to ethical intervention. The ICOMOS Ethical Statement in its

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preamble states the importance of providing a “tool to improve and clarify ethical conservation practice and principles useful to the community (2002, p.1). This commitment provides the framework to evaluate misconduct or unprofessional behaviour during conservation intervention.

4.4.4 Summary of key issues when analysing degrees of intervention in conservation From the literature review and its application to conservation practice in earthen architecture, it can be stated that there are at least three main reasons for failure that arise from the previous analysis: x

A different interpretation, from the Anglo-Saxon point of view and the Latin stand point, concerning terms like conservation, restoration, and reconstruction, which can explain different perspectives of degrees of intervention in preservation of earthen structures.

x

A mixed interpretation of the different terms dealing with the degrees of intervention in earthen architecture conservation. Several architects and supervisors of the conservation interventions, when relating the term to the intervention, do not realise that they are not following the general understanding of the term.

x

Concerning the conservation intervention carried out frequently, there is a different reality from what is stated and what the conservator coordinator does. Most of the times, the conservator coordinator is unaware of the difference between degrees of intervention and conservation methodology. They also justify their intervention by the application of a methodology they believed to be adequate, but that is not always comprehensive. The process of interpreting intervention results (in a conservation process that they were personally involved in) is sometimes different from what can be observed as outcome.

From another perspective, it can be observed that in the last few years, with the rise of conservation as a discipline of its own, there have been more formal conservation interventions in earthen architecture. However, it is important to state that regardless of the interpretation of the degrees for intervention, local, national bodies and the general public increasingly evaluate responsibility for conservation projects and for their application. People are becoming more informed and therefore more critical of

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interventions in conservation. As a result, some conservation professionals are starting to look for other perspectives, experiences and methodologies in conservation; but also, attending or presenting their work in seminars and conferences, or looking for further scientific publications and specific international literature in earthen heritage.

4.5 Values and significance In recent years, the manner of understanding and addressing the conservation process, especially when directed to site management, has extended by several authors to a value-based approach (De la Torre et al., 2005) (Avrami et al., 2000) (Demas, 2002). To associate a specific value to a site or a structure is to identify its implicit significance by enhancing its outstanding character. There are different values that can be assigned to a site or structure depending on the interpretation of its inherent characteristics. Values can also be perceived in distinct ways depending on the concepts that are taken into account when addressing its significance, the kind of community or society where the site or structure is located, and the perception of people that assess its significance. Sometimes, certain values can be related to specific periods of time and place, and different values may be more significant in other periods or other societies. It all depends on what basis values are assessed. That is why it is important to have an inter-disciplinary team to assess their significance. Orbasli explains this well and goes further by stating that, most frequently, values “associated with the cultural heritage are historic, architectural, aesthetic, rarity, or archaeological values” (2008, p.38). She maintains that there are also other types of values that enhance the significance of cultural heritage. These are generally “less tangible and relate to the emotional, symbolic and spiritual meanings of a place” (ibid., p.38). Nowadays the variety of values is becoming wider, as the notion of culture and use is extending its meaning. For instance, significance can be assigned to material, function or technical values, among others. An interesting case in this respect is the Casa Grande Ruins, in Arizona, USA. The fact that the site is “the first federally designated and protected archaeological preserve (1889-92) in the United States” (Matero, 1999b, p.204) made it become a site with an important historical value. Historical value was equally given to the old earthen plasters still existing. Furthermore, the fact that the site “possesses one of the earliest (1932) and largest 20th century shelters” (ibid., p.204), together with several preservation repair works applied through the last century (Matero et al., 2000, p.54-55), recognises the significance of the archaeological value and

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the historical conservation value of the site. Other authors classify values in different ways and apply different criteria to their recognition, as is the case of Feilden (2003, p.6). The Burra Charter (1979) had a major contribution, as it was primarily developed to better address the process of understanding significance in a place (ICOMOS, 2004, p.69). The assessment of values addressing cultural heritage conservation has thus become of recognised importance, as values “are critical to decide what to conserve (…) as well as to determining how to conserve” (Avrami et al., 2000, p.1). Furthermore, this approach engages stakeholders, local community, and the society to understand a site or structure beyond its physical fabric.

4.5.1 Assessing values in earthen heritage It is of fundamental importance to identify the significance of earthen heritage in order to provide a solid framework when addressing conservation. The types of value to consider are those that identify the different characters that can validate a conservation approach. For instance, for the World Heritage earthen site of Timbuktu in Mali, the historical value is interconnected with the religious, educational, and cultural value. Timbuktu has held, for centuries, high significant religious manuscripts. Simultaneously, Timbuktu has the oldest university from the Islamic world. Consequently, tourism value became relevant, as it has an important role for the economy of a city isolated and surrounded by desert. It is also important to emphasise that other values can bring significance to earthen architecture. Structures that apparently have no importance and may be similar to other buildings in the surroundings or have even been abandoned, can present at first non-identifiable values. Their unique character can derive, for instance, from the significance given to their social, religious or even political value. This could be seen in the case of the Casas dos Romeiros, in Nossa Senhora dos Mártires, in Alcácer do Sal, Portugal (Correia and Merten, 2000, 2005). After the restoration of the earthen structures, they assumed a greater social and religious significance, with the population returning to the site during their religious peregrinations. This was previously foreseen by the brotherhood that specifically ordered the restoration project, with the intention of returning social and religious value to the houses. Later, the buildings assumed a political value, as the municipality and other entities wanted to become increasingly involved with the intervention. Other values can assume vital importance for the conservation and future of cultural heritage, such as the educational value or documentary

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value (Correia, 2004b, p.335). To understand that it is important to return significance to heritage can better orientate and define the character of the restoration intervention. All the values referred to can decisively contribute to local identity and the continuity of a cultural tradition. Some of the structures that collapsed in Arg-e Bam during the earthquake will not be rebuilt, as they assumed a character of historical document. To try to understand why some structures that had not been restored survived the earthquake better than others that were previously restored (Langenbach, 2004, p.5) is a process of learning for all the professionals that deal with conservation of earthen architecture. To previously identify the heritage type of significance before the decision-taking moment of a restoration project can orientate and define the character of the intervention later on. Correia and Fernandes distinguished the importance of the principle of the symbolic value (2006, p.234), which is fundamental particularly in African cultures. The case study of the Abomey bas-reliefs in Benin illustrates the point. The fact that the surfaces were highly deteriorated justified their removal from the original walls (Rainer and Piqué, 1999). The symbolic value of the surfaces was saved first and the bas-reliefs were restored later on. The importance for safeguarding historical earthen surfaces justified the intervention, especially because these bas-reliefs represented history and symbolic meanings to the people from the community, which had no written documents. As earth is also a very ephemeral material, many of the protected surfaces need to be constantly maintained, if not, the rate of deterioration will increase. In the body of literature of the Terra International Conferences procedures, few papers address more comprehensively the significance of values (Koumas and Koumas, 1993, p.231-234) (Aguilar and Falck, 1993, p.250-251) (Castellanos and Hoyle, 2000, p.14-17) and very little mention the importance of addressing values on the conservation methodology process, except Gupta (2003, p.233). This demonstrates the little importance given to this matter by most of the authors when addressing conservation intervention; as in most cases, the conservation practice approach is based on the diagnosis addressed to the physical condition.

4.5.2 Factors of significance that sustain values Several relevant factors can also promote certain values (Correia, 2004b, p.336). For instance the seismic factor, due to the importance related to human survival and to the structures behaviour when subjected to earthquakes, can be a factor of major importance. Another factor to consider is the human factor, which can have influence and impact on the

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earthen structure or site. In Egypt, New Gourna, the famous adobe village created by the architect Hassan Fathy suffered, through the years, continuous negligence. In October 2009, the World Monuments Watch List classified the adobe village as being in danger (Associated Press, 2009). In this case, abandonment and lack of care from men lead to damage of the village. Another example is human pressure surrounding a site, which can lead to encroachment, as in the World Heritage Site of Chan Chan, in Peru.

4.5.3 Summary of key issues when analysing values and significance Need to assess significance of sites: Not addressing the significance of the site results in a recurrent failure of the long-term strategy. Through time, values become criteria to assess conservation, which clearly advances the importance to identify proper significance to each cultural heritage site. The identification of values: Values can be identified, by considering historical values, by assessing stakeholder’s opinion about the site, by analysing the significance entailed to the site by the community, etc. Basically, it is essential to consider the different actors involved, and to have a holistic approach into the significance of the site.

4.6 Conclusions It is not common to find scientific literature concerning conservation theory in earthen architecture. The only exceptions are some papers that address in particular, principles like unity (Correia and Fernandes, 2006) and authenticity (Jokilehto, 2003). Can constant failure be partially attributed to lack of a conservation theory framework? At this stage, one can state partially yes, but the question will be more accurately answered in chapter 10. In terms of criteria, common denominators can be identified throughout the analyses of literature in earthen architecture conservation theory. Some authors address the conservation intervention through a specific perspective: x

The material on site. This is the case of Guerrero Baca, who analyses in particular the prescriptions for treatment through the origin and the composition of soils (raw material) (2007, p.185186). Flores also states the importance of the material for

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conservation, emphasising the relation of the material to both aspect and structure (2000, p.231); x

The construction technology. To choose the technology associated with the original technique (Pinto, 1993, p.615) (Flores, 2000, p.232);

x

The local traditional construction culture. To study the local building culture of the region, and relate it to conservation practice (Correia and Merten, 2000) (Correia, 2000, 2007a) (Viñuales, 2007);

x

The analyses of the existing pathologies. Both Faria Rodrigues and Henriques (2005), as well as Bruno (2005, 2006) follow this perspective;

x

The structural behaviour of the existing structures. Several authors, like Cóias e Silva and Costa (2006), Lourenço (2005), Varum et al. (2006) follow this approach;

x

An interdisciplinary methodology of approach. Morales Gamarra (2007) follows a multidisciplinary methodology approach;

x

To follow the International Charters. The Charters of Heritage will justify the approach to conservation methodology (Trindade Chagas, 1985);

x

To apply values and significance according to the Burra Charter. Different authors, such as Gandreau (2005), suggest this approach.

x

Guiding lines. To base the approach to earthen conservation through guiding principles (Warren, 1993, 1999).

It should be noted that the definition of conservation varies depending on the context. For instance, it can be observed that almost all the Charters define conservation according to the content of the charter – see conservation definition at the Nara Document (ICOMOS, 2004, p.119) or the Burra Charter (ibid., p.63, Art.1.4), which brings to the definition of conservation a wide meaning, and an extensive reach. It was also noticed that several conservators addressing heritage conservation have a tendency not to consult international charters, recommendations or guidelines concerned with conservation. When intervening in heritage, recurrently practical experience, empirical knowledge or common sense is applied. This is why Charters and Guidelines should be freely available without restricted access, in terms of their location or their purchase conditions.

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A further aspect to consider is the recurrent mix of values and principles and the fact that both are used as criteria to justify the conservation intervention. Hankey refers to the existence of explicit and implicit criteria (2003, p.100), and international charters mention that principles like unity and authenticity should try to be addressed in the conservation intervention, but the attribution of values should be embedded and inherent to the site itself. Therefore, should it be considered that explicit/tangible criteria are the international principles addressing conservation, and implicit/intangible criteria are the values intrinsic to the site, supported by the community and the local stakeholders? A balance between tangible and intangible criteria would certainly better contribute to the adaptation of conservation theory to conservation practice. Authenticity and integrity, but also maximum understanding and minimum intervention, are principles of conservation that are of major importance when dealing with earthen heritage conservation. How can authenticity and integrity be applied if their notion in earthen heritage has a slightly different connotation from the general theoretical conservation concept? This needs to be addressed, especially considering the intrinsic characteristics of earthen heritage regarding different cultural contexts. It was mentioned during a conference concerning “values and criteria in Heritage Conservation” that one of the aims of the ICOMOS-International Scientific Committee on Theory and Philosophy of Conservation and Restoration is to “identify needs and new areas of interest” in conservation, as well as to “cooperate with other ICOMOS committees and scientific bodies of other institutions (...) in order to establish an integrated theoretical basis for cultural heritage preservation” (ICOMOS, 2007). Such cooperation between ICOMOS-ISCTPCR and ICOMOSISCEAH should be envisaged, in order to further develop a conservation theory framework related to the intrinsic characteristics of earthen architecture.

CHAPTER FIVE RESSEARCH METHOD DS

Fig.5.1 – Djeenné mosque inn Mali had seveeral conservatioon approaches developed through the yyears. Aga Khaan Foundation sustained the most recent in ntervention (credits: Mariiana Correia, 20008).

5.1 Introd duction The inteention of thiss chapter is to t describe thhe data collecction and analysis reseearch methodds applied to answer a the reesearch objecttives. The present chaapter begins with the research r aimss definition and the presentationn of the ovverall method dological dessign; followeed by a comprehenssive explanatiion of samp ple selection of the casee studies, stakeholderss representatioon and intern national key-eexperts repressentation. The follow wing section presents data d collectioon methods of this investigationn. The analysis of the overrall data is adddressed through a case study designn strategy and qualitative an nalysis.

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5.2 Research aims The main objective of research methods is to help identify the best methods of data collection and subsequently the type of analysis, in order to respond to the identified research objectives. In this investigation, four research objectives are recognised to fill the missing gap in knowledge. Failure was the first addressed research objective. It was specifically approached in chapter one and it became a review factor of chapters two, three, and four. Throughout the process, failure was consistently identified and analysed in earthen heritage, encompassing the general conservation process, and particularly strategies, planning systems, methodology intervention, conservation practice, and conservation theory. Failure was also reviewed in the case studies in chapters six, seven, and eight. The report of the findings concerning failure was addressed in chapter nine, and the overall research aim was answered in chapter eleven. The second research objective concentrated on criteria. The body of literature was systematically evaluated under this key-issue, in chapters two to four, and the research objective was specifically reviewed in chapter four. Chapter six, seven, and eight, dedicated to the case studies, also had criteria evaluated, and the report of the results was developed in chapter nine. The overall response to the research aim was addressed in the last chapter. The third research objective was addressed in the literature review of chapter four. The overview of conservation theory and its relation with earthen architecture made it possible to establish a framework addressing this specific research goal. In the case studies chapters (six, seven, and eight), conservation theory was also reviewed. The results were presented in chapter ten, and the overall response was developed in chapter eleven. The fourth research goal concerning strategies was analysed in chapter two and reviewed in chapters six, seven, and eight, concerning the case studies. Report of the findings was addressed in chapter ten, and the overall answer to this research aim was addressed in the final chapter.

5.3 Overall methodological design By addressing the four research objectives, two types of investigative methodologies were selected: case studies strategies, and qualitative analysis. The investigation was based on the combination of these two research methodologies, for two main reasons. First, it would complement and support the findings of each of the other methods; secondly, the choice

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of a multi-method approach would give more consistency when validating new data. The first methodology concentrated on case study strategies, which gave the possibility to “explore complexities that are beyond the scope of more “controlled” approaches” (Gillham, 2000, p. 11). In this study, three world heritage sites, located on three different continents, were selected as case studies: Chan Chan in Peru, Aït Ben Haddou in Morocco and Arg-e Bam in Iran. It is important to mention that there were both cross-case and within-case analyses, which allowed a more consistent validation of the evidence, originating from different sources. Besides, the diversity of case studies data collection methods addressed through compilation of local and international reports and documents, field visits to the sites with site observation, and open interviews with local stakeholders and site coordinators reinforced the variety of data and subsequently, the findings. Miles and Huberman suggest three flows of action when addressing qualitative data analysis: data reduction, data display, and conclusion drawing/verification (1994, p.10-12). On the case studies strategies, data reduction was developed through within-case analysis and cross-case analysis. Data display was addressed by analytical techniques. Conclusion drawing and verification was approached when the building theory emerged and was confirmed within the displays. Table 5.1 below addresses the relationship between analysis and flows of action in this investigation. The investigation was based on conservators’ actions and perceptions addressing earthen architecture conservation. Therefore, it was essential to consider international key-experts and stakeholders perspectives. A specific questionnaire was developed to address each target public. It was decided to choose qualitative interviews to open the scope of the contribution, to invite a more inclusive participation, and to ensure more comprehensive results when addressing the research objectives. In this case, a qualitative method was preferred to a quantitative method, as the focus of research was on people’s actions, specifically conservators and expert’s actions in earthen architecture conservation, rather than on the physical condition of earthen structures and sites. Therefore, to understand the “information expressed in words – descriptions, accounts, opinions, feelings, etc.” (Walliman, 2006, p.129), it was fundamental to include open questions for a more inclusive investigation. In this research, qualitative interviewing also contributed to the gain of “information and understanding of social phenomena and attitudes” (ibid., p.131), which brought more reliability to the argument.

--

--

- Contact summary sheet - Contact theme sheet - Pattern matching - Logic models

Analytical Techniques

Within-Case

Findings addressed in Chapters 9 & 10

--

- Texts - Interviews - Field notes

Cross-Case

Chapter Five

Case Studies Strategies

Overall conclusions addressed in chapter 11

Conclusion Drawing/ Verification

Data Display

Data Reduction

Flows of Action

Table 5.1 Analysis progress and flows of action

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Findings addressed in Chapters 9 & 10

--

- Content pattern - Key-themes

Site Questionnaires

Findings addressed in Chapters 9 & 10

- Diagrams - Networks

- Coding - Themes - Categories

International Questionnaires

Qualitative Analysis

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5.4 Sample selection Earthen heritage is composed of different types of structures and settlements. ICOMOS-ISCEAH (2008) defines mainly four major types of site: archaeological sites, architectural sites, vernacular architecture sites, and cultural landscape sites. In the present investigation, due to the large scope of earthen heritage available for study and the limited time to develop the research, it was decided to focus the analysis on archaeological and architectural sites. The following presents a brief explanation of the selection criteria for the case studies, as well as stakeholders and key-experts representation.

5.4.1 Case studies selection Prior to the site selection, and contributing to a more consistent research effort, a comparative table was developed, with more extended decision criteria, which would develop a more systematic comparison (see table 5.2). Three case studies met all the criteria. This strengthened the importance for each choice, as the selected sites represented earthen heritage from different cultures, historical backgrounds, and geographic contexts, but even more important, their selection was a representative sample from the world. It was a deliberate decision not to choose a site from those on the European continent, as the researcher would be more familiar with these, thus not having the same impartiality and rigour of judgement in addressing it when compared to the more unfamiliar sites. In Oceania there was no site identified that could follow the required criteria. The selected sites were: Chan Chan in Peru, on the South American continent; Aït Ben Haddou in Morocco, on the African continent; and Arg-e Bam in Iran, on the Asian continent. The sites were visited in different time periods. a) Chan Chan, located on the north coast of Peru, in the surroundings of the city of Trujillo, was visited in May 2005. b) Aït Ben Haddou in central Morocco, located near the city of Ourzazate in the Dadès valley, south of the High Atlas Mountains, was visited in April 2006. c) Arg-e Bam in the southeast of Iran, located in the municipality of Bam, in the province of Kerman, was visited in April 2008.

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Table 5.2 Decision criteria contributing for the selection of the sites DECISION CRITERIA 1. Earth, as the major building material 2. UNESCO World Heritage Site

Chan Chan

Aït Ben Haddou

Arg-e Bam

Yes

Yes

Yes

Yes

Yes

Yes 2

3. Dimension of the site

14.000 m (at the moment) The widest in the world Peru, South America

2

1.000 m (?)

5. Level of preservation

Almost neglected, except Tschudi Palace

Fairly preserved

6. Management Plan

Completed in 1999

Completed in 2007

Iran, South Asia Preserved until 2003 seism; being presently restored. Completed in 2009

7. Published Data

Several

Little

Some

Architectural site (Six families still live there) Rammed earth + Adobe

Archaeological site (Uninhabited)

9. Earthen building techniques

Archaeological site (Uninhabited) Adobe (Pre-Colombian)

10. Scientific conservation activity

In the Tschudi Palace

In the entire site

In the entire site

11. National related sites

Huaca de La Luna (Peru)

Ksar Aït Ben Moro & Figuig Oasis (Morocco)

Chogha Zanbil (Iran)

12. Visited by international tourism

Yes

Yes

Yes

13. With major pathologies

Lack of maintenance + winds with salts

Lack of maintenance

Major seism in 2003

14. Traditional building still active in the region

Yes

Yes

Yes

4. Location in different continents

8. Type of site

Morocco, North Africa

6.000 m2. The second widest site in the world

Adobe + Cob

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During the visits to the sites, field notes were taken from field observations. Data collection concerning the three sites was undertaken to gather information and to better understand the origin, the history and the culture of the people that built the heritage sites. Additionally, it was also important to visit, in each country, comparative related earthen sites, and to investigate the implementation of conservation practices. The related sites were: a) b)

c)

Huaca de La Luna, located in Trujillo on the north coast of Peru, was visited in May 2005; Aït Ben Moro, in the Dadès valley, central Morocco; and Figuig village in the north east of Morocco, near the border with Algeria; both visited in April 2006. Chogha Zanbil, west of Iran, near the border of Iraq was visited in April 2008.

During field visits to the related sites, the researcher also met with the site-coordinators. Comparative questions between the related sites and the selected sites were addressed during informal consultations. The meetings and visits to the related sites contributed to a complementary and extended understanding of the conservation organisational configuration and management of the selected sites. For instance, by visiting Chogha Zanbil in Iran, the organisation conservation process undertaken by the Iranian heritage entity was better understood, which contributed significantly to the case study analysis of Arg-e Bam.

5.4.2 Stakeholders’ and site experts’ representation A total of twenty-three stakeholders and site experts contributed to the three case studies (see table 5.3). These contributions included three open interviews, from which one was related to Aït Ben Haddou (Mohamed Boussalh); one concerned Chan Chan (Ricardo Morales); and one concerned Arg-e Bam (Nima Naderi). Additionally, 20 site survey questionnaires were completed (see table 5.7). Selection criteria of keypeople were carried out by the identification of important experts from each site, involved in the site preservation approach. The people contacted were: the site coordinator, national responsible personnel, members of national involved institutions, international experts involved in the conception of the management plan, international experts originally involved in preservation strategies for the site, contributors to UNESCO site evaluations, and interested international specialists. Following is a summary of the principal contributors:

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Table 5.3 Principal contributors for the assessment of the sites. PRINCIPAL CONTRIBUTORS

CHAN CHAN

AÎT BEN HADDOU

ARG-E BAM

Site coordinator

-

-

1

National site responsible

-

1

-

Members of national institutions

1

1

-

International experts involved in the management plan conception

1

1

-

International experts involved in preservation strategies

4

1

4

Contributors to UNESCO site evaluations

-

1

1

Others (interested international specialists)

4

-

2

10

5

8

TOTAL: 23 contributors

Key-people, stakeholders and experts involved at the three sites were contacted, but their individual contribution was variable. Several contributed through informal interviews. The number of international contributors at the Aït Ben Haddou site is lower than at the other two sites. This can be explained by the fact that this site received less international dissemination than the other two sites, mainly for two reasons: First, the smaller dimension (the other two are the largest in the world); secondly, the fact that it did not receive international expert group visits, as there was no major seismic destruction (as in Arg-e Bam), or there were no international conservation courses done at the site (as in Chan Chan).

5.4.3 International key-experts representation The selection of key-experts was based on specific criteria.

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Table 5.4 Decision criteria and contributors answering to the questionnaire. DECISION CRITERIA

International organisations

International Research Centres International Institutes International Networks Universities and Research Laboratories National Heritage Institutions TOTAL

ENTITIES

QUESTIONNAIRE SENT

QUESTIONNAIRE RESPONSE

UNESCO

9

1

UNITED NATIONS WORLD MONUMENTS FUND WORLD BANK

1

-

1

-

1

1

ICCROM

1

-

ICOMOSISCEAH

9

6

CRATerreENSAG

9

4

GCI

6

2

PROTERRA

2

2

5 institutions

6

4

3 institutions

5

-

17 Entities

50 Questionnaires

20 Questionnaires

(1) Members selected might not work full time for the entity but were collaborators at the time. (2) Some of the selected people are members of two or more entities. For the purpose of this research, they were recognised as representing just one entity.

A table of contributors was set up to establish the representative qualities of the sample of people. It was fundamental to have contributors from the international entities that are the most directly related with the preservation of earthen heritage. The following table addresses the

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decision criteria for selection, the selected entities, the number of questionnaires sent, and the number of responses. All the selected experts contacted to answer the questionnaire are members of international organisations, international research centres, international institutes, international networks, and active international experts in the field. Representatives of universities or national heritage institutions were selected based on the fact of providing international consultation. Another important decision criterion was to select international experts from a wide representation of countries and continents. Table 5.5 International key-expert questionnaire countries Questionnaire Sent to International Experts From

Questionnaire Response From Experts Coming From

Algeria, Belgium, Brazil, Cameroon, Canada, France, Germany, Iran, Italy, Japan, Mexico, Morocco, Peru, Saudi Arabia, Spain, UK, USA

Belgium, Brazil, France, Germany, Italy, Mexico, Peru, Spain, UK, USA

17 Countries

10 Countries

It is important to mention that from the scope of reply to the questionnaires, there were 25% of experts that requested to keep the content of their survey response anonymous. It is interesting to note that it was their response that provided the identification of inconsistencies.

5.5 Data collection methods To have an adequate scope and variety of data, and following a multimethod compilation approach, a combination of sources was selected for data collection (see Table 5.6). As an “approach from different methodological standpoints, usually known as triangulation” (Gillham, 2000, p.13) would provide a more comprehensive representation of reality, seven types of data collection methods were applied and categorised in 3 groups. The first group consisted of five data collection methods associated specifically with the case studies. The second source for data collection was stakeholders, and data was compiled through the site questionnaires. Finally, the third source of data was international key-experts on earthen heritage conservation.

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Data was collected through questionnaires. All of the mentioned data compilation methods contributed to a diverse and reliable source of information. Additionally, there was an option for a survey using questionnaires as a way to gain data to analyse different experts’ points of view, as in reality, there has never been a specific assessment of expert’s viewpoints on earthen heritage conservation. Simultaneously, it would contribute with a more holistic approach for investigation in the field area. By addressing both national stakeholders and international key-experts, the researcher tried to complement the overall reach with perspectives from both sides. In addition, the choice to integrate into the investigation specific case studies from different continents would also ensure an important international range. Table 5.6 Methods and models followed within this research.

Case studies data collection

DATA COLLECTION METHOD a) Field observation b) Published texts and documents c) Unpublished data from Int’l. Organisations d) Local data not disseminated e) Open interviews

Site questionnaire

TYPE OF RESEARCH

MODEL

Case study analysis

Background material

Case study analysis

Background material

Case study analysis

Background material

Case study analysis

Background material

Case study analysis

Understanding ‘experience’

Case study analysis/Qualitative analysis

Understanding ‘experience’

International keyUnderstanding Qualitative analysis experts questionnaire ‘experience’ Based on a table developed by Silverman (2005, p.112).

ANALYTIC TECHNIQUES

- Pattern matching - Logic models

- Coding

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5.5.1 Case studies data collection A part of the data was collected on the selected sites, as well as from major national and international heritage institutions and organisations. Therefore, the sources addressing the first group of data collection were: x

Field visits to the selected three case study sites, and visits to other comparative related sites were fundamental for personal observation, interpretation and on-site collection of data (e.g. photos). The visit to each site was crucial for undertaking proper evaluation of the data through direct sources;

x

Published literature including books, papers and reports collected locally, nationally, and internationally. Specific literature related to the investigation was acquired dating back as far as 2004, in Peru, Colombia, Argentina, Brazil, United States, United Kingdom, France, Germany, Italy, Spain, Portugal, Morocco, Mali, Iran, as well as papers and documents posted and collected from the Internet.

x

Unpublished international data existing in documentation centres or libraries as official documents, technical evaluation reports, material analysis, and conservation methods, thesis and dissertations, available at the International Research Centre for Earthen Architecture CRAterre-ENSAG in Grenoble, France; at the Getty Conservation Institute, in Los Angeles, USA; at the RCCCR, in Tehran, Iran; at ICCROM-International Centre for the Study of the Preservation and Restoration of Cultural Property, in Rome, Italy; at UNESCO-World Heritage Centre, in Paris, France; at the Documentation Centre of ICOMOS, in Paris, France;

x

Local data not disseminated existing with stakeholders or local guides, or located in tourist visit centres and museums in nearby locations were also visited to gather complementary information, such as local maps, site plans, management plans, history and geographical data, not disseminated local papers concerning the case study, digital information;

x

Open interviews addressed to stakeholders and local coordinators concerned with daily maintenance, and management planning and its implementation. The informal interview allowed confirmation of hypotheses generated from the literature review and field observations.

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Silverman recalls that it is a frequent situation that stakeholders are willing to orally express their perspective about weaknesses and strengths of management and current conservation practice (2005, p.230). However, they are more reluctant to formally register their opinion, which supports the importance of collecting information through open interviews. This was fundamental to obtain a broader understanding of the overall interconnections on each case study. In spite of the efforts, there are differences in the amount of information collected from the three sites. There is a wide collection of information available both in Spanish and in English concerning the first case study, Chan Chan in Peru. This could be related to the fact that two international conservation PAT courses in earthen architecture preservation were organised at the site. In contrast, there is very little information available concerning Aït Ben Haddou in Morocco, with most of the available information being in French. The third case study, the Arg-e Bam site in Iran, has a little more information than the previous site. However, most of the data is in Farsi, the Iranian national language.

5.5.2 Site survey questionnaire The second group of data collection was made by requesting several stakeholders and key-specialists involved with the development of each management plan to participate in the survey questionnaire. The survey was sent to local and international stakeholders and key-specialists from the sites, involved directly and indirectly with its preservation, in order to have more consistent data of the real forces involved in the management and conservation of the site. The site survey questionnaire (appendix I) was previously approved by the Ethics Committee, and had an accompanying participation information sheet (appendix III), laying out the investigation content and objectives. The questionnaire took 10 to 20 minutes to answer; therefore there could not be more than six open questions to respond to. The survey questionnaire was sent in English and French. The survey was devised on four research aims, and in particular addressed the state of the site and the elaboration and implementation of the management plan. To have a systematic approach to the research, it was essential to address the same questions to stakeholders and experts from the three sites. The response to the site survey questionnaire was lower than expected (see table 5.7). It was fundamental to develop a rigorous and fair analysis of each case study, by crossing the provided information with the open interview findings, the visits to the sites, and the literature concerning each site.

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Table 5.7 Response to the site survey questionnaire. Type of Questionnaire

Site

Site Questionnaire

Chan Chan, Peru

18

9

Site Questionnaire

Aït Ben Haddou, Morocco

18

4

Site Questionnaire

Arg-e Bam, Iran

18

7

54 questionnaires

20 questionnaires

Questionnaires Sent

3 sites

TOTAL

Questionnaires Response

5.5.3 International key-experts survey questionnaire The source of the third group of data collection is provided from a selected number of international key-experts. The international key-experts survey questionnaire (appendix II) was previously approved by the Ethics Committee and was equally accompanied by a participation information sheet (appendix III), laying out the content and purpose of the research, as well as the importance of the international contribution of the results. The survey questionnaire was sent in English and French and if not answered, questionnaires were sent two to three times more. All the questionnaire replies were in English, French, Spanish, and Portuguese. At the site survey, during analysis, the questionnaires were all interpreted and coded to English. Table 5.8 Response questionnaire.

to

the

Type of Questionnaire

To Whom

Key-Experts

International experts from 17 countries

international

Questionnaires Sent 50

key-expert

survey

Questionnaires Response 20

The survey questionnaire was devised on four research objectives to be addressed. It was decided to have an average time of thirty minutes for the questionnaire to be answered. For that reason, there could not be more than ten questions, with condensed replies to open questions. However, it

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was important to reduce the number to nine, as a single digit number would be more compelling to answer (ten could be already considered dissuasive). Therefore, two of the questions were condensed into one, with two parts. As a result, the first four questions were dedicated to strategies, addressing the fourth research aim. Questions five a) and five b) concerned conservation theory and concentrated on answering the third research objective. Questions six and seven were related to criteria and were dedicated to the second research aim. Questions eight and nine addressed failure and were in relation with the first research aim. As there is a tendency to be more extensive on negative parts and develop less positive aspects, it was decided to start first by addressing positive actions and results and leave the last part of the questionnaire to failure and weaknesses. It is worth mentioning that there are more questions addressing the fourth research objective than the previous ones, due to the importance and extensiveness of the different aspects of dealing with strategies. There was a 40% response to the key-experts questionnaire, which is a high rate of participation (see table 5.8). This fact is interesting to notice as to some extent the reason for receiving the questionnaires back was partially due to expert’s commitment, as they were personally known by the researcher. Additionally, one must note that the Chan Chan site had a higher rate of response to questionnaires, as its management plan was concluded in 1999 and profusely disseminated during the last ten years. However, the second and third sites had their management plans concluded in 2007 and 2009, and broad dissemination was still not carried out.

5.6 Data analysis To address the data analysis of the vast data collection, two procedures were defined: case studies strategies and questionnaires analyses. The following explains how the data was analysed.

5.6.1 Case studies strategies As stated by Huberman and Miles, “the case study is a research strategy that focuses on understanding the dynamics present within single settings” (2002, p.8). In this investigation, each case study was analysed individually and then compared across each other. Three strategies to address case study analysis were applied. The first strategy, identified as within-case data analysis, was developed through two summary techniques:

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contact summary form and theme summary form. The second approach concentrated on analysing the data collection throughout the distinct sources, looking for inductive cross-case patterns. Finally, the third strategy was made possible by interpreting the findings of the two previous approaches and by building theory through two chosen analytical techniques: pattern matching and logic models. Each approach was addressed as follows. a) Within-case data analysis: Analysing the enormous volume of data collected on the sites by codifying data can be difficult and very time consuming. Nevertheless, data analysis is fundamental, as it “is the heart of building theory from case studies” (ibid., p.17). To approach this type of analysis, the most common procedure is to develop “detailed case study write-ups for each site” (ibid., p.17). To be more objective when identifying important patterns, processes and phenomena, a complementary procedure of analysis, materialised by two summary techniques, was chosen: x

Contact summary form: It is an objective way to summarise data, processed through a document summary form that helps withincase analysis. These summary sheets are essential as “they help researchers to cope early in the analysis process with the often enormous volume of data. (…) This process allows the unique patterns of each case to emerge” (ibid., p.17) and for each case study to get more familiar, which will later help a cross comparison. Basically, this form consists on brief descriptions of key-aspects of each site, which contribute to contextualising and explaining the significance of the site. In this research, a contact summary form was developed, addressing each one of the selected sites: Chan Chan, Aït Ben Haddou and Arg-e Bam (appendix IV). Each form was very helpful, as it objectively reduced the amount of data to one page, addressing important matters from each site: contributors to the management plan, stakeholders representation, interdisciplinary team representation, etc.

x

Contact theme form: The theme form concentrated on the analysis issues that could be recognised through the case studies. This was addressed by identifying main concepts, themes, and issues that emerged from the collected data, but also observations perceived during the case study visit. The themes were identified for each case study and become a frame of reference to be crossanalysed in a later phase. In this research, to facilitate a within-case data analysis, a contact theme form was similarly developed to each one of the three case studies (appendix V). The form was equally

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useful, as it addressed different subjects as threats, priorities, needs, etc., which made a clearer comparison possible. With both procedures, the data analysis was developed within each case. These summary techniques enable the creation of a more systematic approach to summarising data, rather than getting lost with the volume of data from each site. b) Cross-case analysis Cross-case analyses have different possible approaches. Huberman and Miles mention the existence of at least three types of possibility: the first choice is “to select categories or dimensions, and then to look for similarities” (2002, p.18); the second option is “to select pairs of cases and then to list the similarities and differences between each pair” (ibid., p.18); the third possibility is to analyse the information by data source, looking for patterns in-between. This third strategy was selected because each source could complement one another with unique and rich contributions. Additionally, patterns can emerge from one data source and be “corroborated by the evidence from another, the finding is stronger and better grounded” (Huberman and Miles, 2002, p.19). For analysis procedures, the data was reviewed through three types of processes: x

Texts: From analysis of literature of published and unpublished data, such as local reports. This analysis is carried out through the recognition of “meaning and insight from the word usage and frequency pattern found in texts” (Yin, 2003, p.110), through the content analysis method. In this investigation, the intention was to identify failure, criteria, conservation theory and strategies in earthen architecture conservation, based on how the reality is seen by the different conservators.

x

Interviews: From the interpretation of data gathered from open interviews with stakeholders. However, Yin does mention that this can relate more to interpretation arising from “verbal behaviour and not necessarily of actual events” (Yin, 2003, p.110). Nevertheless, it was fundamental, especially to gather perspectives from stakeholders that did not respond to site questionnaires. There was very relevant data gathered from open interviews that, when crossed with other findings, contributed directly to identifying patterns and inconsistencies, which created pattern matching and logic models. They were mentioned in “comparative issues between the three sites” (see appendix V, p. 302, 304 and 306). As a more informal method, it contributed to a more holistic approach.

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Field notes: The notes derived from field observations in the sites, as well as information interpreted in maps, plans and brochures gathered during the visits. These visits were important to partially validate or dismiss assumptions emerging from interviews.

These processes of analysing the data are related with data reduction. The data emerging from the data collection analysis will be later compared across cases. c) Analytic techniques: Case study analysis was addressed in this research, as it was an important component of the multi-method approach, which validated the findings of each display. From the within-site analysis and cross-case patterns there are concepts, themes, and phenomena that emerge. This was the data reduction process. The data display on the case studies strategy emerges from different techniques. Yin argues that there are mainly five known techniques to analyse case study evidence: pattern matching, explanation building, time-series analysis, logic models, and cross-case synthesis (2003, p.109). On this research, two of five analytic techniques for case study design methodology were applied: pattern matching and logic models (See comparative issues between the three sites, in appendix V). Yin also considers that these two techniques “are applicable whether a study involves a single - or a multiple - case design” (ibid., p.109). Both analytic techniques were applied following the analyses of texts, interviews, and field notes. For instance, patterns and logic model configurations emerged from crossing analysed data of open interviews with field notes. The following presents the analytic techniques applied in this investigation: x

Pattern matching: When analysing evidence, this process is accomplished by looking at recurrences and patterns between the cases. Trochim (1989) underlines the possibility of comparing an “empirically based pattern with a predicted one (…). If the patterns coincide, the results can help a case study to strengthen its internal validity” (according to Yin, 2003, p.116). This happened with emerged patterns identified in this investigation, such as communication between stakeholders.

x

Logic models: were applied in this research by creating complex diagrams of chains of existing and “repeated cause-and-effect sequences of events, all linked together” (Yin, 2003, p.127). In this investigation, organisational-level logic model configurations were constructed to understand and compare existing interactions. An example is displayed in appendix VI.

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Creating distinct visual displays from the case study analysis made it possible to develop conclusions drawing and verification, the third flow of action suggested by Miles and Huberman (1994, pp.10-12). These results are the foundation for the building of theory that was combined with the final conclusion drawing emerging from the analysis of the questionnaires. The process of analysis of the questionnaires will be presented next.

5.6.2 Questionnaires analysis The process of analysing the data was initially developed by a coding system. This is an important aspect of forming typologies that can evolve for constructed taxonomies, a “type or properties, thereby forming subgroups within the general category” (Walliman, 2006, p.133). This type of measurement helped bring some order and sense to a large quantity of unprocessed and disorganised data. On the analysis of the questionnaires, the researcher started by sorting out codes from the survey answers. Following this, patterns that could lead to the creation of themes were identified. These groups of themes were then classified by categories, which led to the creation of diagrams. These networks informed the theory building that addressed the research questions. It is also significant to point out that on the international key-experts questionnaire, the typology and taxonomy process was addressed by research objective. Each question from the expert’s questionnaire was developed to contribute to a specific research objective of the thesis, as presented in table 5.9: Table 5.9: International key-expert questionnaire addressing research objectives

Groups

Questions from the Questionnaire

Research Objective

G1 (two questions)

Q8, Q9

R.O. 1 - Failure

G2 (two questions)

Q6, Q7

R.O. 2 - Criteria

Q5a, Q5b

R.O. 3 - Conservation Theory

Q1, Q2, Q3, Q4

R.O. 4 - Strategies

G3 (two questions) G4 (four questions)

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Consequently, four groups of questions were created to answer the four research aims. The first group was composed by question eight (Q8) and nine (Q9), focused on the first research objective; the second group, was defined by question six (Q6) and seven (Q7), directed at the second research goal; the third group was composed by question five-a and five-b (Q5a and Q5b), concentrated into the third research aim; and finally, the fourth group, was composed by questions one (Q1), two (Q2), three (Q3) and four (Q4), and focused on the fourth research aim. A similar approach was addressed to the site questionnaire. Table 5.10: Research objectives addressed at the site survey questionnaire Research Objective

Questions from the Questionnaire

R.O. 1 - Failure

Q2, Q3, Q4 (three questions)

R.O. 2 - Criteria

Q1, Q3, Q4 (three questions)

R.O. 3 - Conservation Theory

Q6, Q3, Q4 (three questions)

R.O. 4 - Strategies

Q5, Q3, Q4 (three questions)

Each research objective had three questions addressing it, as can be verified on the table above. In the following section, the basis of the data analysis development concerning international key-expert survey questionnaires is presented from a) to d). The site survey questionnaire conceptual analysis is addressed in e), and the entail statistics are approached in f). a) Coding The process of coding was derived from the data given in the questionnaires, which can be considered, according to Gilbert, as a process of “coding up”. This happens “if the aim is to describe data in order to generate theory” (2008, p.334), which would incentivise the development of categories from the data, as opposed to “coding down”, when the data is “made to fit the categories”, that “derived from the theoretical frameworks (ibid, p.334). A combination of two types of coding was addressed on the analysis of the questionnaires: inductive coding and explicit coding. Inductive coding

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came from the allocation of meanings to the collected data. Miles and Huberman mentioned a sequence of steps that support this analysis and help generalise and create mini-theories (1994, p.87). An example of a code, on the current investigation, is “Code 151 – International experts do not really know the meaning of criteria for conservation intervention”. This code evolved from the understanding that some experts did not answer to this question, or responded with different information than the requested. The other type addressed coding was explicit coding that derived directly from parts extracted from responses. When segments of text were recognised as important, they were converted to sentences, becoming codes. Miles and Huberman underline “the risk of combining codes for analysis” (1994, p.87). Nevertheless, within this investigation, the idea was to have complementary coding methods, as their combination would give the possibility of looking “across a data set within single or multiple cases” (ibid., p.87). Table 5.11: Example of coding and identification of where the code can be found C66 (code 66) - Lack of qualified professionals and know-how in earthen architecture. Q5b-i19, Q8-i10, Q8-i11, Q7-i13,

When important information was recognised as a potential significant aspect, it became a code, under which was included the identification of where the data could be found. For example, Q6-i14 meant that the content of the code was identified in question 6 from interview 14. If the same information was recognised in other questions or interviews, the code had reference to all the identification interviews and questions, where the data could be found. This means that a code can be identified once, in one response, twenty times, across the same question; or a variable number of times, across all the answers. This is important, as sometimes experts would answer the requested information in response to another question. The survey questionnaire answers also have the references noted to all the codes that were identified in each question. Moreover, to each identification number (under each code), there was a related colour that identified the group of questions directed to the research objective: x Group 1 was orange (research objective one - Q8 and Q9); x Group 3 was blue (research objective three - Q5a and Q5b);

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x Group 2 was green (research objective three - Q6 and Q7); x Group 4 was purple (research objective four - Q1, Q2, Q3, Q4). The goal was to create clearer visualised identification components when analysing the overall meta-display findings, as it helps to conceptualise results addressing each research aim. Responses to each question were coded across all the questionnaires. For instance, by coding one by one all the answers to question five, the overall meaning found on those responses led to a more reliable conceptualisation. Gilbert emphasises that this option “leads to greater consistency in coding each variable. It also reduces the possibility of building up a preconceived picture of the respondent, which could lead to a bias in the coding of any ambiguous response” (2008, p.334). b) Themes During the previous process, key terms were underlined in each code. This helped identify patterns of thematic subjects throughout all the data. A process known as pattern coding (Miles and Huberman, 1994, p.87), which was developed within each of the four groups, related to each research aim. This process was chosen in order to identify themes that presented close associations to each other. It would also be the beginning of classification of data recurrences. In general, single terms were preferred, but exceptions could be acceptable. Not all the identified patterns were related. Miles and Huberman state that different authors propose distinctive ways to scheme codes (1994, p.61). They can be classified through phenomena, relationships, emerging constructs, causes/explanation, etc. (ibid., p.70). In this investigation, all of the mentioned configurations were considered. The final goal was to create themes related to conceptual variables, identifying commonalities of occurrences to pattern codes. c) Categorisation Categories emerged through taxonomy after associating related themes to the conceptual framing. This was possible by attempting to create within each group of themes, a small set of more abstract generalisations, which would “cover the consistencies discerned in the database” (Miles and Huberman, 1994, p.87). When categorisation was concluded, it was time to pass to the next phase, but if necessary during the creation of diagrams, categories could be re-evaluated.

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Table 5.12: Categories, themes and codes firstly identified within this coding method R.Q.1

R.Q.2

R.Q.3

R.Q.4

To identify reasons for failure in earthen heritage conservation

To recognise criteria for intervention in earthen heritage conservation

To give significance to conservation theory in earthen heritage

To provide strategies concerning conservation in earthen heritage

Categories

7 categories

10 categories

5 categories

13 categories

Theme Labels

23 themes

41 themes

14 themes

67 themes

Codes

C40-C129

C130-311

C1-C39

C312-C561

Enquiries: International experts

20 enquiries (Questions 8, 9)

20 enquiries (Questions 6, 7)

20 enquiries (Question 5a, 5b)

20 enquiries (Questions 1,2,3,4)

d) Diagrams and networks The diagram was elaborated from the title categories. Each category fits into a box, connected by links to other boxes. The overall design was to create charts of inter-relations. Then, the diagram content was reevaluated by the elaboration of a large sheet display with the network of codes, themes, categories, and diagrams. The visual sheet display helped the researcher re-analyse the coding content of the network, and reconfirm the network. In this case, each display created causal networks. According to Walliman, “causal networks are used to examine and display the causal relationships between important independent and dependent variables, causes and effects” (2006, p.137). From this type of approach, four sheet display diagrams (appendix IX) resulted from the international key-experts survey questionnaire analysis promoted the addressing of the four research objectives. These sheet display diagrams were restructured several times. When this sequential analysis process was finalised by addressing the first research objective, the researcher started coding responses to questions addressing the second research aim. New codes were created as required and existing codes applied when there was repetition of content. By restarting the process addressing each research aim, the researcher tried to be systematic and impartial to each approach, also giving more consistency to the overall analysis.

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Finally, confronted with a structured visualised body of knowledge, hypotheses emerged from the projected network, shaping gradual theory building. As mentioned by Huberman and Miles, the central idea was “that researchers constantly compare theory and data - iterating toward a theory which closely fits the data” (2002, p.19). This was the case. When addressing responses to the four research objectives, the content of the sheet display diagrams was confronted with the results of the case studies. To avoid content repetition among research objectives and data accuracy rising from findings validated from cross-analysed results, sheet display diagrams were again reorganised under the final findings. e) Site questionnaire analysis The methods applied during the analysis of the site questionnaire were “content pattern” and “key-themes”. The first method comprised the recurrence of repetition that would be recognised in each site questionnaire response and among the same case study answers. The second method entailed the identification of relevant themes approached by the questioned stakeholders. Crossing both methods encompassed a comprehensive analysis that was included in the case study chapters (6.12, 7.12 and 8.12). f) Statistics When addressing questionnaires analysis, reference to connotations extracted from analysed responses was transformed in inductive and explicit codes. Some of these codes had an extensive record of identification numbers, from which the relevant codes and numbers were collected for statistics. This method of interpreting results is known as “descriptive statistics”, and it was used in chapters nine and ten. The most significant statistics become relevant findings, and were presented in chapter 11.

5.7 Reporting the findings Chapters six, seven, and eight addressed the analysis of each case study. Chapter nine focused on two research objectives findings, failure and criteria, and chapter ten presented the results from two other research objectives, conservation theory significance, and strategies. Two types of results were combined in chapters nine and ten. The first type of findings was network displays that evolved from the international key-experts questionnaires. The second type of findings developed from the three case study analyses. Both combined answered each research objective. The comparison and merging of the data display with the case studies results provided the foundation to draw overall conclusions, which

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are addressed in the last chapter, chapter eleven. This display combination created ‘meta-displays’, a process used to combine distinct displays, which following Walliman can “amalgamate and contrast the data from each case” (2006, p.139). Findings were cross-compared between the four research methods in a consistent and systematic way. If the variable was identified just once, it would be discarded, and not taken into consideration; if the variable was recognised twice, in one of the four methods, then it was accepted as a finding. If the variable had three or more recurrences, then it was accounted as an important finding. These criteria processes helped reinforce the final conclusions argument.

5.8 Conclusions This chapter presented the research aims, the overall methodological design, the sample selection, the data collection methods, the data analysis and the report of the findings. During the investigation analysis, Bromley emphasises the need to “cross-examine the quality and sources of the evidence to ensure accuracy and consistency” (1986, p.26, cited by Walliman, 2006, p.130). The investigation had seven sources of collected data and addressed a combination of case study strategies and qualitative methods. On the first case, data reduction for cross-case analysis was considered, with three types of procedures; but also within-case analysis was taken into account with two summary techniques. For data display in case study strategies, three analytic techniques were followed. Concerning qualitative methods, data reduction was integrated through data coding and pattern coding of the questionnaires. In this case, data display was addressed by categorisation, diagrams, and networks. Ultimately, findings were compared through the four resulting displays, and were presented in chapters 9 and 10. Overall conclusions responding to the four research objectives were presented in chapter 11.

CHAPTE ER SIX CO ONSERVA ATION IN EARTHE EN SITES CHAN H CHA AN (PERU U)

Fig.6.1 - Secttor of Audiencees, in Tschudi Palace, P Chan Chhan, Peru (crediits: Mariana Corrreia, 2005).

6.1 Intrroduction to the case sstudy This chaapter introducces the first case c study unnder investigation. The analysis of tthe internationnal key-expertt questionnairres provided an a overall vision of thee state of knoowledge regard ding earthen cconservation. Chapters 6, 7, and 8 complete thiis overview th hrough the annalysis of thee selected case studiees. These chhapters com mprise the innvestigation of their architecturall or archaeoloogical significaance; criteria ffor their nomiination as a World Heeritage Listed site; as well as a the manageement system m analyses of each site.

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Furthermore, the conservation state and conservation practice undertaken in the three sites highlight their methodology of intervention. Following this, the four research objectives are addressed in each site (to investigate reasons for failure, to recognise criteria for intervention, to address significance of conservation theory, and to understand undertaken strategies). Finally, the examination of the case studies, the site questionnaires analysis, the analysis of the comparative issues between the three sites, and the summary of key issues are presented. Chan Chan is the first selected case study, following the criteria stated in section 5.4.1. Chan Chan is considered as a World Heritage Site, the most extensive earthen complex in the world. Chan Chan is an earthen archaeological site located in the Moche valley, 5km northwest of Trujillo, on the north coast of Peru. It is situated 600km north of Lima (Orazi and Colosi, 2003, p.465). The inhabitants of the Moche valley were the Mochica and Huari, when the Chimú culture arrived around the 9th century AD. In 1100 AD, following the collapse of economy resulting from the “El Niño phenomenon, as well as several tectonic movements” (Castellanos, 2000, p.69), the Chimu state directed its attention to military activities, “to conquer and dominate the neighbouring valleys (…) consolidating Chimu power” (INC, 2000, p.5-Executive abstract). It was in 1300 AD that the Chimú culture initiated the dynasty of the Chimor Empire (Briceño Rosario, 2004, p.13-15). Chan Chan became the religious and administrative capital of the Chimor Empire during the reign of ten rulers, reaching its maximum splendour in 1450 AD, with an estimated 35,000 inhabitants living in the citadel (INC, 2000, p.5-Executive abstract). Some authors argue that the first emperor founded the city and the following nine emperors each built a citadel, to serve “as a dwelling place and a mausoleum” (Pinillos, 1995, p.14). This empire extended over an area of 1,000km, on the north coast of Peru (Valle Alvarez, 2004, p.9) and fell under the Inca conquest, between 1462 and 1470. Chan Chan was then almost abandoned as a living city and was again conquered by the Spanish approximately 60 years later (Briceño Rosario, 2004, p.15). According to several authors, the meaning of Chan Chan in the autochthon Yunga language is “City of the Sun” or “Warm City” (Pinillos, 1995, p.24). At the present time, the complex has an area of 14.14km², however, its original area was about 20km² (Valle Alvarez, 2004, p.9). Chan Chan was built “in the desert on the right side of the river” (Pinillos, 1995, p.12). The complex is composed of different types of structures: vernacular architecture for the local population, intermediate

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architecture for official staff, s and mon numental builldings (Valle Alvarez, 2004, p.9). N Nine walled citadels, c know wn as townshipps or palaces, represent the later perriod. Besides this, there aree also “thirty- five architectu ural units and semi-m monumental ennsembles, six huacas, cerem monial roads, and four extensive poopular neighboourhoods” (IN NC, 2000, p.6)). The huaccas were builtt as pyramidal type structurres dedicated to sacred ceremonies, related to the concept of transcenndence. Acco ording to Campana, hhuaca represeented the ideea of an anncestral poweer, which explains in ccertain cases the t burial of men m at huacass (2000, p.120 0). Within the citadels,, there were autonomous a units u containinng ceremoniall squares, temples, reeservoirs, garrdens, burial places, andd storehousess of the aristocracy, but also labyrrinths and blin nd alleys (Pinnillos, 1995, p.15). p It is believed thaat most of the population p liv ved outside thee citadels.

6.2 A Architecturral and arch haeologicall significan nce The citaadels were buuilt in successive different historical perriods, but with similarr architecturall typologies. The overall ccomplex emerrged as a metropolis, and followinng outstanding methods o f town plann ning. The early phase is composed of the townsh hip of “Chaiwaac”, at the sou uth of the complex, annd the “palacee complexes of o “Uhle”, “Teello”, and “Laaberinto”, in chronologgical successioon’ (Pinillos, 1995, p.14).

Outlined is Tsch hudi Fig.6.2 – Plann of Chan Chann’s complex by INC, in Peru. O palace and, onn the right, the Pacific coast (ccredits: Marianaa Correia, 2005).

In the seecond phase, named n the tran nsitional phasee or middle period, the palace of “G Gran Chimú” was w built; while in the late or imperial period, the “Velarde”, ““Bandelier”, “Tschudi”, “ “R Rivero”, and “Squier” palaaces were

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built (Pinilloos, 1995, p.144). The time period classiffication of thee citadels was based on investigattions made by b Alan Kolaata, who anallysed the “chronological sequence through a sttudy of the aadobes of Ch han Chan according too their charactteristics and usses” (Pinillos,, 1995, p.14). Howeverr, Valle Alvarrez argues thatt the existing information co oncerning Chan Chan’s historical buuilding sequen nce is insufficcient, and morre studies should be carried out, foor instance, more m archaeoloogical excavations and radiocarbon tests (2004, p.27). The T possibilitty of archaaeological excavation rregarding Chhan Chan’s hiidden history and iconograaphy still develops a llot of interestt nowadays, which w can be noticed throu ugh many published ppapers and books, b but allso the archaaeological preessure to continue exccavating the site. A high ccontrol of the material m and the t building m method can cerrtainly be discerned reelated to adobbe use in Chaan Chan, as m more than 17 different shapes of addobes were ideentified, at leaast for the com mplex walls (C Campana, 2000, p.117). For instancce, a specific type t of adobee with a trunk k-pyramid type shape w was applied foor the citadel surrounding s w walls. These w walls had maajor relevancee at the timee and were built for defensive puurposes. In thee case of Tsch hudi palace, thhe citadel walll presents a height of 12m, and it is i 1,500m lon ng (Pinillos, 11995, p.28). To T ensure strong and tthick earthen walls, the citadel’s surrounnding walls were w built wider at theiir base and naarrower at the top. With thee increase of th he height, the wall thicckness would decrease, as would w the sizee of adobes (Fiig.6.4).

Fig.6.3 - Diff fferent dimensioons of adobes at Tschudi palaace, in Chan Chan, C Peru (credits: Marriana Correia, 2005). 2 Fig.6.4 - Section of paartially destroy yed citadel wall, in Chann Chan, Peru (credits: ( Mariana Correia, 20005). Fig.6.5 - Protective shelter of thhe emperor’s toomb, Tschudi palace, in Chhan Chan, Peru u (credits: Mariana Corrreia, 2005).

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Through this method, deterioration was avoided, due to “humidity and the salinity of the earth, and ensured that it [would be] earthquake-proof’ (Pinillos, 1995, p.15). Inside the citadels there are walls with very significant decoration, such as “raised friezes in which abstract motifs, anthropomorphic and zoomorphic subjects add to the exceptional splendour” of the ruins (World Heritage, 2007b, p.4). The grandness and the enormous scale of the complex are impressive, in spite of the damaged structures and the great deterioration of the site fabric. Due to the advance of decay, just Tschudi Palace is open to visitors, as it is the most excavated and best preserved citadel.

6.3 UNESCO World Heritage List According to UNESCO World Heritage Centre, “the vast and fragile site of Chan Chan was inscribed on the List of World Heritage in Danger in 1986, the same year it was inscribed on the World Heritage List” (2008). The criterion chosen to justify the nomination was: “Criterion (i): The planning of the largest city of pre-Colombian America is an absolute masterpiece of town planning. Rigorous zoning, differentiated use of inhabited space and hierarchical construction illustrate a political and social ideal that has rarely been expressed with such clarity.” “Criterion (iii): Chan Chan bears a unique testimony to the disappeared Chimu kingdom.” (World Heritage, 2007b, p.7)

Since Chan Chan was listed as a World Heritage site, the Peruvian authorities have developed several conservation actions. The actions have been focused “on controlling the rising water table levels at the property, as well as site management actions, security concerns, and illegal occupations” (World Heritage, 2007b, p.4). However, the criticism of the World Heritage Committee has increased concerning the strength of the “institutional capacity for implementing the management plan. To date, there is no formal decision-making, professional team working full-time at the site, there is lack of prioritisation in implementing actions, and some of these continue to be politically driven” (ibid., p.5). The State Party addressed some of the recommendations by creating Supreme Decree (nº26-2006), Emergency

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Decrees (nº0032-2006 and nº001-2007) and Ministeriial Resolution n (nº07142006) speciifically relatedd to the arch haeological coomplex of Ch han Chan (World Heriitage, 2007b, p.12). p

Fig.6.6 - Beefore restoration: Tschudi cittadel surroundiing wall in Chan C Chan (credits: Mariana Correia, 2005). 2 Fig.6.7 - Following resstoration: Tschu udi citadel surrounding w wall in Chan Chhan (credits: Lu uis Guerrero, 20007).

In 2008,, the World Heritage H Comm mittee recognnised the recent efforts made by thee State Party, following the 2007 joint m mission. How wever, the WHC recom mmends that it i is “critical that t capacity building and technical training is cconsidered inherently in th he implementtation of projects. The implementattion unit shouuld also consiider a broad technical partticipatory decision-maaking processs, particularly y enforcing ccollaboration between archaeologissts, conservators, and arcchitects” (Woorld Heritagee, 2008a, pp.82-85). T The WHC reiiterated in itss draft decisioon the “requeest to the State Party to develop, (…), ( a draft statement s of O Outstanding Universal U Value includding the condiitions of integ grity and autheenticity, and a proposal for the desirred state of coonservation (… …)” (World H Heritage, 2008 8a, p.38). The four page compreehensive rev vision of Chhan Chan’s state of conservationn, by the WH HC and its draaft decision arre important factors f in forcing the State Party to undertake more particiipative and long-term l action.

6.4 Addreessing the Manageme M nt Plan H Comm mittee requiredd for the Statee Party to In 1997, the World Heritage produce a m management plan p for Chan n Chan (Casttellanos, 2001 1, p.111). The Manageement Plan off Chan Chan was w prepared dduring 1998 and a 1999,

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being published in 2000, as Supreme Decree Nº003-2000-ED (INC, 2000, p.3-Executive Abstract). The plan was assigned to the National Institute of Culture in Peru (INC) through its regional department in La Libertad. It received the contribution of the World Heritage Fund, UNESCO’s representation in Peru, as well as collaboration of GCI and ICCROM (Castellanos and Hoyle, 2000, p.14) and the support of CRATerreENSAG. The plan was extensive and incorporated seven programs with 24 sub programs and 140 projects (Castellanos, 2000, p.79) for research, conservation, and management of Chan Chan. Extensive dissemination was also undertaken through interpretative material addressing the Executive Summary, as brochures and booklets in Spanish and English, but also a CD-ROM with the comprehensive plan proposal. Copies of the nine volumes composing Chan Chan management plan and appendices with produced data were distributed to the major international heritage entities. A participative and interdisciplinary approach was fundamental to involving different stakeholders and disciplines, which also “provided a better knowledge of the values of Chan Chan and the understanding of its conservation issues” (INC, 2000, p.2-3-Executive Abstract). This was possible through a broad consultancy of national and local stakeholders and a value based approach undertaken during the process of creating the management plan. As stated in the Executive Abstract, “the planning model, where values and cultural significance are the driving force in the decision-making process, guided the interdisciplinary and participatory approach” (INC, 2000, p.3-Executive Abstract). The management plan integrated a zoning framework for short, medium and long-term approaches, but it also defined roles and responsibilities to “provide means to address potential future conflicts and to better manage change” (Castellanos, 2001, p.115). Unfortunately, the management plan was not implemented in Chan Chan, which had a profound impact on the mitigation of pathologies affecting the site. However, according to Castellanos, the planning process of the management plan was “essentially the same process as that described in the paper by Martha Demas (…), with minor adaptations made for the Peruvian context” (2000, p.75). This suggests that the management plan form was pre-existent. It is believed that the methodological approach “derived mainly from the didactic materials and methodology developed for PAT 96, a Pan-American course on the conservation and management of earthen architecture and archaeological sites” (ibid., p.74). The course was developed between TERRA project partners: CRATerre-ENSAG,

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ICCROM and GCI. The significance-driven system was content refined by the GCI, as a strategic tool for effective conservation management in World Heritage Listed sites. This is the case of the management plan for Joya de Cerén, in El Salvador, which was prepared by GCI and Concultura (Castellanos and Descamps, 2009). Comparing the review of literature addressed in this thesis, in section 2.3.1, Management plan and Master plan are different plans with distinct goals. It was observed through the analysis of the management plan of Chan Chan that both terms are randomly applied throughout the project proposal. This illustrates the still existing confusion of terminology. Additionally, in this case and as mentioned in section 2.3.5, the process of developing the management plan for Chan Chan was so profound and extensive that it brought difficulties in implementing it. As previously mentioned, this was due to political reasons, but also due to demanding targets, resources, and a wide-ranging plan to achieve the proposed goals. The WHC/ICOMOS/ICCROM mission undertaken in Chan Chan in February 2007 emphasises that priority should be given to the “course of action prescribed in the management plan, where a holistic approach has been defined for the excavation, conservation and preservation of sectors according to the availability of resources, both technical and financial” (World Heritage, 2007b, p.5). Apparently, the State Party finally took positive actions in 2006 and 2007, by creating Ministerial Resolutions and Decrees designating a management plan and administrative director to the site, authorising the implementation of emergency action at the site and updating its management plan (World Heritage, 2007b, p.12). However, at present, these decisions still have to address increasing and continuous preservation actions at the site.

6.5 Conservation state of the site The site is very exposed to cyclical strong rains originating from “El Niño”, to floods and to seismic activity, as this region is located “in the earthquake belt of the Pacific Ocean. The last flood was in 1925 and the last earthquake in 1970” (Pinillos, 1995, p.13). Several of the earthen structures are affected by the direct action of the “combined effects of wind and rare atmospheric precipitation; [but also] the proximity of the water table and the salinity of the soil and air (…)” (World Heritage, 2007b, p.7). The presence of salts brought by the wind or by the groundwater also affect the particle cohesion that composes the walls, resulting in their structural degradation. Moreover, this also has an impact

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on materials that are lost “on the capping layers and [in] both original and restored decorative components (…)” (World Heritage, 2007b, p.13). It is important to notice that the “best explored and restored palaces (Tschudi, Gran Chimú, Laberinto) present damages on a minor scale compared to those still to be restored” (World Heritage, 2007b, p.13). The executive abstract also recalls attention that several of the excavated components have been left without protection, which created serious erosion problems (INC, 2000, p.23). It underlines that it is possible to recognise some deficiency in conservation interventions derived from reconstruction concepts, which generated structural and stability problems when addressing the original problems (ibid., p.23). The lack of continuity of the conservation works and lack of full management plan implementation brought disruption to the previous efforts. This affected the authenticity and integrity of the site, and it was one of the main reasons for the WHC draft decision concerning reassessment of authenticity and integrity at the site. This will provide justification and definition of priorities of action, to keep the site listed. 6.6 Conservation Practice on site Chan Chan has had several conservation interventions in the last fifty years. Castellanos considers the existence of two conservation phases (2000, p.71). The first phase was between 1964 and 1969 and relates to the Tschudi palace intervention with a “type of highly criticised pastiche (…) to satisfy the demands of mass tourism” (World Heritage, 2007b, p.8). Castellanos states that this was “largely oriented toward reconstruction for formal presentation” (2000, p.71). The reconstruction of walls and frieze decorations can be observed in the Grand Ceremonial plaza at Tschudi Palace (fig.6.8 and fig.6.9). Morales Gamarra supports the criticism about the arbitrary reconstruction undertaken in Chan Chan (2007, p.264). After 1974, “a stronger emphasis was placed on (…) stabilisation of structures, through the application of sacrificial renders and capping (…)” (Castellanos, 2000, p.71-72). As previously mentioned, capping with soil cement was addressed on some of Chan Chan’s earthen friezes (Alva Balderrama and Chiari, 1995, p.105). Morales Gamarra directed criticism to some UNESCO experts who applied a stabilised mortar of soil-sandcement as capping (1983, p.112). As an alternative solution, the use of lime-soil was firstly proposed for capping and for the stabilisation of the friezes, and the use of acrylic emulsion, as well as other chemical substances of plastic origin, such as Polyvinyl Acetate. Morales Gamarra stated that results were not satisfactory as there was recurrent exfoliation due to the high humidity (1983, p.113).

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Fig.6.9 - Grand Ceremonial Pllaza with reconnstructed walls during the Fig.6.8 and F 1960s, Tschuudi palace, Chann Chan (credits:: Mariana Correeia, 2005).

Accordinng to Moralees Gamarra, the only satiisfactory solu ution was through the use of treatm ments with ethyl silicate, a solution ap pplied by Chiari in 19975 to Tschuudi Palace (2007, p.266). Alva Balderrrama and Chiari also confirmed thhe “good resu ults despite toorrential rain in spring 1983” (19995, p.109). However, H thee irreversibillity characterr of the treatment still does not convince all th he experts (M Morales Gamarrra, 1983, p.113). Also, duuring this secoond conservattion phase, atttention was addressed a to the reburrying of exposed decorated d surfaces (Caastellanos, 20 000, p.7172). For insstance, this haappened in Riibero Palace, which was in ntensively archaeologiccally excavatted and had the different components reburied after conservvation measurres did not maanage to mitiggate the acceleeration of decay. Alva Baalderrama andd Chiari undeerlined the prroblem of ex xcavating, backfilling, re-excavatingg several timees and back ffilling repeateedly, as it brings an innstable enviroonment to th he earthen fraagile friezes, and also vulnerabilityy to illicit digggers (1995, p.112). In 19977, more archaaeological excavations were carried out at the sitee, as well as coonservation practice p to eliminate saalts from eaarthen decoraations (INC, 2000, p.14-E Executive Abstract). A third pphase can be considered c aft fter 1998, and following thee El Niño phenomenonn, which greeatly affected d the site. Thhis phase is partially focussed tow wards preventtive conservatiion.

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Fig.6.10 – Thhe reconstruction of the surro ounding wall ddone during thee 1960s is identified on the exterior of the Grand Ceeremonial Plazza, Tschudi Pallace, Chan Chan (creditss: Mariana Corrreia, 2005). Fiig.6.11 - A saccrifice layer off gravel is used to protecct the top of thhe walls. Audien nces sector, Tscchudi Palace, Chan C Chan (credits: Mariiana Correia, 20005).

Fig.6.12 and F Fig.6.13 – Recoonstruction of the surroundingg wall in Velard de Palace, Chan Chan (ccredits: Luis Guuerrero, 2007).

This cann be observed through the erected e shelteers “made of canes c and woven thatcch, [which] provided p a lo ow-cost alternnative to mittigate the extensive damage” (Castellanos, 2000, p.772). In 20 007, the WHC/ICOM MOS/ICCROM M join missio on emphasisess that the con nservation “interventionns undertakenn have not addressed prioriity conditionss” (World Heritage, 20007b, p.5). Thhis was also du ue to the fact tthat interventiions have not been carrried out systeematically, bu ut “basically onn an emergen ncy basis”

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(Castellanos, 2000, p.74). Later in 2007 the reconstruction of the surrounding walls of Valerde Palace and Tschudi Palace started. It was observed that the same type of contemporary adobe technology applied throughout the overall intervention.

6.7 Methodology of intervention on site As part of the planning methodology, the management plan was composed of three phases: study and documentation, analysis and answer. In a first phase, the planning process integrated the identification of the site and collection of documentation related with its physical and historical evolution (INC, 2000, p.8-Executice Abstract). The second phase was considered the most important in the overall process, as it encompassed the analysis of the site values from different perspectives and from distinct stakeholders and sectors. Finally, the third phase comprised the definition of policies and key-criteria for all the actions to undertake in addressing the conservation and management of the site. However, as the management plan was not fully implemented, the methodology of intervention was not entirely addressed. Besides, documentation and recording should be updated, as ten years after being prepared they are no longer accurate. Additionally, the joint WHC/ ICOMOS/ICCROM mission also underlined that it would be “a great source of documentation to gather all sorts of graphics from the new interventions, in order to have sequences of before-during-after interventions” (World Heritage, 2007b, p.5). In 2003 and 2004, there is reference to an interdisciplinary working group composed of the National Institute of Culture - La Libertad from Peru, the CNR-ITABC and ICCROM, both entities located in Italy. The project developed using GPS, photogrammetry, aerial and satellite images to record Rivero palace, and to create an operating model of documentation and surveying (Colosi and Orazi, 2004, p.165). It was also important to compare the general state condition of the Rivero Palace through the decades, which was possible by comparing aerial Harvard expedition images from 1970, and the 2004 “high resolution images from the quick bird satellite” (ibid., p.167). Beside the aerial data collection concerning the condition of the palace, it would also be fundamental to have a more detailed survey of facades and sections of the standing walls. Furthermore, a common goal of the project was the creation of a documentation centre to be held “at the modern Chan Chan museum” (Orazi and Colosi, 2003, p.472), but no further data related to its creation is to be found.

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6.8 Reasons for failure identified at the site In Chan Chan, beside the natural factors affecting the site, there is failure related to the control of pressures affecting the site fabric. State authorities have difficulties in discerning its origin, as there is a lack of care and awareness of Chan Chan’s outstanding significance by a part of the local population. Several factors affecting the site were identified during the field trip observation to Chan Chan, as well as during the analyses of the reports related to the World Heritage Committee decisions. The factors contributing to failure are construction incursions into the buffer zone, garbage dumps, vandalism, motocross rallies, agricultural pressures, plundering of tombs, soil extraction for adobe manufacturing, etc. Castellanos also underlines that the “low-income levels of the adjacent communities promote looting and deterioration of the site’s structures, which are also increased by uncontrolled access to the site” (2000, p.73). The World Heritage Committee underlined this, in 2001, emphasising the importance for the State Party to define “the limits of the property in order to avoid further encroachment” (World Heritage, 2007b, p.9). Recognised reasons for failure to enhance the site originate from lack of decision and commitment, but also a lack of determination to manage and to continuously conserve the complex of Chan Chan. This can be due to political pressures and weak local decision-making in conservation practice matters, even though there was published legislation answering to the WHC requirements and there was also some “recovery of illegally occupied sectors used for agricultural and industrial activities” (Castellanos, 2000, p.73). However, according to the WHC/ICOMOS/ ICCROM report, there is still “limited capacity for decision-making, evidenced by the lack of expertise in conservation and a certain unwillingness to follow the prescribed course of action already defined in the management plan” (World Heritage, 2007b, p.16). Failure is also recurrent due to pressure originating from continuous archaeological excavations, without preservation procedures being addressed and conservation interventions being applied. There is also recurrent failure to control open tourism in the overall complex, with visitors and cars openly accessing any exposed and unprotected remains. In Chan Chan, several factors are contributing to a negative impact on the quality of a visit to the site. There are insufficient prepared infrastructures for public use, lack of conservation and maintenance measures throughout the site, missing overall site promotion and interpretation material (except some of Tschudi Palace), “uncontrolled tourism with no visitor management strategies in place (Castellanos, 2000,

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p.73), etc. However, according to the WHC/ICOMOS/ICCROM joint mission, some of the access and parking was improved, but not finalised (World Heritage, 2007b, p.16). If compared with other cultural sites that are not World Heritage listed, such as Huaca de la Luna, the number of visitors is decreasing drastically (Morales Gamarra, 2006). Other reasons for failure are related to a lack of permanent conservation site policies, and a lack of implementation of the management plan and of a site conservation unit. But there are also inconsistent criteria for intervention, as will be explained in the following section.

6.9 To recognise criteria for intervention at the site According to Morales Gamarra, criteria for intervention were addressed in Chan Chan in 1983. When analysing the proposed criteria, it underlined: to first neutralise degradation factors and then to consolidate the structures (relating to methodology of intervention), to avoid formal reintegration of components (concerning recommendations), to consider reversibility (comprising of conservation principles), etc. (1983, p.111112). It is interesting to note that at this stage, the notion of criteria for intervention was still not very clear. The same author later relates criteria to conservation principles (Morales Gamarra, 2007, p.262). At the present time and according to the WHC/ICOMOS/ICCROM mission’s report, criteria for intervention have not been sufficiently addressed in Chan Chan, and needs “to be adhered to, as has been prescribed, in accordance to the significance of the site and respectful of international principles” (World Heritage, 2007b, p.5). Moreover, it is recognised that through the years, different responses have been applied for wall treatment conservation, as shown in the criteria for intervention, which are inconsistent with international conservation policy. An illustration of this situation is “the current decision of not differentiating the new from the original adobes in walls; or the decision to apply a finishing superficial layer against the old criteria (INC) of leaving the faces of adobes exposed and marked (World Heritage, 2007b, p.14). This was a procedure that allowed the visitor to accurately read the sequences of applied treatments.

6.10 Addressed significance of conservation theory at the site In the Charter of Venice, article 9 states that restoration “is based on respect for original material and authentic documents. It must stop at the point where conjecture begins, and in this case, any extra work that is

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indispensable must be distinct from the architectural composition, and must bear a contemporary stamp” (ICOMOS, 2004, p.37). Additionally, Cracow Charter (2000) underlines in article 4 that “reconstruction of entire parts ‘in the style of the building’ should be avoided. Reconstruction of very small parts having architectural significance can be acceptable as an exception, on condition that it is based on precise and indisputable documentation” (Charter of Cracow, 2000, p.2). “Gran Plaza de Ceremonias’, in Tschudi Palace was, to a great extent, reconstructed. In fig.6.10, when comparing new and ancient fabric, in the background of the plaza the part that was reconstructed can be observed, which is a positive aspect. However, when visiting the interior of the plaza, the lack of physical indication and interpretation material concerning the new intervention, but also the unified image given by the new intervention, transmitted a false interpretation of it being ancient fabric (fig.6.8 and 6.9), and it partially contradicts the mentioned art.9, from the Charter of Venice. The International Cultural Tourism Charter (Managing Tourism at Places of Heritage Significance, 1999) emphasised that poorly managed tourism can threaten the site and its “physical nature, integrity, and significant characteristics. The ecological setting, culture, and lifestyles of host communities may also be degraded, along with the visitor’s experience of the place” (ICOMOS, 2004, p.139). This is recognised in Chan Chan, especially with informal and open tourism, but also through some of the pressures that affect the complex. The conservation and tourism leadership on-site is recognised as being non-existent. This results in a low level of significance of the complex for the local community. As a consequence, some of the population does not value the site and even contributes to its degradation by dumping garbage, drawing graffiti, holding motocross rallies, but also by plundering tombs for tourism artefacts to sell, etc., which definitely affects the visitor’s experience to Chan Chan. Another aspect to consider is: when will the Chan Chan site’s valuable heritage be considered a ruin beyond recovery? Brandi studied this problem and associated the response to the recognition of the potential unity of the object (Jokilehto, 2004, p.232). It is difficult to identify the turning point of unrecoverable damage. For the recognition of site significance, UNESCO usually requires the assessment of authenticity and integrity principles. Both were identified in Chan Chan, when the site was nominated for the World Heritage List. Recently, due to the increase of decay, UNESCO requested a new assessment of “Outstanding Universal Value, including the conditions of integrity and authenticity” (World Heritage, 2008a, p.38).

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Chan Chan’s cultural significance was established as emerging from the following values: historical, aesthetic, scientific, and social. They are a reference to the projects and the development of the work programs, as well as the decision-making management (INC, p.25-Executive Abstract). The value-based approach recognised in Chan Chan’s management plan is related to article 2.2 of the Burra Charter, in which “the aim of conservation is to retain the cultural significance of a place” (ICOMOS, 2004, p.64). Fernandes emphasises that during Chan Chan’s PAT 96 course, the site assessment of significance was identified according to the different values; as to some conservators “conservation was a question of values” (Jorge et al., 2005, p.136). This argument is valid as, through the literature review, the value-driven approach is part of the overall conservation process, thus it should not become its main goal.

6.11 Addressed strategies at the site For a strategic approach and according to the WHC/ICOMOS/ ICCROM report, it is crucial to address training and capacity development “for sustainable long-term implementation of the management plan, but also to disseminate the value of the invested efforts” (World Heritage, 2007b, p.5). Besides, it is also mentioned how jeopardising it is to the existence of an “immense network of screes, toward which the Chan Chan site is beginning to evolve (and that) is raising serious problems of doctrine and strategy” (ibid., p.8). This is due to the tendency for exhaustion of local resources and the lack of a sustainable strategy. In the management plan, when addressing the management of the global area, beside components, activities description, funding budget, chronogram activities, etc., different stages are established for each milestone and strategy. Additionally, “strategic axis of action” and “principles for development strategies” are included within the management plan proposal. Both have a tendency for the definition of general goals and principles instead of specific proposed strategies of action. The continuous delay by the state members of the management plan, full implementation and the lack of setting up full preservation measures in Chan Chan made the World Heritage Committee take action. The organisation of an international joint mission to Chan Chan helped establish prioritisation of “benchmarks for corrective measures and timeframes needed for the removal of the property from the List of World Heritage in Danger, and those needed for the continuing sustainability and its continuous monitoring, together with the necessary technical training” (ibid., p.10). Following the update of the management plan, if the State

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Party develops an implementation strategy taking into consideration the existent resources, this could contribute to a more feasible and realistic approach to implement the management plan.

6.12 Site questionnaires analysis This section presents the principal issues rising from site questionnaires analysis: Holistic approach – The holistic approach addressing values, deterioration mechanisms and threats to the site was an important contribution. Value-driven process – The assessment of Chan Chan’s significance was the driving force of the planning process, with stakeholder’s consultation becoming fundamental to defining site values. Community participatory process – Jeanne Marie Teutonico underlined in the site questionnaire that the management plan included “actions related to social and economical issues in the community”. As stated by Luis Guerrero, this was a participatory management tool with a strong impact on the structure of the plan. This contributed to a collective and interdisciplinary vision, “with solutions based on those consultations”, as stated by Pamela Jerome. Interdisciplinary process – The management plan received the contribution of consultants from different disciplines, which implied an interdisciplinary approach. This is considered by several of the interviewees to be an important strength of the management plan. Involvement of international entities and collaborators – World Heritage Fund, UNESCO, GCI and ICCROM collaborated with INC in the development of the management plan. CRATerre-ENSAG was actively involved in the methodology process definition, and the international participants of PAT 96 and PAT 99 collaborated during the courses. Effort to involve stakeholders – Several interviewees underlined the great effort engaged in involving national and international stakeholders. According to Pamela Jerome there were even efforts to involve the people that traditionally used the site for farming activities. Hugo Houben mentions that the universities of Trujillo were not involved.

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Stakeholders’ impact - In spite of the effort to involve all the stakeholders, Luis Guerrero and Hugo Houben underline that little weight was given to the different economical, political and social interests of actors related to the site. Carolina Castellanos adds that the “public use component should have been more explicit, rather than imbedded throughout the other research and conservation programs”. Image, communication and dissemination of the management plan – The summary version in English, Spanish and French languages, the executive abstract, brochures and CD-ROM contributed to the full dissemination and understanding of the management plan. Additionally, there was careful graphic design work in the management plan interpretation material. Not enough conservation professionals – Local professionals have the constructive knowledge, but very few have enough conservation intervention knowledge. Besides, local professionals do not have access to resources and miss decision-making, which is very centralised in Lima, and subject to the political structure. Content of the management plan – According to Hugo Houben, the management plan was very sophisticated, complete, detailed, and considered all the aspects that a management plan should include. Luis Guerrero remarks that the comprehensive regional and urban scale of the management plan, but also the constructive details on projects were very comprehensive. Rigorous methodology process - The approach was based on the methodology followed during the conservation course PAT 96. The methodology and the structure of the plan are considered some of its strengths. Academic format – The fact that the management plan followed a more academic format was a weakness. Jeanne Marie Teutonico states that the management plan proposed “discrete units that permit individual sponsors or government bodies to take on limited but integrated parts of the plan”. However, according to Hugo Houben, there was no real assessment of the available local resources, as the management plan defined resources did not correspond to reality. This created a kind of naïve plan that could never be realistically implemented.

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There is competition between earthen sites – According to Hugo Houben, there is fierce competition between the different sites in the region (Huaca de La Luna, El Brujo, Tomaval, Chan Chan, etc.). This can affect collaborations, stakeholder’s engagement, political decisions, etc. Difficulties within the INC organisation – The fact that local site conservation decisions directly depend on the direction of the INC, which in turn depends on the political power, enforces lack of decision-making at the site. Furthermore, and according to Hugo Houben, Ana Maria Hoyle was moved away from the INC direction for several years, as she was opposed to “President Fujimori’s corrupted government”. This had implications on the lack of implementation of the management plan, as she was one of its authors. Size of the management plan - Several interviewees underline the large size of the management plan, which was composed of nine volumes and more than 100 projects. This was a weakness and brought difficulties to its implementation. Management plan implementation remains difficult – According to Anthony Crosby and Jeanne Marie Teutonico, implementation remains an issue, as there are limited resources, both human and financial. Anthony Crosby also acknowledges that there are difficulties arising from external pressures, execution of sound, and consistent conservation treatments and overall approach to such a large site. Luis Guerrero stresses that difficulties are also due to the Trujillo urban expansion growing towards Chan Chan. Difficulties assessing physical condition - Although there is profound knowledge of the natural variables affecting the site deterioration, there should be more studies and research relating to the decay of the physical condition of Chan Chan. Anthony Crosby calls attention to unanswered questions related to “causes and effects relationships of decay (…)”. For instance, the crust formation existing on the top of the walls is prominent and deserves further analysis and examination to detect its origin. Unclear concepts - According to Luis Guerrero, the concepts associated with the definition of objectives, strategies, and actions were too general and vague. This brought lack of precision, therefore little management plan implementation.

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Monitoring control - Both Carolina Castellanos and Luis Guerrero emphasise that the management and control of the buffer zone is an important issue to address. Effective and continuous monitoring should be implemented, as the local community does not respect the site, and causes daily destructive impacts. Important missing actions to address – Several interviewees underline the need to address several important actions at the site, such as a strong collaboration between stakeholders; recovery of perimeter walls to control erosion; discontinuity of archaeological excavations; enlargement of public use activities; to address urban pressure of the site surroundings; etc.

6.13 Comparative Issues to address between the three sites These comparative issues emerged from the creation of logic models and pattern matching when comparing the contact summary form and the contact theme form from the three case studies. However, they will be addressed within each case study: a) How is the development base of each management plan? This management plan was based in a participatory process organised by 2 coordinators, 44 consultants from 9 distinct disciplines, and the 5 contributor entities. According to the Management Plan, 21 stakeholders were consulted (INC, 2000, p.7-Vol.1). The process was based on a methodology approach, previously developed in PAT 96 conservation course, through the TERRA project partners. b) What is the role of national and international stakeholders in addressing the management plan? According to several papers, the process of developing the management plan of Chan Chan was very positive, as it was driven by participation, in terms of community engagement and interdisciplinary participation. However, following the site questionnaire analysis, some mentioned stakeholders and consultants, in spite of being mentioned in the credits, did not feel involved in the process, which brought some disenchantment. Additionally, it seems that the process was developed according to a standard methodology in which population and stakeholders were merely consulted. According to some of Chan Chan’s stakeholders, they participated in discussions about the values and the needs, but they did not develop the plan together.

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c) How were interdisciplinary studies addressed in each management plan? An interdisciplinary approach was very soundly developed in Chan Chan’s management plan, with the participation of specific expert consultants from nine different disciplines: planning, archaeology, conservation, architecture, social anthropology, ecology, education and dissemination, tourism promotion, legislation (INC, 2000, Vol.1). There was no reference to the participation of engineers and craftsmen. d) Was there communication between stakeholders? According to the different consulted sources, in 1998 there was a true communication between the different entities involved in the preparation of the management plan. However, the fact that the National University of Trujillo felt excluded from the process brought criticism of the overall approach from this local stakeholder. After the management plan was successfully presented and published, problems of communication occurred in the following years between the coordinators for the management plan project and the political governmental party in power. e) How is management plan implementation being addressed at each site? Since the management plan was published in 2000, only target actions concerning emergency conservation interventions were addressed at Chan Chan. Even though the management plan integrated milestones to be achieved, schedules to follow, etc. Presently, there has been pressure by the WHC for the State Party to implement the management plan and establish in Chan Chan a permanent conservation unit. The State Party has already published specific legislation addressing this issue, but it is still missing a more independent decision-making at a local level. f) How is each site addressing conservation intervention? Conservation intervention is still very limited at Chan Chan, especially taking into consideration the size of the site. When there is intervention, it is for a limited amount of time and it is frequently discontinued. The site decay and degradation has increased, which is starting to affect the principles of authenticity and integrity. As a consequence, WHC requested the State Party to reassess its universal value and the proposal for the desired state of conservation (World Heritage, 2008a, p.38).

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g) How is the control of conservation intervention addressed on site? In Chan Chan, during the recent years, conservation intervention has been sporadic and limited. There is no continuity between the different conservation works, as there is no local unit for more systematic intervention. Besides, there is no real control of the quality of intervention, as there is no monitoring of conservation quality control permanently implemented on site.

6.14 Summary of key issues concerning Chan Chan site Some of the key issues that evolved from the case study analysis are mentioned below: Centralised decision-making - Too much energy and work was directed to the development of the management plan. Problems related with political pressures and a lack of local decision-making have an impact on the site degradation and decay, as well as lack of implementation of the management plan. In this case, there was too much local decision-making depending on the government, which contributed to a lack of pro-active answers. As a result, the response has been reactive, and based on emergency issues. Lack of community awareness – In spite of the punctual participation of the local population in the preparation of the management plan, there was not enough effort to develop long-term awareness and respect for the site by the surrounding community. This results in the rise of human factors and pressures affecting the site. Very little conservation intervention and practice – There is a high pressure for archaeological excavations and not enough conservation practice protecting the exposed remains. The large extension of the site and the lack of human and funding resources is an increasing problem. Furthermore, there is not enough conservation intervention knowledge. Maintenance and preventive conservation are non-existent at the site, as there are no continuous conservation activities. Need to develop conservation standards – There is the need to reinforce conservation standards and laws to protect earthen heritage. In general, there is neither precise protective legislation, nor conservation recommendations towards earthen sites.

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Lack of seismic retrofitting and awareness – In spite of being an area exposed to seismic activity, there is no seismic awareness at the site; neither is there seismic protection retrofitting of the earthen structures. Community awareness - Masons have a tendency to use the site for a source of materials. To involve the local community through awareness, but also through capacity building can be an effective tool for conservation and site maintenance.

CHAPTER R SEVEN CO ONSERVA ATION IN EARTHE EN SITES AIT BEN N HADDO OU (MORO OCCO)

Fig.7.1 – The Ksar of Aït Ben Haddou, in Morocco (ccredits: Marian na Correia, 2006).

7.1 Intrroduction to the case sstudy The secoond case studyy is Aït Ben Haddou. H It wass chosen as it followed the establishhed criteria mentioned m in chapter 5.4. 1, but also due d to its unique archhitectural charracteristics, which w made thhe site world d famous, especially ffor the film inndustry. Aït Ben Haddou site is locateed in the interior of Morocco, 311km from Ou uarzazate andd has been “globally protected sinnce 1953” (IC COMOS, 198 87, p.2). Seveeral authors mention m it and its imaage is dissem minated in sev veral posters and films due d to its impressive architectural scenario. Aït A Ben Hadddou is nam med after “Amghar Beenhaddou, thee first governo or of the site, w who lived theere during the Almoravvide period (11th century)” (Boussalh, 20008, p.20). Ap pparently, the Ksar or collective forrtified in-walll agglomeratioon dates from m the 18th century (Woorld Heritage Review, 199 98, p.60), but the “end of the t transSaharan caraavan trade, thhe disappearan nce of insecuriity, the emerg gence of a centralised nnation-state annd the spread of television (…) have all helped to

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overturn the traditional way of life in oasis societies” (Berriane, 1999, p.47). During the fifties, the Ksar still held about 70 families, almost 1,000 inhabitants (Michon, 2000, p.67), but during the sixties, most of its inhabitants moved from the Ksar to the “new village on the right bank of the oued El Maleh” (Boussalh, 2008, p.20). The new village provided improved infrastructure, as there was direct access to water and electricity. Just six families decided to remain and live at the site.

7.2 Architectural significance Aït Ben Haddou is considered the most important Ksar in the Ounila valley, near the renowned Dadès valley south of the High Atlas Mountains. The site presents an extraordinary group of buildings with an aesthetic appeal resulting from “their integration in the natural setting” (Boussalh, 2008, p.21) and offering “a complete overview of pre-Saharan building techniques and a summary of the architectural typology of southern Morocco” (World Heritage Review, 1998, p.60). The Ksar is surrounded by fortified earthen walls with towers that are dominated by a “round hill crowned, at 1,300m, [and] by a large collective grain loft, whose fortified walls are in bad condition” (Boussalh, 2008, p.21). This large collective granary, named ighrem or iqddarn (ibid., p.22), was of prime importance, which is one of the main reasons for the site being in an elevated location (World Heritage Review, 1998, p.60), as well as for its internal defensive nature organisation. Aït Ben Haddou also comprises two types of architectural spaces: “private (mainly individual houses) and public spaces such as a mosque; some threshing floors; and a public square used for festivities, upon which a number of tortuous alleys converge” (Boussalh, 2008, p.21). The Ksar is composed by a dense collection of earthen dwellings, namely “six Kasbahs and some 50 houses” (Berriane, 1999, p.47) all made of rammed earth and adobe. A Kasbah would be where a large family or clan resided. In Morocco, this large house is named Kasbah or Dâr in Arabic, and Tighremt in Berber (ICOMOS, 1987, p.1). The Kasbah encompasses basically “a central patio surrounded by four fortified wings with towers at the corners” (World Heritage Review, 1998, p.60). The Kasbah is comprised of different levels, “the ground floor is used for agricultural purposes, and the upper floors serve as living quarters in winter (the upper portion) and in summer (the lower portion)” (ICOMOS, 1987, p.1). Traditionally, the Kasbahs would be lived in for 200 years, and when suffering structural damaged beyond possibility of repair, the family would move and built a new dwelling. Kasbahs were built with a “single

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entrance, [and] are remarkable for their defensive architecture” (Berriane, 1999, p.47), because they were “conceived as the ultimate refuge in case of siege” (World Heritage Review, 1998, p.60). Surveying and architectural drawing of most of the Drâa valley of southern Morocco has been accomplished by CERKAS, Centre for the Conservation and Rehabilitation of Architectural Heritage of Atlas and Southern Atlas Regions, assisted by EPFL Institute of Photogrammetry of Lausanne (Kölbl et al., 2003, p.1). This inventory is concerned with the cultural heritage of the region and is composed of plans and photographs, details of construction elements from the door handles to the window details. This inventory was carried out largely for CERKAS to build its own database of the existing Moroccan historical heritage and, from there, to prioritise its action and preservation main aims.

7.3 UNESCO World Heritage List Aït Ben Haddou was listed on the UNESCO World Heritage List in 1987 (UNESCO World Heritage Centre, 2009). The justification for the site to be included was the fact that the Ksar “might serve as a testing ground for a conservation policy based on the return to traditional techniques of working earth and, secondarily, wood” (ICOMOS, 1987, p.2). As mentioned by the candidacy document, submitted by the kingdom of Morocco to the World Heritage list, Aït Ben Haddou represents a particular type of rammed earth architecture decorated with adobe, specific in Morocco to the pre-Saharan oasis of Dadès, Dra, and Tafilalet, as well as some mountain valleys directly related to these oases (Royaume du Maroc, 1986, p.2). These Kasbahs from the south of Morocco are characterised by distinguishing features that confers on them an exceptional value (ibid., p.4) Additionally, the celebrity among tourists, but even more, “the intrinsic qualities of the site, the organisation of space and the architecture” justify its inclusion (ICOMOS, 1987, p.2). ICOMOS equally suggests creating a buffer zone around the site with “several non aedificandi measures” (ibid., p.2). Two of the criteria chosen to justify the inscription of the site in the World Heritage List were: “Criterion IV: Ait Ben Haddou is an eminent example of a ksar in southern Morocco that illustrates the main types of constructions that may be observed in the valleys of Dra, Todgha, Dades, and Sous.” “Criterion V: This traditional habitat, which is representative of a culture, has become vulnerable as a result of irreversible changes.” (ICOMOS, 1987, p.3)

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The effort to list the site originated from previous interest of the Ministry of Culture of Morocco to develop the “kasbah route” (Michon, 2000, p.67) that integrated earthen Kasbahs and Ksour (plural of Ksar) to become one of the most famous tourist routes in Morocco. CERKAS was founded in 1989 (Boussalh, 2009, p.263), through the commitment of the Moroccan Ministry of Culture, with the support of UNDP, UNESCO and WTO (Berriane, 1999, p.48). For the Moroccan government, it is CERKAS that ultimately became responsible for leading the preservation of the Kasbahs. According to Berriane, Aït Ben Haddou was “the first ksar to be preserved under a state-sponsored scheme to save the Kasbahs of southern Morocco” (1999, p.48). This is important as its conservation and management will become a national example of future procedures to follow in addressing this type of heritage.

7.4 Addressing the Management Plan Aït Ben Haddou management plan was concluded in 2007. Mohamed Boussalh (CERKAS) and Sébastien Moriset (CRATerre-ENSAG) developed the plan, with the contribution of 68 people representing 29 stakeholders. “Inhabitants, elected representatives and technicians” (Boussalh, 2008, p.21), representatives of community, and local and national stakeholders that worked together engaged in this common project of a vision for 2012. This participatory process had been a significant matter for a long time, and Michon had equally underlined its importance (2000, p.68). Nevertheless, as mentioned by Sébastien Moriset in the site questionnaire, there were several reports, recommendations and strategic visions developed by experts in the past. In spite of interesting perspectives, they were isolated views that were not disseminated. The management plan evolved from a rehabilitation program developed during 1989 and 1990 between different Moroccan ministries and based on three issues: construction of infrastructures, conversion of the site, and installation of basic infrastructure supplies such as water, electricity, roads, etc.; supplying equipment – medical, socio-cultural, education, etc.; and promoting architectural rehabilitation and reuse of the dwellings of the ksar (Michon, 2000, p.68). The management plan outgrew these issues and evolved with a plan established by the involved stakeholders. Basically, it contains three major parts: description, evaluation, and action plan (Boussalh and Moriset, 2007, p.9). i) Description is based on data to understand the site and its management; ii) Evaluation concerns the actual situation, the site values to be considered, and the stakeholders’ vision for 2012; iii) There is an action plan that

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defines a strategy with realistic actions to materialise the envisaged vision. The management plan deals mainly “with the revitalisation of the site, seeking to ensure its protection, improve the quality of tourist facilities and monitor the evolution of the Ksar and its surroundings” (Boussalh, 2008, p.25). The engagement of inhabitants, associations and community in the development of the management plan was also crucial for its achievement. Inhabitants of the Ksar, representatives of the local community (such as members of the handicraft delegation or the rural region), Local Agenda 21 association, and the cultural development Aït Aïssa association (created by inhabitants from the Ksar), were present at the reunions (Boussalh and Moriset, 2007, p.7). Some of the members of the Aït Aïssa association were engineers and technicians (Michon, 2000, p.68), which also contributed to the interdisciplinary factors of the participation process.

7.5 Conservation state of the site At Aït Ben Haddou, Kasbahs had the ground floor and first floor built in rammed earth. The second floor and the Kasbahs’ top were constructed in adobe, which lightened the heavyweight monolithic walls. Most of the Kasbahs from this Ksar present a high quality of architectural detail in their facades. The top of the dwellings is more exposed to the weather agents, therefore it is this part that is better maintained and protected with earthen plaster. Nevertheless, it can be noticed that there is an attempt to preserve the site image to be seen from a distance. It was observed that the facades that are the best maintained and well preserved are the ones facing southeast, which is in the direction of the main access to the site. Several of the tourists do not enter the ksar, especially when the river is full, and instead choose to appreciate it from a distance. In 1999, Berriane stated in the UNESCO magazine: “The banks of the wadi [were] strengthened and a footbridge [was] built to provide access to the Ksar when the water level rises” (1999, p.48). In 2007, Boussalh mentions that the mosque was restored, the narrow streets were paved, covered passages were renovated, gabions in stone masonry were repaired to reduce erosion from landslides and flooding from the river, and the Kasbahs and their decorative motifs were preserved (2008, p.23). Sébastien Moriset, in the site questionnaire, maintains that until 2008, paths were prepared for safety, rubbish bins and fountain markers were placed in site, and the box office to buy tickets was built, among other actions.

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Fig.7.2 – Plaster protection at the top floors of a Kasbah at Aït Ben Haddou site, Morocco (credits: Mariana Correia, 2006). Fig.7.3 – Some structures that are still not conserved. Ait Ben Haddou site, Morocco (credits: Mariana Correia, 2006).

Fig.7.4 and Fig.7.5 – Conservation practice applying adobe masonry at Aït Ben Haddou site, in Morocco (credits: Mariana Correia, 2006).

In 2004, a manual of conservation for earthen heritage was developed (Boussalh et al., 2005). This booklet, in Arabic, French, and English editions was crucial to identifying causes of degradation, good practices, management and planning, production of materials, conservation works to undertake, and modifications to address in earthen dwellings in the region. This conservation manual plays an important role in encouraging best practice when addressing physical preservation of earthen architecture in the south of Morocco; however examples of correct and incorrect

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procedures have to be analysed witth caution. T The manual was also developed and integrateed into wideer conservatiion process guidance associated too the Managem ment Plan of Aït A Ben Hadddou.

7.6 Consservation prractice at tthe site There is some criticissm from some of the mem mbers of the Moroccan M Historical M Monuments Office O (Monu uments Historriques) relatin ng to the maintenancee of the site. In I an earthen architecture a coonference org ganised in Marrakesh, on the 25th April A 2006, some representaatives even arrgued that the Aït Ben Haddou site should s be rem moved from thhe World Heriitage List. The argumeent was that coonservation practice was noot addressed correctly. Too big adoobes for conseervation interv vention were aapplied, and very v wide waterspouts were installed, among other remarks.. The fact iss that the Historical M Monuments Office O was no ot included ass a stakehold der in the process to ddevelop the management m plan. p CERKA AS already rep presented the state autthority in term ms of heritagee entity, whichh probably en ngendered some internaal criticism. From annother standpooint, when analysing conseervation practiice at the site, it is obbserved that there t is a gen neral use of aadobe masonrry for all kinds of inteervention, eveen on gaps existent in ramm med earth stru uctures. It can also be noticed that the adobe in use is biggerr than the orig ginal size used, which can be observved at the top of the Kasbahhs.

Fig.7.6 – New w concrete beam ms hiding on th he interior of soome of the hou uses, in Ait Ben Haddou site (credits: Mariana M Correia, 2006). Fig.7.77 – Earth plasteer hiding a concrete beam m, in Ait Ben Haddou H site (credits: Mariana Correia, 2006). Fig.7.8 – Protection off some walls at a Ait Ben Haaddou site, Moorocco (creditss: Mariana Correia, 20066).

An addditional impoortant remark k is the lacck of superv vision of conservationn practice. Local workers can be obseerved in fig.7 7.8 using concrete beaams. There are a concrete beams b on insiide walls (fig g.7.6) and

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concrete beams hidden by earth plaster in exterior façades (fig.7.7). This was observed during the site visit. It became urgent to have more control of the site, in terms of conservation intervention addressed by local workers. There are also very positive interventions developed at the site. Several of the Kasbahs were already conserved, and there are also some preventive measures applied. For instance, for the prevention of erosion at the top of the walls, a head wall protection is used, composed of a sacrificial layer of gravel and clayish soil reinforced with cut straw. The fact that the ‘hat’ has wider edges protects the top and the exposed surface of the wall. Several other preservation works are also under progress. Sébastien Moriset states that in spite of several structures still being in ruins, a lot was done in the last two years.

7.7 Methodology of intervention at the site A comprehensible methodology of intervention is needed before approaching practice. Reviewing the addressed case study, it is clear that there is still confusion with terminology. For instance, Michon stated in 2000 that the international recognised methodology would be followed at Aït Ben Haddou (2000, p.68). Although, Michon, who was then collaborating in the Ksar rehabilitation project, mentions that the methodology is based in fundamental principles (ibid., p.68). It is interesting to note that the mentioned methodology is not defined or presented. What are presented are four principles for intervention that are not related with conservation theory or methodology of intervention. Michon justifies the use of these fundamental principles by the fact that they are “recognised internationally” (2000, p.68). However, they are more related with criteria for intervention than with international conservation principles. The principles mentioned by Michon are: (i) to restore only structures that can be regularly maintained; (ii) to conserve the layout of the dwellings and their ancient fabric; (iii) to use traditional techniques and materials, as much as possible; (iv) not to take any measure that is likely to change the history and art document represented by each dwelling and the overall site; and not to leave the decision-making concerning conservation in the charge of just one person, but it should be a commission constituted for this reason (2000, p.68). From another standpoint, on the inventory developed by UNESCO concerning the traditional architecture from the south of Morocco (1977, p.9), Vérité proposes a methodology for its protection and value. Briefly, the proposed methodology is: i) to register and study the existent

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architecture; ii) to use the abandoned kasbahs that have a historical and aesthetic value; iii) to conserve through intervention to consolidate structural damage. This last action can entail three procedural phases: to safeguard the building, to return the dwelling to habitability, and to address maintenance (Vérité, 1977, p.9-10). In spite of the thirty years of distance from this proposed methodology, it is interesting to notice that it is still useful to consider, in spite of not comprehensively addressing an explicit methodology of intervention.

7.8 Reasons for failure identified at the site In general in the south of Morocco, earthen architecture has among the poorest populations, a bad image related with poverty and neglect. Even local authorities have this perspective (Boussalh, 2009, p.260). The rupture in the continuity of earthen architecture is a negative element, as it slows the social and economical evolution of the region (ibid., p.260). During the 1990s, the conservation and interest that was addressed to the site was with the aim for inhabitants to return to the Ksar (Boussalh, 2009, 262). Following the interventions, though inhabitants did not return to the Ksar. They instead opened handicraft shops at the site. The strategy failed directly in its initial goals, but as an indirect consequence, it revived the economical interest of the inhabitants in the site. An identified failure was the uncontrolled urbanisation that was created on the right side of the river, on the buffer zone of access to the site. This is a recurrent situation that has happened in other parts of Morocco – the abandonment of the Ksour and the creation of new construction near new facilities (Boussalh, 2009, p.265). There are other problems arising from uncontrolled growth: the urban form of the buildings in a rural area (even state infrastructures) (ibid., p.265); the different styles of decorated facades emerging; the construction with modern materials trying to follow the kasbah style; etc. One other failure originated in the incapability, until present, of resolving the problem related with the lack of identified and established communication between the numerous heirs of each Kasbah. In Morocco, it is frequent that the ksour is in collective ownership, without a title of property for each property-owner (Boussalh, 2009, p.266). Solutions to resolve this tangled situation have to be addressed so as to not jeopardise the World Heritage site nomination. Furthermore, national heritage law is still not enforced and has imprecise policies, which contributed for difficulties on finding solutions. According to Boussalh, some of the restrictions are still originated from the French Protectorate period and

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were not alttered (2009, p.266). p Institu utional action concerning th he update of building aand conservatioon regulations should be takeen into consideeration.

Fig.7.9 – New w construction following the Kasbah K style, w with mixture off materials, near Aït Benn Haddou (creddits: Mariana Correia, C 2006). Fig.7.10 – Un ncontrolled urbanisation, in the new village v near Aït A Ben Haddouu site (credits: Mariana Correia, 20066).

A potenttial failure cann arise from the t concept oof creating thee scenario of a monum ment when adddressing the site. There m might be a ten ndency to prioritise inttervention to what w is seen from f a distancce, through paatching or plastering the southeasst facades, instead of addressing structural interventionn of the fabricc. According to Michon, too return the use u of the architecturall space to the site is fundam mental (2000, p.68). To Micchon, it is crucial that the functionaal rehabilitation of a histooric village brings life back to it, instead of creating c the concept c of a museum adj djusted to photographyy (ibid., p.68)..

7.9 Too recognisee criteria fo or interventtion at the site The mannagement plann addresses eth hical principlees that, accord ding to its authors, weere recommennded by charrters and inteernational decclarations (Boussalh annd Moriset, 2007, 2 p.9). In the frameworrk of this reseearch, the eight guidinng principles were defined d for best prractice. Thesee general recommendaations can alsso be identifieed as indicatoors for the prreparation and implem mentation of the manageement plan. However, th here was insufficient informationn concernin ng internati onal Charteers and declarationss. Authenticityy and integrity, the key-vaalues for the assurance a of World H Heritage Site status, are concepts valiidated by the use of

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material, techniques, and traditions (World Heritage Centre, 2008, p.22), but also by selecting the appropriate criteria for intervention, for instance, to apply in earthen heritage conservation the same building techniques and local materials that exist at the site. At this site, criteria for intervention were insufficiently recognised through the literature review.

7.10 Addressed significance of conservation theory at the site Article 2 of the Charter for the Protection and Management of the Archaeological Heritage (1990) refers that the “active participation by the general public must form part of the policies for the protection of the archaeological heritage” (ICOMOS, 2004, p.104); and in this case, the standing archaeological structures too. The participatory process for the management plan development, clearly addressed this issue. One of the first objectives of the International Cultural Tourism Charter (1999) is to “facilitate and encourage those involved with heritage conservation and management to make the significance of that heritage accessible to the host community and visitors” (ICOMOS, 2004, p.139). It is undoubted that the management plan encompassed this goal, when addressing its main four objectives: 1) 2) 3) 4)

To revitalise the site; To conserve the architectural values; To assure a fair distribution of the profits generated by the site; To improve the visit. (Boussalh and Moriset, 2007, p.60-62)

Nevertheless, the charter also warns about the excessive exposure to tourism, as “tourism related development can threaten their physical nature, integrity and significant characteristics” (ICOMOS, 2004, p.139). This is the balanced approach that would be needed to not have the survival of the site exclusively depending on tourism and the film industry. If this dependency becomes too exploited, or tourism creates too much pressure, it could bring negative impacts that the site and its inhabitants might not be prepared to deal with. Authenticity is one of the conservation principles that is most aimed at earthen architecture. As mentioned by Boussalh, in Morocco, authenticity is most especially represented in ksour, Kasbahs, and collective granaries (2009, p.268). This cultural heritage presents characteristics specific to this world region, and efforts aimed at its preservation should be strongly undertaken collectively by Moroccan institutions.

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There are many threats and possibilities for failure at Aït Ben Haddou, nevertheless, “a growing number of initiatives are currently under way to give the site a new dimension, without affecting its authenticity principle and World Heritage status” (Boussalh, 2008, p.25). For CERKAS, a main concern is to address “conservation of architectural values” (ibid., p.25) at Aït Ben Haddou. This is defined by objective 2 of the action plan: i) to offer technical help to the rehabilitation of decaying buildings; ii) to frame the movie industry interventions; iii) to put in place actions for preventive conservation; iv) to control the site; v) to control the evolution of the environment around the Ksar; and vi) to renovate resources concerning local materials (Boussalh and Moriset, 2007, p.61). Values related to earthen architecture should be acknowledged. Significance is starting to emerge from the efforts of previous years, associated with the policy towards the re-evaluation of architectural heritage. As stated by Boussalh, people are starting to become conscious of the multiple and structural values associated with earthen architecture (2009, p.265). From another standpoint, the positive image materialised by the success of several restoration interventions, such as “the Kasbah of Taourirt (…), the Fakhor granary of Sidi Moussa, of Tazlaft, of Ibaqliwn, and the successful rehabilitation by converting some of the Kasbahs to hotels, such as Ben Moro at Skoura and Bassou Ali at Tinghir” (ibid., p.265) are contributing immensely to this new vision. However, a comprehensive analysis of conservation theory and its direct relation with intervention practice and methodology procedures addressed at the site should be undertaken. Even World Heritage underlined that the management plan did not explicitly include reference to “Outstanding Universal Value, authenticity and integrity of the property” (2009a, p.143), which has to be addressed considering the fact that the site is a World Heritage site.

7.11 Addressed strategies at the site CERKAS recognises that during the period from 1992 to 1995, there was a lack of global vision and of coherent methodology for the restoration of the architectural heritage of the site (Boussalh, 2009, p.261). Michon also underlines the fact that the cooperation between CERKAS and the province services was absent until 2000, which made it difficult to advance for the installation of the needed infrastructures and services included in the rehabilitation program developed during the 1990s (2000, p.68). The development of the management plan brought the opportunity

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to address this lack of strategic vision existing until then, by directly involving all the interest parties related to the site. The Moroccan Minister of Culture, Mr. Mohamed Achari, emphasises in the management plan how important it is to encourage the inhabitants to return to the Ksar, as it survived the centuries due to each single inhabitant’s daily contribution. The preservation of the Ksar will endure if the place is repopulated, even if the buildings are planned for new uses. Mr. Mohamed Achari even bemoans that nowadays it would be a useless effort to conserve an abandoned site. This mission will be difficult but not unfeasible if efforts are made cooperatively (Boussalh and Moriset, 2007, p.4). Mohamed Berriane supports the same type of strategy concerning the survival of the Ksar, by bringing the population back, to “live in it and care for it on a day-to-day basis” (1999, p.48). But this will only be possible when a road or bridge is built and electricity and water are supplied to the site. This is similar to what happened in Taos Pueblo in Colorado, the only earthen heritage UNESCO listed site in the USA (Mutal, 2003, p.7). After infrastructures had been installed in the earthen pueblo, the population returned to live in this architectural site. During the nineties, distinct Moroccan ministries addressed an institutional strategy, when the Ministry of Culture asked for contribution from other ministries. “As a result, the public works ministry has looked into how to improve access to the village (…). The education ministry has approved the building of a Koranic school inside the ksar until there are enough children to justify opening a primary school. The national electricity board has agreed to install solar energy equipment.” (Berriane, 1999, p.48)

Ten years later, success was still not achieved due to the amount of bureaucratic issues. Berriane explains that this was due to the lack of coordination of the ministries of culture, housing and tourism (1999, p.48). The Ksar still remains uninhabited, except for the previously mentioned six families and the shops opened during the day. Nevertheless, Boussalh mentions that an emergency action plan was set up by several state services “to prevent the breakup and desertion of the Ksar” (2008, p.21).

7.12 Site Questionnaires analysis Several themes emerged through the analysis of the site questionnaires that was aimed at national and international stakeholders:

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Community participatory process - The management plan was developed through a process involving the participation of local community and stakeholders that stand for groups of interest, directly related to the site of Aït Ben Haddou. This process of engagement was pursued for more than a year and become one of its most important strengths. The management planning process – Sébastien Moriset calls attention to the fact that the regular reunion of stakeholders throughout the process of creating a management plan, evolved into becoming a management committee in charge of managing the site. This Committee is composed of inhabitants, political representatives, and members of local associations. They are the ones that are in charge of decision-making. To encourage communication - between stakeholders and the different parties involved in the management plan. As observed by John Hurd, it was also a “good initiative to connect responsible ministries (…), administrators, and to encourage useful dialogue”. This effort to communicate throughout the development of the plan was fundamental, as underlined by Sébastien Moriset, because by sharing opinions, stakeholders would create a common vision for what they desire the site to become. Additionally, it was crucial for stakeholders to get to know each other and respect each other’s views. The definition of a realistic action plan - Stakeholders contributed to the definition of an action plan to the Ksar. This plan makes an effort to define a realistic vision up to 2012, embracing and balancing conservation of the site, its management and local sustainable development. There is commitment and objectivity when defining priorities, responsibilities, organisation, and short and medium target milestones to be accomplished. During the open interview, Hubert Guillaud underlined the importance of linking concepts of adaptability, accessibility, and feasibility for a realistic plan to be achieved. The diffusion of the management plan – The plan was written in French and Arabic and was disseminated throughout the country. It should be better disseminated internationally. Lack of finance for management plan implementation - The lack of finance for the implementation of the plan could become an important issue in the coming years if its not addressed in good time, and if government funds are reduced or stopped. This matter is of crucial importance as it has been

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one of the recurrent reasons for lack of implementation, and consequently failure of management plans. As mentioned in chapter 3.3, management plans are difficult to implement (Demas, 2003, p.5). To build infrastructures - The development of infrastructures at the site water and electricity - and infrastructures related with access to the Ksar through a bridge, better roads, etc. will contribute to better living conditions for its inhabitants. Another issue is the design of the bridge, as mentioned by John Hurd, which has to be addressed with great caution and low profile design. If not, new facilities to welcome tourists and the new bridge could have too great an impact on the surrounding environment. Economic sustainability of the site - The building of public welcoming facilities and general infrastructures will contribute to a rise in future funding from tourism. Additionally funds can be collected from the movie industry. Both factors will provide more economical autonomy to the Ksar, consequently to the management committee and less dependency on the state or external funding. Nevertheless, too many pressures and an unbalanced approach could have negative consequences. As stated by Sébastien Moriset, for the moment, the difficulties arise from how the collected money will be used for management and how to share future profits among stakeholders. The positive aspect is the fact that the committee continues to meet, as this is part of the process of finding consensual solutions. Local sustainable development – The presence of the local Agenda 21 association during the management plan development meetings was an important contribution to ensure that local sustainable development would be included in the plan. During the open interview, when talking about site conservation, Hubert Guillaud also called attention to the need for a balance between the economical, social, and local know-how conditions. To address uncontrolled urbanisation and the use of new materials on the “new town” – This is an important problem to solve, as “trading and hotel facilities may continue to spread and need stringent control”, as mentioned by John Hurd. Besides, it is common to observe the use of new materials mixed with the traditional materials in the “new town”. This can be seen in the cement blocks used inside rammed earth exterior walls or concrete structures filled in by rammed earth.

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More control of the site – It is important to control the opening of the shops at the site so they only exist in permitted areas. It is also crucial to better control the use of new materials or incorrect conservation practices at the Ksar. When visiting the site, John Hurd also observed “cement beam construction concealed beneath mud work.” He added that: “Visitor control is improved, but good signposting and interpretation material is needed”. This will be addressed during 2009 and 2010, according to the timetable of the management plan, which is related to improving the visit to the site (Boussalh and Moriset, 2007, p.55).

7.13 Comparative issues to address between the three sites These comparative issues emerged from the creation of logic models and pattern matching when comparing the contact summary form and the contact theme form from the three case studies. These will be addressed within each case study: a) The development base of each management plan? This management plan was based in a participatory process, involving 68 people, belonging to 29 stakeholders’ entities, plus the two coordinators and the five direct contributor organisations. The process was developed for more than a year with monthly meetings of all the stakeholders. b) The role of national and international stakeholders developing the management plan? In this case, CRATerre, representing an international stakeholder, and CERKAS, as a national representative, worked very well together, coordinating the long process of developing the management plan. Up until the present, results have been considered very positive. Other international stakeholders, such as the Getty Conservation Institute (GCI), with long experience in the development of management plans, probably wondered why they were not involved as well. Language problems can be one of the main reasons, but GCI also has French speakers with experience in management planning. However, it is planned for GCI to be involved with CRATerre in the development of architectural models for the “new village”, as well as reinforcement of building standards (Boussalh and Moriset, 2007, p.53).

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c) How were interdisciplinary studies addressed in each management plan? An interdisciplinary approach was not specifically included, but was addressed by the involvement of the different stakeholders, comprised of anthropologists, architects, engineers, archaeologists, technicians, craftsmen, etc. d) Was there communication between stakeholders? Communication between stakeholders became an important issue for the successful development of the management plan and the survival of the management committee that emerged from it. Nevertheless, the fact that the Historical Monument Office was not included (as it was represented both by members of the Ministry of Culture and CERKAS), brought scepticism from this stakeholder, which resulted in increased criticism of action addressed at Aït Ben Haddou. e) How is each site addressing implementation of the management plan? An action plan was developed for the implementation of the management plan, with milestones to achieve, tasks listed, time periods to achieve them, and designation of entities responsible for the different tasks. For the moment, the schedule for achieving the different responsibilities has been generally followed, but the real success of implementation can only be judged in 2013. f) How is each site addressing conservation intervention? Conservation intervention at Aït Ben Haddou follows the ethical principles enumerated at the management plan: “To prioritise know-how, local workmanship, ability, and available local material” (Boussalh and Moriset, 2007, p.9). Minimum intervention and earth material are also applied. Nevertheless, there should be more intervention criteria applied for the earthen fabric, as adobe masonry and earth plaster should not be the answer for all the interventions. g) How is conservation practice control in intervention addressed? Local teams of workers carry out the conservation practice at Aït Ben Haddou. There was no direct control foreseen during visits of experts. As a consequence, workers are less rigorous in their work. This can be observed in fig.7.5, through the applied adobe masonry.

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7.14 Summary of key issues addressed at Aït Ben Haddou site Several key issues emerged from the overall analysis. Due to limited space, just the principal ones will be mentioned below. To return decision making to the community - There has not been a consistent renewal and maintenance regime for the dwellings. Nevertheless, according to Chastel (1994, p.33, cited by Boussalh, 2009, p.267), the historic monuments cannot be preserved by decree; it is the role of the inhabitants to protect and maintain or to ruin the cleanliness and the fabric of their own houses. This is crucial, especially when identifying factors for success and failure in intervention. Technical expertise has limited action - Experts addressing the ancient material fabric have limited action. Sometimes it is expected that they are going to save the site or structure. They can contribute immensely, but few resources, non-engaged inhabitants, existent old and not updated regulations, bureaucratic delays, and complicated ownership, as well as several other factors, limit them. A few people cannot save the situation. It has to be a common goal, with all the parties involved. Need to develop standards in earthen architecture - Clearer regulations for earthen conservation and new building codes in earthen architecture, taking into consideration major hazard threats (such as seism, floods, heavy rains, and climate change) should be developed in Morocco. Lack of seismic retrofitting and awareness - In Arg-e Bam, the structures that were not restored survived the earthquake better than the ones restored with different techniques from the original fabric and those with a high quantity of plaster on the facades. The fact that the south of Morocco is also prone to seismic activity should be considered when restoring, as some of the same errors are being committed: using adobe in rammed earth walls, applying too heavy adobes compared with the original existing ones, using masonry without mortar (because it is hidden by plaster and so will not be noticed), etc. To incentivise the maintenance of local building cultures – The support of intangible knowledge related to the local building culture that still exists near the Ksar is of major importance, before it is irretrievably lost. This

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would certainly help to keep maintenance of the site active, and well carried out by inhabitants and the surrounding community.

CHAPTER R EIGHT CO ONSERVA ATION IN EARTHE EN SITES ARG R -E BAM M (IRAN)

Fig.8.1 – Thee recovery of thhe citadel of Bam, B in Iran, allso known as Arg-e A Bam (credits: Mariiana Correia, 20008).

8.1 Intrroduction to the case sstudy The thirdd case study is i Arg-e Bam and was seleccted because it i met the criteria stateed in section 5.4.1, but esp pecially due too the unique character and circum mstances of thhe citadel, ass well as beeing the seco ond most extensive eaarthen site listted in the World Heritage L List. Bam is located l in Kerman proovince in the southeast of Iran, 200km from the Afg fghanistan border and near the “Ceentral Desert (Kavir-e Luut), one of th he largest deserts in tthe world” (Vatandoust ( and a Mokhtarii, 2004, p.22 21). Bam citadel, alsoo known as Arg-e A Bam, co overs an areaa of 22 hectarres (ibid., p.221). It is understood thhat “the origin ns of Bam cann be traced baack to the

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Achaemenid period (6th to 4th centuries BC)” (UNESCO, 2007a), even though “most of what remains was built during the Safavid period (15021722 AD), when it occupied six square kilometres” (Licciardi, 2009, p.380). It is also believed that its “heyday was from the 7th to 11th centuries, being at the crossroads of important trade routes” (UNESCO, 2007a), with “some 11,000 citizens living in 400 houses within its city walls” (Vatandoust and Mokhtari, 2004, p.221). After the Afghan invasion in 1722, Arg-e Bam began to experience its gradual downfall until 1890, after which the citadel was closed (ibid., p.221) and the civilian population founded the new city of Bam. During the forty-year period that follows, the citadel “was an active military barracks for the army until 1932, when it was completely abandoned. Intensive restoration work began in 1953 and continued until the earthquake” (ibid., p.221). A damaging earthquake struck Bam and its citadel on the 26th of December 2003, at 5.25 a.m., local time (Hosseini et al., 2004, p.1), when most of the inhabitants were asleep. It measured 6.6 on the Richter scale and killed almost 40,000 people (Vatandoust and Mokhtari, 2004, p.223), which means that 42% of Bam’s population lost their lives (UNESCOICHO, 2004, p.7), and 85% of the building stock in Bam was destroyed (Manafpour, 2004, p.54). There are references to people that were killed at the citadel (Bumbaru, 2004, p.5). The first assessment about the citadel damage indicated that 80% had been affected. According to Manafpour, visiting the site after the earthquake “gave a shocking insight into the extent and scale of the damage (…) as some parts (…) were reduced to rubble” (2004, p.16). Later, a study concerning the citadel structural behaviour was addressed, and “according to the results about 30% was destroyed by the earthquake” (Mokhtari et al., 2008, p.163). The established evidence took into consideration that part of the site had never gone through restoration intervention and survived the earthquake.

8.2 Architectural and archaeological significance Arg-e Bam was built using mainly two earthen techniques: Cob, locally known as chineh (or chiney), which consists in overlaying, without formwork, successive deep layers of a homogenous earth mixture with fibres. Several authors incorrectly translated chineh into English as rammed earth, when in fact it is cob (Licciardi, 2009, p.380) (ICHHTO, 2009b, p.6). The other technique is adobe, called khesht, sun dried earthen bricks to build adobe masonry walls. Throughout the site, elaborated know-how enabled the construction of large arches, vaults, and domes, which illustrates the expertise of local builders and also confirms the

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architecturall significancee of the site. In I 1953, the ccitadel was declared d a national moonument by the t Iranian au uthorities (Liicciardi, 2009 9, p.380). This milestoone was fundaamental to starrt the first reppairs in 1958 and a 1973, the beginning of a com mprehensive restoration r off the citadel “with a different em mphasis on connservation meeasures ranginng from preserrvation to reconstructioon” (Mokhtarri et al., 2008, p.163). Thhe original faabric was respected, aand conservatiion interventio on comprisedd the use of adobe a and earthen morrtars and plasteers.

Fig.8.2 – An aerial photo taaken by ICHHT TO, before the earthquake and d posted at A Bam, on n which the ciitadel and oasees can be the model laaboratory in Arg-e observed (creedits: Mariana Correia, C 2008).

The signnificance of thhe citadel also o relates to thhe ancient plaanning of the historicall urban settlem ment. Arg-e Bam m managed to retain its charracteristics and becamee an excellent paradigm of an ancieent Iranian town. t As mentioned bby Vatandousst and Mokhttari, “the sheeer extent of scientific information and data colllected (…) after a the earthhquake resulted in the unearthing oof a number of new archaaeological sitees (…)” (200 04, p.221, 223) througghout the Bam B region. The earthquuake further exposed archaeologiccal remains “by the reveealing of anncient section ns of the fortifications with the suudden removaal of some” pparts (Bumbaru, 2004, p.1). Archaeological rem mains were ex xposed througgh excavation ns taking place at thhe northwestt of the citaadel, which also emphassises the archaeologiccal significancce of the citad del.

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8.3 UNESCO World Heritage List In section 2.3.2 planning process, the importance of developing a statement of significance of a site was emphasised, integrated on its longterm viability approach. On the instance of the International Day of Monuments and Sites (18 April), ICHO, UNESCO and ICOMOS organised an International Workshop for the Recovery of Bam’s Cultural Heritage (ICHHTO, 2009b, p.72). Thirty eight international experts, twenty three Iranian specialists and thirty one ICHO members (ibid., p.72) gathered to assess Arg-e Bam’s significance. As a result, the BAM Declaration and Recommendations (ICHHTO, 2009b, Appendix 1) was produced - a foundation work to conform within the World Heritage nomination. Six months after the earthquake, the UNESCO World Heritage Committee listed Bam and its cultural landscape as a World Heritage site, as it met four out of ten selection criteria: "Criterion (ii): Bam developed at the crossroads of important trade routes at the southern side of the Iranian high plateau, and it became an outstanding example of the interaction of various influences.” “Criterion (iii): Bam and its Cultural Landscape represent an exceptional testimony to the development of a trading settlement in the desert environment of the central Asian region”. “Criterion (iv): The city of Bam represents an outstanding example of a fortified settlement and citadel in the central Asian region, based on the use of the mud layer technique (Chineh) combined with mud bricks (Khesht).” “Criterion (v): The cultural landscape of Bam is an outstanding representation of the interaction of man and nature in a desert environment, using the qanats. The system is based on a strict social system with precise tasks and responsibilities, which have been maintained in use until the present, but has now become vulnerable to irreversible change.” (UNESCO, 2007a)

Such a fast designation as a World Heritage Listed site was just possible due to paragraphs 161 and 162, nominations to be processed on an emergency basis, from the “Operational Guidelines for the Implementation of the World Heritage Convention”. In this case it was because Arg-e Bam “unquestionably met the criteria for inscription on the World Heritage List and (…) suffered damage or faced serious and specific dangers from natural events (…)” (World Heritage Centre, 2008,

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p.39-40). Bam was also inscribed on the World Heritage in Danger List (UNESCO, 2007a). The classification of a World Heritage Site included the cultural landscape surrounding Bam. In cultural heritage, it is fundamental to include the dimension that embraces cultural landscape designation, as it demands a careful balance in terms of the relation of men with nature. The agricultural area surrounding Bam is watered by a complex system of qanâts (subterranean man-made tunnels to transport water) excavated under the oasis to protect the water from evaporation due to the intense heat of the desert. From almost 370 qanâts systems existent in Bam, prior to the earthquake (Vatandoust and Mokhtari, 2004, p.223) 126 were active qanâts, which supplied 50% of Bam’s water (Hosseini et al., 2004, p.2). This system created a complex aquifer net, considered quite singular and unique in relation to the balanced relationship between inhabitants and the desert environment. Bam’s cultural landscape is of great significance and it is based on a masterpiece of hydraulic engineering. It has been estimated that 40% of the qanâts have been destroyed or affected by the earthquake (Hosseini et al., 2004, p.4).

8.4 Addressing the Management Plan Between 2004 and 2005, “the rigorous consultation process between ICHHTO and national and international parties [were essential] and [provided] the groundwork for a comprehensive management plan” (Mokhtari et al., 2008, p.163). During the following years the process of creating the plan continued, together with the preparation of the nomination file and the progress report of intervention. This last report, named Comprehensive State of Conservation Report delivered each year to UNESCO became an essential tool to evaluate the progress of intervention carried out at the citadel (ICHHTO, 2008). More than 100 studies and reports were prepared through the years concerning the different activities carried at the citadel (see appendix 2, from ICHHTO, 2009b). In April 2007, the sixth “Stakeholder Meeting for the Comprehensive Management Plan for Bam and its Cultural Landscape” (UNESCO, 2007b) took place. The meeting’s goal was to prepare the final draft of the plan and “topics to be discussed include environmental protection of the site and disaster management and risk preparedness” (UNESCO, 2007b). The final draft of the Comprehensive Management Plan 2008-2017 was concluded in 2007 (ICHHTO, 2009b, p.89). It was revised during 2008, and in January 2009 it is stated in the updated nomination file for

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World Heritage that “the plan will be sent to WHC in this year” (ICHHTO, 2009b, p.56). The delay of the management plan submission to the World Heritage Committee is partially due to the need to define the action plan to implement it, which depends on the final delimitation of the property. As stated by Dolatabadi, in the report sent by ICHHTO to UNESCO in January 2009, “in spite of all our efforts (…), I would also like to draw your attention to the problems that we are facing that make the final delimitation of the property somewhat problematic” (2009, p.2), which might require the extension “for the removal of the property from the List of World Heritage in Danger by 2010” (ibid., p.1-2). This explains the delay for the delivery of the management plan.

8.5 Conservation state of the site During the visit to the site in 2008, it was observed that different institutions were involved in specific projects at Bam’s citadel: Mie University (Japan) is restoring the Bazaar; the Italian Ministry of Culture is restoring Tower One; Universities of Milan and Padua (Italy) are restoring the Mirza Naim School; Kassel University (Germany) is addressing tests for retrofitting masonry structures using natural fibres; Isfahan University (Iran) is restoring tower 32 (Mokhtari et al., 2008, p.163). Other entities carrying out restoration works were CRATerreENSAG, restoring Gate 2 (Joffroy, 2006). It was also observed that barracks restoration was being concluded by RPBCH; the stable restoration by Soil Engineering Services; and the Sistani House restoration by the Faculty of Architecture of Dresden University (Germany). Some of the institutional projects are concluded, but others are taking longer than expected due to discontinued interventions. Several pathologies were identified affecting the site. Before the earthquake, degradation of the fabric due to rainfall was a major concern (Licciardi, 2007, p.52) because of the typical aggressive desert rainfalls. Water escapes were built for water concentrations to run away faster (see above, light blue line). Due to capillary action, desegregation of the lower part of some walls was identified. During the restoration intervention previous to the earthquake, several horizontal surfaces were protected with adobe masonry (dark blue line). The earthquake provoked structural defects and separation of elements (red line), and detachment of plaster (yellow line). The structural pathologies affecting most of the site are of major concern due to the instability of the structures. Some of them are due to disconnection of original fabric from adobe masonry, intervention

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performed bbefore the earrthquake (see fig.8.3, red lline). Langenb bach also emphasises the damage caaused by term mite infestationn (2004, p.6).

Fig.8.4 – Somee pathology afffecting the site (in red and yeellow) and Fig.8.3 and F some intervenntions to try too direct rain faall water (in bllue), in Arg-e Bam, Iran (credits: Mariiana Correia, 20008).

It is inteeresting to notte that some preventive p earrthquake featu ures were identified inn the ancient fabric. f For ho orizontal tensille strength “eelaborated palm leave strips weaved as nets were placed bettween the briick lines” (Licciardi, 2009, p.382)); palm tree trunks on tthe top of the t walls functioning as ties and chhains (Licciardi, 2007, p.500) or in betweeen layers reinforcing the building’ss strength (Biinda et al., 20007, p.107); and a brick masonry beetween cob laayers (ibid., p.110). p Otherr features werre timber elements thaat were “used to connect masonries m espeecially on the defensive d walls of thee citadel” (ibbid., p.110); or o “traditionaal lightening vaults to increase the building’s strrength againstt earthquakes”” (ibid., p.107)). The walls and gates of o the citadel were of main in importance for their historical siggnificance. With W the earthq quake, several of the 54 wattchtowers (ICHHTO, 22009b, p.5) collapsed, c as did d many of the upper parrts of the walls. The reestoration of the t south gatee (also known as the main gate) g – the entrance to the citadel - is still not co oncluded, nor is several oth her major projects at thhe site. As menttioned by Dollatabadi, the delay d in the w works is due to t several problems “innterrelated wiith archaeolog gical discoveriies, especially y when in

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relation witth Bam’s qannât network (…), [which iis] the main factor in inscribing B Bam as a Cultuural Landscape” (2009, p.2)).

8.6 Con nservation practice on n site The scaale of conservation practtice developeed on site has h been enormous, iin consideratiion of the ex xtensive size of the citadeel. People working onn the recoverry project inccreased from 150 people in 2004 (Vatandoustt and Mokhtarri, 2004, p.225 5) to 451 peopple in 2009 (IICHHTO, 2009a, p.41), which is sttill not sufficiient to recoveer a minimum m physical integrity of tthe citadel.

Fig.8.5 and F Fig.8.6 – Generral view of the works, in Arg--e Bam (creditss: Mariana Correia, 20088).

The overrall interventiion and action ns have been to devolve th he distinct interventionns to internatioonal stakehold ders comprisinng numerous fronts of work, to maanage the inteerdisciplinary teams of techhnicians involved, and to devise tthe methodollogical proced dures that neeed to be addressed, a integrating laboratory material an nalysis, archhaeological analysis, performancee tests, etc. Accordinng to Mokhtaari et al., the citadel has b een restored, applying traditional aand new methhods (2008, p.167). p The trraditional metthod also comprised th the use of natuural materialss like earth, sttraw, wood, and a palm. New seismic resistant meethods encom mpassed severaal techniques observed during the visit. Techniiques such as a the use off geo-grid fo or lateral reinforcemeent of walls, innsertion of fib breglass into vaults, grout injection into instable walls, polyypropylene pipes as transsverse connecctors and supports (Biinda et al., 20007, p.115), etcc.

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The appproach usingg new meth hods broughtt concern to o Bam’s managemennt team, whicch advised th heir very carreful use, “since their effectivenesss can producee irreversible damage (…)) and [they] have h been used withoutt considering the t possible neegative side-efffects or comp promising the original overall conceept” (Mokhtarri et al., 20088, p.169). Add ditionally, attention shoould be givenn to some tech hniques that aare more intru usive that others and ccan jeopardisee the principlle of authenticcity, importan nt for the recognition as a World Heeritage Listed d site.

t undertaken conservation ppractice, with the t stables Fig.8.7 – Genneral view of the and the Goveernor’s house inn second plan and under resto toration (creditss: Mariana Correia, 20088). Fig.8.8 – A protective p layerr with differentt tone and material can be easily identifiied (credits: Maariana Correia, 2008).

Throughhout the site, several meeasures weree applied to stabilise damaged rem mains (fig.8.77). There will also be the nneed to rebuild d missing parts of wallls, in order to t provide staability to ruinss that are in imminent i danger of ffalling, especiially at corneers that have missing interrsections. Binda et all. suggest “m missing parts of the top off the walls should s be reconstructeed with the use of ado obe” (2007, p.114). Du uring the interventionn in adobe walls, w attention n should be drawn to thee existent pattern of aadobe masonryy, keeping in mind the resspect for the form and scale of the existent fabricc, and the new w material “shhould be identiifiable by an experiencced observer”” (Feilden, 200 03, p.vii). Thiis happens forr instance with the eartthen layer appplied at the top p of several sttructures and walls w that are clearly identified ass a new and protective m material (fig.8 8.8). This protective laayer is easilyy identified, as a it has a sliightly lighter tone and different texxture from thhe ancient faabric, but it rreplicates its inherent character.

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8.7 Methodology of intervention on site There has been a comprehensively methodological procedural approach following the earthquake. A huge amount of documentation previous to the earthquake was collected; a 3d model of the citadel, scale 1/500 was built; 3D cartographic maps before the earthquake were recorded, as were also several of the structures by photogrammetric techniques (Mokhtari et al., 2008, p.165). Assessment of significance of Bam and its cultural landscape was made in order to apply for World Heritage Listing. Criteria chosen, as well as principles for Authenticity and Integrity are constantly being evaluated. Due to the extensive dimensions of the citadel, assessment of its physical condition, laboratory analysis of materials and diagnosis are continually being addressed on site. Interpretation is addressed after damage studies and analysis (Vatandoust and Mokhtari, 2004, p.229). In due course, the interpretation of all the data provided the definition of a plan of action for the recovery plan, and also contributed to the different architectural projects. Evaluation and monitoring are addressed in terms of intervention materials through test walls located to the east of the second gate; in terms of site through recording of the intervention progress with for instance, Gantt Diagram (ICHHTO, 2009a, p.57). Following the earthquake, a Steering Committee, later renamed Safeguarding Committee, was created, as were sub-committees to directly work on the Crisis Management Program (Vatandoust and Mokhtari, 2004, p.223). A methodological procedure of action was applied in the days following the earthquake. According to Vatandoust and Mokhtari, the major phases were: 1) “Establishment of a local base camp adjacent to the site (…)”; 2) “Setting up of official areas, laboratory, exhibition hall and a technical office (…)”; 3) “Provision of specialised experts and supporting staff (…)”; 4) Implementation of studies and consolidation projects; 5) Definition of safe pathways and starting to remove debris with its archaeological and architecture inspection; 6) Definition of a buffer zone to prevent building activities; 7) “Documentation of the site”; 8) The start of extensive and comprehensive archaeological research; 9) The start of physical condition assessment and consolidation of structures; 10) Preparation of restoration and consolidation plans; 11) The building of a visitors’ “temporary access ramp within the site”; 12) The establishment of secure storage buildings (2004, p.225, 227). The priority of tasks carried out was defined as: emergency conservation (2003); short-term plan (2004-2005); mid-term plan (2004-2010); long-term plan (20042015) (Mokhtari et al., 2008, p.163).

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8.8 Reasons for failure identified at the site The Recovery Project for Bam’s Cultural Heritage had a comprehensive approach to the assessment of the physical condition of the site and its diagnosis. Besides the identified key pathologies, other failures related with conservation action should be also emphasised. There was definitely a lack of retrofitting of historical structures and even incorrect design during the last 50 years following the beginning of the restoration process in 1958, especially when it was known that it was an area historically prone to seismic activity. The vulnerability could have been foreseen through the “absence of connection between the loadbearing parts [which] play a substantial role in reducing the degree of collapse in an earthquake” (Mokhtari et al., 2008, p.167). Shahnoori calls attention to the weakness in connections between composite materials (2005, p.319). Indeed, the thickness of the plasters on the restored structures was too large and missing in structural connection. Consequently, newer plasters did not sufficiently bond with the ancient fabric, and detachment of the plaster was a current failure. Mokhtari et al. underlined that this was related to previous interventions, as they were “more focused on the architectural form and area than on the response of the structure to the earthquake” (2008, p.167). This detachment happened, for instance, on the circular structures with a fill-in of a thick plaster layer to create a perfectly round-shaped tower; as in the case of the “turrets on the ramparts, [which] fared worse than the long straight walls and rectangular structures” (Langenbach, 2004, p.4). It also happened with the disconnection between buttresses and the wall, at the Caravanserai building (Mokhtari et al., 2008, p.167). Several expert reports emphasised that non-reconstructed sections or restored structures were damaged less by the earthquake than the ones that had gone through intervention (Bumbaru, 2004, p.1) (Langenbach, 2004, p.5) (Mokhtari et al., 2008, p.167). ICHHTO also confirmed that the “main damage occurred in recently restored or rebuilt sections” (2009b, p.40). In some cases, it is even suggested that the extensive conservation intervention carried out previous to the earthquake “might have contributed to the extent of the damage experienced by the original structure” (Manafpour, 2004, p.16). In terms of integrity and authenticity of the ancient fabric, there are methods of restoration applied previous to the earthquake that are being repeated again. Two techniques of earthen construction were identified at the citadel: chiney (cob) and khesht (adobe). As documented and observed by Manafpour (2004, p.22), cob is still being used in the city of Bam, even after the earthquake. However, on the site, only adobe masonry is being

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used in all reconstructedd sections an nd in the resstoration of structures, which bringgs questions not n just of inteegrity but als o of authenticcity, as it appears thaat an importtant part of the citadel”ss ancient fab bric was constructed in cob. But Mokhtari et e al. justifyy it by recallling that “reconstructtion and streengthening is possibly thee sustainablee way to continue” (22008, p.165). This is suppo orted by the rreuse of historric adobe that fell witth the earthquuake, and it iss being cleanned and reinteegrated in adobe masonnry. Howeverr, despite bein ng a sustainab le approach, the t fact is that the connnections of eleements are alrready presentiing problems. For instaance in fig.8.99, problems were identified at the interface of two distinct buildding materialss. In case of an a earthquake,, there will cerrtainly be a disconnection of elemeents. It can alsso be observeed in this casee that the original fabbric is in cobb; the top protective p layyer in adobe masonry (restoration previous to the earthquak ke); and the buttress in reinforced There is noticeable adobe massonry (built after the earthquake). e n degradation of the loweer part of thee wall, affecteed by rising capillary action.

Fig.8.9 – Thhe fabric preseents three diffe ferent periods of construction n (credits: Mariana Corrreia, 2008). Figg.8.10 – Merlon ns at the top of the citadel wallls fell in a row, lookingg like they weere not part off the original fabric (creditss: Mariana Correia, 20088).

8.9 Too recognisee criteria fo or interventtion at the site Followinng the earthquuake, three rep presentatives from differen nt entities were invitedd by UNESCO to assess th he state of daamage at the site. The technical reeports from the first UNESCO U misssion to Arg g-e Bam (UNESCO-IICHO, 2004) had distinctiv ve criteria-led approaches when w seen from Goldberg and Larsoon’s perspectiive (1975, p.1145). By analysing the different reeports, it waas observed that CRATeerre-ENSAG (France)

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presented a comprehensive designative or descriptive approach about how to proceed, explained in 21 pages; Saitama University (Japan) presented a prescriptive and appraisive approach report composed of four pages with diagrams; and the University of Rome (Italy) presented in eight pages an evaluative approach with photos. In this case, with distinct analysis concepts, the three approaches complement each other and contributed to an overall assessment of the site. ICHO complemented the report by presenting photographic information before and after the earthquake about the cultural heritage conservation of Bam (UNESCO-ICHO, 2004, p.6482). Criteria for intervention were addressed in the short-term plan, developed in 2004 and 2005. Mokhtari et al. considered that the plan was fundamental to “define criteria for management on site” (2008, p.163), however it does not define what the criteria are. Binda et al. state that after discussion with the management team of the Bam site, the information recollected is that repair works for “partial and small reconstructions based on authenticity conservation criteria are being carried out” (2007, p.103). This intervention affects in particular “disconnected parts, (and) nonaligned walls, out of plumb (…) especially for the lowest part of the Citadel” (ibid., p.103), which involves authenticity principles for intervention. However, following this, it is mentioned that “in-detail exercises for the reconstruction of the vaults and domes according to the traditional techniques are being carried out (…)” (ibid., p.103). In this case, reconstruction is associated by the authors to meet authenticity criteria. When referring to reconstruction, Binda et al. believe in a return to the authenticity of the fabric (ibid., p.103). This means that they are relating not with the material but with the form and shape, confusing integrity with authenticity.

8.10 Addressed significance of conservation theory at the site Due to the fact of being such an extensive area subject to conservation intervention, several charters and principles have been addressed and conservation theory concepts are being generally applied. For instance, article 4.2 of the Burra Charter (1979) underlines that: “Traditional techniques and materials are preferred for the conservation of significant fabric. In some circumstances modern techniques and materials that offer substantial conservation benefits may be appropriate” (ICOMOS, 2004, p.64). In Bam citadel, beside the use of earthen techniques, new

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earthquake retrofitting techniques are being experimented with in some of the historical structures. According to the Washington Charter (1987), “whatever the nature of a disaster affecting a historic town (…) preventative and repair measures must be adapted to the specific character of the properties concerned” (ICOMOS, 2004, p.99). In this case, restoration intervention is adequate to the specificities of Bam’s building culture, with the use of local adobes, khesht, but also with the application of retrofitting measures, as previously mentioned. Additionally, article 16 of the Washington Charter reminds us that: “Specialised training should be provided for all those professions concerned with conservation” (ICOMOS, 2004, p.99). As stated by Nader Naderi during the visit to the workshops in Arg-e Bam, all the new members of the staff (archaeologists, engineers, architects, etc.), when arriving received specialised training concerning the site specifics and material conservation. The Charter for the Protection and Management of the Archaeological Heritage (1990) calls attention in its introduction to the fact that “the protection of the archaeological heritage must be based upon effective collaboration between professionals from many disciplines. It also requires the co-operation of government authorities, academic researchers, private or public enterprise, and the general public” (ICOMOS, 2004, p.104). ICHHTO assured the application of this requisite by incorporating in the local team young specialists from different disciplines. Furthermore, by welcoming the contribution of national and international institutions, as well as masters and PhD students in specific projects, ICHHTO guaranteed an inclusive and inter-disciplinary participation. Principle 3.2 of the International Cultural Tourism Charter (1999) underlines that: “(…) Specific circulation routes may be necessary to minimise impact on the integrity and physical fabric of a place, its natural and cultural characteristics” (ICOMOS, 2004, p.140). The opening of the site to local visitors, national and international tourists, as well as the establishment a few days after the earthquake of a safe circulation route amongst the debris, was accurately viewed by ICHHTO as essential to maintaining the high significance of the citadel. The local population also visits the site often to appreciate its evolution. Due to the high number of visitors, and to avoid accidents, it is stressed that visitors must not leave the established circulation routes. Beside there is always local surveillance following each group, as well as there being guards spread throughout each sector of the citadel. It was interesting to note that the citadel was important for the morale of the population, but also for the economic sustainability of Bam. This is not reflected in the ticket entrance fee, as it

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is without charge, but in the employment of the local community. With the earthquake and the destruction of the city, there was also a rise in unemployment, which also contributed to the emigration of Bam’s inhabitants. Article 4 of the Charter of Cracow (2000) underlines that: “Reconstruction of entire parts “in the style of the building” should be avoided. Reconstruction of very small parts having architectural significance can be acceptable as an exception, on condition that it is based on precise and indisputable documentation’ (…). However the Charter also underlines (in the same article) that “reconstruction of an entire building, destroyed by armed conflict or natural disaster, is only acceptable if there are exceptional social or cultural motives that are related to the identity of the entire community” (Charter of Cracow, 2000, p.2). The intervention conservation being carried at the citadel of Bam has an impact on the identity of the region, as can be observed by the constant visits of Iranian media and national tourists to the site. Besides, the intervention also has an impact on the morale of the local population. During the visit to the site, four years after the earthquake, it still felt like there was a general depression among the population. Vatandoust and Mokhtari also confirmed the same, by stating that: “Specific feelings and affections of the people towards this architectural marvel are so intense that its proper preservation would greatly help improve morale” (2004, p.225). It should also be emphasised, as in article 1.7 from ICOMOS “Principles for the Analyses, Conservation and Structural Restoration of Architectural Heritage” from 2003, that “no action should be undertaken without having ascertained the achievable benefit and harm to the architectural heritage, except in cases where urgent safeguard measures are necessary to avoid the imminent collapse of the structures (e.g. after seismic damages)” (ICOMOS, 2004, p.172). This principle applies at the citadel, as urgent actions were undertaken to safeguard the integrity of several of the structures. However, the same principle adds that those urgent measures “should, when possible, avoid modifying the fabric in an irreversible way” (ICOMOS, 2004, p.172). As previously mentioned in section 8.6, when the decision is to restore the entire structure, it is difficult to apply a reversible option. However, in terms of ethical conservation practice, it is at least important to show the difference between old and new fabric. At the citadel, in the reconstructed structures, these differences are not always perceptible. They are more identifiable in the structures that are being consolidated and not restored. In Arg-e Bam, the historical and the cultural value are essential. Even after the earthquake of 26th December 2003, people continue to visit the

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citadel due to its inherent values. The Iranian citadel presents an architectonic value of evident importance, especially because Bam’s citadel is considered to be one of the world’s largest urban complexes built of earth. Consequently, its tourist value has vital importance, as it gives significance to the city and the reason for visiting it (Correia, 2004b, p.335). Brandi underlines that intervention should be limited to consolidation or reinforcement, which means it “should be limited to the part of material that forms the structure rather than interfering in the aspect” (Jokilehto, 2004, p.236). Therefore, priority should not just be given with the only purpose of reintegrating losses. Some of the structures affected by the earthquake have become a real document of archaeological data; thus, of more importance than what a new appearance or restoration could provide. That is why some of the buildings will also serve as future documents of the earthquake, where it is fundamental not to move the detached parts or alter the resultant damages. Vatandoust, presenting Bam’s Recovery project at the Terra 2008 conference, confirmed the high significance of the documentary value in Arg-e Bam. On these cases, stability of the remains is provided to the ruins as they are. This will enable future generations to also assess and understand Bam’s historical moments. Other aspects to consider are the importance of agricultural and economical factors for Bam’s survival when facing the pressures and threats to which it is exposed (see Appendix V). In terms of physical authenticity, it can be observed in fig.8.10 that merlons located at the top of ramparts might not have been original elements of the citadel. Therefore, assessment should be undertaken to identify if these elements are original or if they represent architecturally decorative elements, integrated during the restoration carried out before the earthquake. If this intervention followed a pre-conceived image of a castle, then it can be stated that conservation intervention, known as stylistic restoration, was applied.

8.11 Addressed strategies at the site Mokhtari et al. stated that the interest in providing “effective strategies for starting the restoration process in Bam citadel on a massive scale, has made it necessary to specify the type of (…) pilot projects” (2008, p.165). It can be noticed that the pilot projects carried out by national and international stakeholders were part of a strategy to involve Iranian institutions and international institutions, such as governments, universities, research laboratories, but also private companies. Since the beginning of the project, the contact with UNESCO-World Heritage Centre, ICOMOS,

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ICCROM, World Monuments Fund and UNESCO Cluster Office at Tehran (Bumbaru, 2004, p.3) was the basis for the inclusive strategic approach. Also fundamental was the organisation of the international workshop, producing BAM Declaration and Recommendations (ICHHTO, 2009b), as it gathered national and international experts around a common goal. This overall approach supported the strategy to include, on an emergency basis, Arg-e Bam and its Cultural Landscape simultaneously “on the World Heritage List and the List of World Heritage Sites in Danger” (Vatandoust and Mokhtari, 2004, p.225). The goal was to mobilise “further co-operation at both a national and international level, to ensure that adequate steps are taken in the short, mid and long-term” (ICHHTO, 2009b, p.105), which is what is currently happening. In October 2004, Vatandoust and Mokhtari presented the strategy that was addressed at the site following the earthquake. Their paper entitled “The earthquake catastrophe in Bam, Iran - future strategies for a destroyed city made of earth” (2004, p.221-233) presented the overall plans and activities addressed at Bam citadel. It was the first time that the site strategy was presented and disseminated internationally.

8.12 Site Questionnaires analysis The following key themes that evolved from the site questionnaires analysis are presented below: Remarkable effort from the coordinator team – In spite of the still dramatic state of the site, five years after the earthquake, there is a remarkable effort by the coordinator team to achieve an inclusive and interdisciplinary approach among national and international stakeholders. Lack of community participation – There is a lack of direct involvement of the local community and local stakeholders on decision-making related to site management. Both the management plan and the site management have a top-down approach. Community involvement is more related with employment of local workers at the site. Assessment of significance was approached through the international workshop that took place in Arg-e Bam, in April 2004. There is also the need for local community consultation when assessing site values, in order to get to know and integrate their perspective. Technical approach - There is a tendency to follow engineering retrofitting techniques and archaeological prospecting/excavation. Anthony Crosby also calls attention to the emphasis on the high tech documentation approach, with less concern with the quality of the actual

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documentation and more important, the accurate record of the condition of the site. Additionally, another interviewee called attention to the possibility that tests of soils and work at the site laboratory could be done without relation to the conservation practice. There is the need for more in-depth studies – 30% of the interviewees mentioned that there has not been enough historical and archaeological documentation and comprehensive studies, as the approach has been more technical. There is the need for a broad study and a deeper understanding of the different building techniques used in the various historical periods of Arg-e Bam. For instance, John Hurd mentioned that in spite of having little information about the site, he “has a feeling that deep understanding of historic a-seismic technology is required and respect for the re-use of that technology during conservation intervention” at the site. Universal rules – Adopted intervention is the same, even for different periods of historical construction. As stated by John Hurd, there is an assumption that universal rules of engineering and materials apply equally for the whole place. Knowledge and experts – ICHO specialists have a high knowledge of earthen construction. Difficulties arise when combining the conservation of the fabric and conservation theory framework. Some of the interviewees underlined that there are very competent professionals from Bam that have a vast and profound knowledge of the problems and solutions for the citadel. However, local people always have difficulty being heard. Site as a parameter for intervention decision-making - The use of the site as a parameter to propose recovery intervention is a positive aspect. This creates the possibility for different international institutions to have an equal chance to participate in the recovery of the citadel, but also in analysing the results of different conservation approaches.

8.13 Comparative issues to address between the three sites When comparing the contact summary form and the contact theme form from the three case studies, several comparative issues are raised from the creation of logic models and pattern matching: a) What is the development base of each management plan? The present management plan evolved from an interdisciplinary approach, with international and national participation. The process started in 2004, and through the years had six stakeholders meetings. It will be concluded during 2009. The definition of the WHL limits of the site and the action

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plan encompassed on the management plan became important issues for the management plan to start and to be implemented. b) What is the role of national and international stakeholders in addressing the management plan? Unless representing UNESCO, international stakeholders did not actively participate in the development of the management plan. This might have been problematic, as initial involvement of distinctive international entities (in missions and international workshop meetings) led to the belief that they would also be involved in the creation of the management plan. Their participation was limited to specific intervention projects in the citadel. c) How were interdisciplinary studies in each management plan addressed? As happened in the Aït Ben Haddou management plan, the interdisciplinary procedure was not specifically approached, but was addressed by the involvement of the different stakeholders, comprised of anthropologists, architects, engineers, archaeologists, technicians, craftsmen, etc. d) Was there communication between stakeholders? It was noticed that there was no communication between international stakeholders, as most were competing to be chosen to be involved in the recovery plan. There is not enough information related to national stakeholder’s communication. e) How is the management plan implementation being addressed at each site? The management plan was still not concluded and has not been addressed in Arg-e Bam. f) How is each site addressing conservation intervention? Conservation intervention in Arg-e Bam has been very intensive in the last few years, with different projects, international and national stakeholders, and teams working on site. In 2009, there was a working team of 450 people working daily at the citadel. There is also a general tendency on each intervention project to apply empirical experience and to follow the methodology of intervention recommended by each responsible international and national stakeholder. Additionally, it seems that there is no clear definition of criteria for intervention in each individual project. g) How is the control of conservation intervention addressed on site? There is control within the local working teams and unit teams, as there is a local site coordinator dealing with daily issues of management. This is

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not easy, due to the extensiveness of the citadel and the number of people, partners, stakeholders, disciplines, and projects. However, the management work has been effective.

8.14 Summary of key issues concerning Arg-e Bam site Need for assessment of conservation intervention previous to the earthquake - There is the need to address a more thorough investigation related with the conservation intervention carried out at the citadel before the earthquake. The research assessment would be of major importance with regard to the results of structural behaviour of restored and not restored fabric. In the case that this specific assessment report is undertaken, its translation into English would definitely contribute to the international state of art concerning the evaluation of conservation actions in earthen heritage. Need for more clarification concerning reconstruction, restoration and consolidation at the site - There is a need to address a better clarification from ICHHTO about what is being reconstructed, restored, and consolidated. This is addressed in table 7, in the Executive Works (ICHHTO, 2009b, p.50-51), but might not be sufficient. Dinu Bumbaru, the Secretary General of ICOMOS in 2004, during the first assessment mission, also confirmed that there was confusion related to the concept of reconstruction (2004, p.8). As Arg-e Bam is an archaeological site and ICHO wants to keep this status for its management, Bumbaru stated that before the earthquake, the works carried by ICHO were define as: 90% maintenance, 23% consolidation and 7-8% restitution of volumes and reconstitution of surfaces, in particular the most emblematic structures, such as the south gate and governor’s residence (ibid., p.8). The fact is that there is a certain pressure to reconstruct and re-establish the presence of the citadel in the landscape of the city and in general in the collective memory (ibid., p.8). Misunderstanding between the meanings of reconstruction and restoration - There is some confusion of meaning between reconstruction and restoration. There are several projects directed towards reconstruction intervention, however the table of Executive Works presents a very low rate of reconstruction (ICHHTO, 2009b, p.50-51). Besides, in the Progress Report sent by ICHHTO to UNESCO, it is mentioned that “reconstruction should be done as a part of restoration” (ibid., p.52). This mixinterpretation, already mentioned in chapter 4, between the use of the terms restoration and conservation in Latin languages and in English might also concern Farsi and English.

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8.15 Summary of key issues concerning the three sites The three sites are exposed and affected by pressures, pathologies and damaging factors on different scales: a) Natural agents affecting the sites: Chan Chan suffered damage from ElNiño during the 1990s and has a severe problem with salt brought by the wind; Aït Ben Haddou was exposed to heavy rains in 1989, and Arg-e Bam had a strong earthquake in December 2003. b) Impact of visitors and pressure from tourism: At Aït Ben Haddou the visits are uncontrolled. In Chan Chan there is a guide for each group. In Arg-e Bam the visits are controlled (a guard follows each small group of visitors), but the pressure from tourism is higher than the other sites, as the number of visitors is more significant (128,518 visitors in 2008 ICHHTO, 2009a, p.45). c) Pressures from development and agriculture: Chan Chan is affected by urban development and squatters (huaqueros) that try to invade protected heritage land; Aït Ben Haddou suffers impact from new construction in the buffer zone, and Arg-e Bam cultural landscape suffers pressure from urban development close to the buffer zone. d) State of conservation intervention: In Chan Chan there is little continuous conservation intervention being addressed, in Aït Ben Haddou there are a few teams working on maintenance projects, and in Arg-e Bam there are presently 450 people working on the recovery project. e) Maintenance procedures: On all three sites, a sacrifice layer or protective layer was applied at the top of the walls to protect from strong rains. Earthen plaster with mixed straw is also applied for the maintenance of the walls at the three sites. However, there is continuous and systematic application of maintenance procedures in Ait Ben Haddou and in Arg-e Bam, but they were not observed in Chan Chan. f) Lack of conservation policy: National conservation regulations and recommendations should be stronger. The three sites have very few conservation regulations legislated by the State Parties. g) Decision-making in conservation should not be related to the national political agenda: At the three sites, if the decision-making concerning the implementation of the management plan and conservation interventions is more political than technical, then it is observed that there is the risk of delays or discontinuity of preservation activities.

CHAPTER R NINE FA AILURE AN ND CRITE ERIA IN E ARTHEN N HERITTAGE CON NSERVAT TION

Fig.9.1 – Faillure due to cem ment plaster in th he façade of an electricity toweer built in adobe, Spain (credits: Mariaana Correia, 200 03).

9.1 Introd duction The purppose of this chapter c is to respond to ressearch objectiv ve 1, ‘To identify reaasons for faillure in earth hen heritage conservation’’, and to research obj bjective 2, ‘To recognise criteria for inntervention in n earthen heritage connservation’. The T overall an nswer to both research objeectives is provided thrrough the crooss evaluation n of results eemerging from m: a) the international key-expertss questionnairres analysis, ppresented thrrough the sheet displaay diagrams nº1 and nº2 2 (appendix IX); b) the findings presented inn chapters 6, 7, 7 and 8, relatted to the cas e studies anallysis; and c) the review w of the literaature addresseed in chapters 1 to 4. Finallly, all the data was orgganised betweeen the four research objecctives in orderr to avoid

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repetition. Individual comments of some of the experts who wished to be quoted are also detailed in the analysis below.

9.2 To identify reasons for failure in earthen heritage conservation Table 9.1 – Network diagram of research objective 1

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When identifying reasons for failure, there are several ‘gaps and threats’ (9.2.1) that need to first be acknowledged. This will provide the framework to understand several reasons for failure, concerning, to a great extent, man’s intervention, or his lack of action. Therefore, it was identified that reasons for failure can relate extensively to lack of ‘responsibilities’ (9.2.2); ‘interpretations’ (9.2.3); and ‘lack of knowledge’ (9.2.4). Additionally, it was also observed that ‘politics’ (9.2.5) could contribute to unsuccessful results, as does ‘physical condition’ (9.2.6). The recognition of these causes can explain reasons for ‘failure in planning’ (9.2.7). A graphic network can be observed in table 9.1.

9.2.1 Gaps and threats There are major gaps and threats that it is critical to identify, as they greatly contribute to failure in earthen heritage conservation. a) Gaps Three major gaps were identified contributing to failure. The first is the fact that earthen architecture is still not recognised internationally as an established field of study, and other recognised fields are advancing faster than earthen architecture in terms of effective conservation knowledge and practice. According to Beyer and Lodahl, a disciplinary field is “supported by academics, as providing structure of knowledge, where there is training and socialisation, teaching, research and administration, and also where research is produced and there is educational output” (1976, p.105). This already happens in the subject of earthen architecture, so why is it still not considered an academic field of study? For this to happen, earthen architecture has to be researched at the college or university level and it also has to be recognised by academic and peer-review journals where research is published (ibid., 1976, p.105). However, this is not a consistent and systematic reality in the field of earthen architecture. Another important gap is the lack of awareness about earthen architecture, as there is still the idea that only the poorest people in underdeveloped countries use earthen architecture. This is due to a general lack of institutional support and commitment of national authorities, but also by the lack of preservation policies directed to vernacular and earthen heritage. As recognised in the three case studies analysed, there is a need for clearer national policy regarding earthen architecture, and a definition of international recommendations concerning procedures for earthen heritage conservation.

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Another recognised main gap contributing to failure is the lack of effective combination of theory and practice. This was mentioned by 20% of the international key-experts questioned, and it was also supported by findings within the case studies analysis, especially in open interviews and site visits. This is observed in conservation intervention, by the lack of clarification and even mixed use of concepts related to conservation notions in earthen heritage. As observed in sections 6.6, 7.6, and 8.6, it is also recognisable in the 2007 reconstruction practice applied in Chan Chan, the use of concrete beams in Aït Ben Haddou, or the overall recovery plan of Arg-e Bam. b) Threats Several threats were identified that affect earthen heritage. The most relevant will be mentioned in this section. One instance is that of growing urban development surrounding the sites. Urban pressure inevitably affects the buffer zones around the World Heritage sites through encroachment on the protective zone, but it can also lead to vandalism. The increase of the tourism industry can also influence the protection of heritage if priority given to tourism becomes the major reason for heritage survival. Tourist pressure can even have a negative impact on conservation intervention. According to Luis Guerrero, a main weakness can evolve from the image that is created being deliberately associated with the restored structure or site. For instance, at Aït Ben Haddou, it was noticed that the architectonic scenario image of the site is important. It is to be seen first and foremost from a distance, which has an impact on the tourism and film industry. Therefore, conservation intervention was firstly concentrated on the structures exposed to the south front approach to the site. On the conservation of earthen heritage, there are also failures emerging from exposed remains of uncontrolled, fast and extensive archaeological excavations. Unfortunately, most of the excavations are not followed by conservation intervention or preventive measures such as the use of shelters or adequate backfill. As a result, fragile earthen structures are over exposed to weather or to illegal diggers, which contributes immensely to their increasing decay. In general, this happened in the Chan Chan case study, with only a few exceptional interventions involving reburial. Another threat that needed to be addressed is the conservation approach to earthen heritage, as it has a tendency to follow the same procedures as contemporary structures. Conservation projects, methodology of intervention, and conservation practice are carried on at the same pace as new construction. Frequently, different people are involved in the above-mentioned components, and there is even disconnection between

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projects. This brings difficulties in terms of continuity and consistency of the conservation approach, which as a result contributes to failure. An additional threat to be considered is the lack of a realistic approach when preparing a conservation project, not always considering the real resources existing on site. This was particularly mentioned as one of the reasons for the lack of implementation of Chan Chan’s management plan. Furthermore, one of the threats faced by earthen heritage conservation is the loss of the overall vision for the site. It is important to not lose track of the different variables that affect a site, and to address possible solutions to those factors. This holistic approach is important, as incorrect restorations with new materials or inadequate procedures can drastically change the balanced conditions of the heritage site.

9.2.2 Reasons for failure: responsibilities It is interesting to note that the section related to ‘responsibilities’ is the category with the largest amount of results associated with failure. This indicates that contrary to the perception that pathologies are one of the main threats to the earthen fabric, lack of responsibility is a major reason for unsuccessful conservation results in earthen heritage. When addressing ‘responsibilities’, the following themes were identified: inefficiency; lack of follow-up and maintenance; inadequate choices; lack of preparation; unprofessional behaviour; and roles. a) Inadequate choices 35% of the questioned international key-experts stated that failure in conservation intervention of earthen heritage is due to the inappropriate selection of compatible techniques and materials. Stiffening methods should be applied as a last resort to prevent structural failure of the building or site. The option for the use of industrial materials or products and general use of stiffening methods, in spite of the possibility of them being familiar options for the consultant expert, is not the most suitable choice considering a fragile and natural material such as earth. When dealing with earthen heritage conservation, the use of inadequate materials, products, and methods, can be due to a lack of knowledge concerning earthen architecture’s intrinsic characteristics and performance. Failure in intervention can also originate from inadequate criteria for intervention. The expert taking the conservation decision might not even have a clear notion of the requirement of criteria for conservation intervention. Throughout the Terra International Conferences, and as analysed in section 3.2.5, very few authors specifically mentioned that need. The fact is that fundamental criteria are crucial as accurate indicators

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for justifying an assertive intervention. This supports research objective 2, which will be addressed in section 9.3. Another inadequate choice emerged from the analysis of conservation interventions where just one earthen technique is applied, with a unique type of characteristic. Responding to the international key-expert questionnaire, John Hurd stated that the search for universal solutions is recurrent on conservation. The assertion is accurate, as this situation was consistently found throughout the site visits, within the analysed case studies. In Chan Chan, the recent use of the same constant dimensions of adobe was observed within the reconstruction of the entire walls of Velarde Palace (fig.6.12). This kind of intervention is being followed, even if the surrounding walls have different adobe dimensions and construction typologies. The site of Aït Ben Haddou is composed of rammed earth and adobe techniques; however a comparable conservation practice is followed, with the use of new adobes wider than the original (fig.7.4 and fig.7.5). Moreover in Arg-e Bam, two types of retrofitted adobe were frequently used throughout the site, even if the citadel is composed of distinct earthen techniques (adobe and cob) and different sizes of historical adobes. Another common conservation practice observed nowadays is the attempt to apply a contemporary approach to heritage with different historical periods. This was sometimes observed during the site visits, for instance by straightening the angles of the walls, by smoothing the plaster finish, by following trends in conservation such as the application of plasters where they did not exist before, etc. And finally, inadequate choices relate to the selection of materials provided in the conservation building market, e.g. materials that were never previously tested under impartial research programs. Answering to the international key-expert questionnaire, Célia Neves mentioned, for instance, the use of untested synthetic materials that are presented by manufacturers as the ideal solution for consolidation of structures. The fact is that several products were never properly assessed in earthen fabric consolidation under different environmental conditions. This situation can be identified by the variety of solutions tried out for conservation treatments in Chan Chan during the seventies. b) Inefficiency It was observed within the case studies analysis that interdisciplinary work has to be more effective. Often it is just related to consultancy, without real involvement of specialists on the conservation process. There is, in some cases, a lack of concern during the participation of the different specialists in following the conservation project implementation, almost as

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if their responsibility was to develop a theoretical project without dealing with its implementation. In Arg-e Bam there is more interdisciplinary work than in any other case study, but there are few interactions amongst the different disciplines. It was observed during the site visit that communication across disciplines is mostly developed by the site coordinator, to resolve management conflicts rather than concerns of professional collaboration by the different specialists. There is an unbalanced approach in conservation between the technical component and the participatory community component. This can be due to lack of communication between both. 20% of the questioned keyexperts agreed that there is a lack of communication among those deciding, and those using the site - the local community. In the international key-expert questionnaire response, Sébastien Moriset even stated that when most plans are being created, architects and conservators do not interact with the local community, and blame the population for not respecting their ideas. The accuracy of this statement was also supported through open interviews and site survey questionnaire responses. To a certain extent, this lack of communication can be due to an inefficient choice of decision-makers. Furthermore, 15% of the questioned international key-experts argued that for site management, it is crucial to have sufficient data for informed decision-making, which is not always the case. Ultimately, failure is due to a lack of concern during the development of projects. The fact is that in several cases, there is not enough concern in conservation projects and their implementation for a reliable methodological approach, or for intervention with criteria. There is even a tendency for a lack of consistent coordination and control of the overall conservation process. All of these lead to inefficient intervention. c) Lack of follow-up and maintenance Following conservation intervention, 30% of the questioned international key-experts stated that a main reason for failure is the general lack of monitoring and follow-up of the structure and site. According to 40% of the questioned international key-experts, maintenance should involve local communities in daily and continuous management. This was equally supported during the open interviews and by article 123 of the Operational Guidelines for the Implementation of the WHC, which states that: “Participation of local people (…) is essential to enable them to have a shared responsibility with the State Party in the maintenance of the property” (World Heritage Centre, 2008, p.30). Unfortunately, this does not always happen, as there is a lack of formal routine vigilance of the site and structure’s condition. Furthermore, the development and

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implementation of a maintenance plan is omitted in most of the sites. This is an important missing element in several conservation processes, as stated by 30% of the questioned international key-experts. d) Lack of preparation It was noticed that some key problems resulting in failure are due to lack of professional preparation previous to practice, particularly in what concerns methodology of intervention. This can be avoided by, amongst other measures, more consistency, planning, conservation training, and preparation. In the survey questionnaire, Pamela Jerome confirmed this fact, arguing that there is a “lack of doing homework. If you do not research/document your project in all aspects (…), even the bestintentioned and well-funded efforts are likely to fail”. It was also noted the fact that before intervention, 15% of the questioned international keyexperts identified failure by a lack of documentation, recordings, surveys and analyses, and especially the lack of full assessment of physical conditions and diagnosis. e) Unprofessional practices 20% of the questioned international key-experts blamed failure on the dramatic existence of incompetence when approaching heritage conservation. For instance, Maddalena Achenza stressed that there are recurrent errors in conservation intervention, such as little care in water drainage, use of waterproof painting, etc. The fact is that bad results originating from incorrect conservation practices carry a negative image for earthen architecture. Enrico Fodde also blamed failure on bad craftsmanship. Furthermore, 20% of the international key-experts questioned blamed failure on the lack of professional expertise addressing the project and the practice. 40% pointed out the need for qualified professionals and specialised teams with a real expertise in earthen architecture. During open interviews, site experts also supported the same argument. This can be explained through the fact that worldwide there are very few postgraduate and technical schools that prepare professionals to deal specifically with earthen architecture conservation. Another reason for unprofessional practice is the overconfidence of managers in charge of conservation. 20% of the international key-experts questioned justified this as being due to an arrogant attitude. Responding to the international key-expert questionnaire, Carolina Castellanos emphasised that some conservation coordinators even say “I know what is happening and I do not need more information”, which leads to the continuation of inbuilt unprofessional practices. For instance, not dealing directly with problems associated with physical condition, or postponing

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their resolution can dramatically aggravate decay of the fabric. This partially happened in Chan Chan, with emergency measures having to be recurrently undertaken. Responding to the international key-expert questionnaire, Anthony Crosby called attention to failure associated with a lack of response “to specific cause and effect relationships”. If the professional dealing directly with this matter does not adequately respond to the problems, this can be due to a lack of expertise, unprofessional behaviour, or lack of responsibility in assuming their role. f) Roles In the international key-expert questionnaire, Pamela Jerome sustained that the role of the expert consultant is “to inspire action while providing advice and capacity building.” According to 15% of the international experts questioned, this does not always happen. Conservation coordinators and expert consultants have an important role in the project preparation and in conservation practice. Unfortunately, they are not trained with facilitator skills to handle social issues. Sébastien Moriset recalled that most architects have problems listening and integrating the population’s perspective and participative contribution into the project and intervention. Previous to the beginning of site conservation work, the roles of experts, site managers and/or conservation coordinators should be clarified. In several sites there is even role confusion concerning who should assume leadership: government, heritage institution, stakeholders, or population. It is frequently the case that each expects the other to assume his/her own role. To clarify the responsibilities of each actor’s role would contribute to avoiding failure due to role confusion.

9.2.3 Reasons for failure: interpretations The section related to ‘interpretations’ is the second most extensive category explaining failure in earthen heritage conservation. The following themes were recognised in this section: unknown definitions; misconceived concepts; mixed interpretation; and perspectives. a) Unknown definitions From triangulation of results originating from international and site survey questionnaires, open interviews and the review of the literature in section 2.3, it was perceived that several experts did not know the real meaning of the different planning systems, and even mixed up management plan, master plan, and conservation plan, applying these terms randomly. Additionally, some of the international experts in the key-

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expert survey questionnaire response utilised conservation concepts and some trend terms, the meanings of which they were not fully aware. As a result of a single source of evidence, the international key-expert questionnaire survey, it was verified that 45% of the questioned experts did not know how to define a methodological approach to conservation intervention. Their responses in the survey consisted either of non-related information or no answer to the question. This reveals that even among international experts there may be still a lack of real understanding of the need for a preliminary methodological preparation and planning approach. b) Misconceived concepts Several misconceived concepts were recognised during the analysis of the experts’ questionnaires. One of the most prominent was the belief by 30% of the questioned international key-experts that adequate conservation consists of always applying traditional techniques, even if they do not follow international conservation standards. The reality is that ‘tradition’ in some cases can be an erroneous indicator of quality, because not everything that is traditional is positive, especially when it implies total reconstruction. In the questionnaire, Anthony Crosby also confirmed this by affirming “dependence on only traditional approaches” could contribute to failure. In some cases, there is a tendency by conservators to reproduce the building system as an end of doing conservation, instead of trying just to conserve by consolidating the original existing fabric. This relates to the different connotations associated with conservation and restoration in Anglo-Saxon countries and in Latin countries, as previously explained in chapter 4. Another misconceived notion was recalled by Carolina Castellanos in the questionnaire, mentioning that “documentation, recording, and management planning is considered an end product and not a means to an end.” This had already been observed in the review of the literature in section 3.3. The implication can also relate to Chan Chan’s case study, where all the efforts were aimed towards the aforementioned process, which was not finalised, as there was no implementation of the management plan. c) Mixed interpretation Through the international key-expert questionnaire analysis, it emerged that 50% of the questioned international experts mixed the interpretations of methodological approach, conservation project, and conservation practice. This confusion was related to uncertainty between the different phase components of conservation. This finding also emerged during open interviews, which illustrates how much effort towards conservation

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education and awareness still needs to be undertaken. Additionally, it was discerned that 20% of the questioned international experts mixed the interpretations of conservation and reconstruction, having the notion that conserving also meant demolition and reconstruction. This also exemplifies the impact of an expert’s intervention towards a heritage structure or site, sometimes without him/her even being conscious of it.

9.2.4 Reasons for failure: lack of knowledge and appreciation The section related to ‘lack of knowledge and appreciation’ is the third longest category clarifying the origin of failure in earthen heritage conservation. The section is composed of: lack of knowledge; and lack of appreciation. a) Lack of knowledge 45% of the questioned international key-experts stated that there is a general lack of knowledge, experience and expertise in earthen conservation practice. But another 20% argued that failure was specifically due to lack of knowledge on how to intervene in the conservation of earthen architecture, and 10% attributed failure to the use of materials by professionals who do not always know all their properties. This also happened in Chan Chan during the conservation intervention developed in the seventies, as noticed during the site visit. Surprisingly, 10% of the international key-experts that were questioned confirmed they did not have enough knowledge about conservation intervention and management. Another 10% admitted to having limited knowledge, and one even bemoaned the fact it was considered to be impossible to conserve earthen architecture. All these arguments additionally validate the real need for more education in earthen heritage conservation, even among qualified professionals. 20% of the questioned experts also recognised the insufficient experience, analysis and study that there is in this area. A general justification for failure is a lack of knowledge and understanding, specifically related to conservation management, compatibility of materials, clay behaviour, and the lack of identification of human and financial resources. b) Lack of appreciation In a wider perspective, the lack of appreciation of earthen architecture still exists in several societies, which can be detected by the lack of governmental and institutional support to find funding for research and for conservation intervention in earthen architecture. However, this situation

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has been slowly improving, as recognised by the growing nomination of World Heritage earthen sites and by the specific creation of a UNESCO unit dedicated to earthen architecture. 15% of the international key-experts questioned also agreed that there is more recognition of the importance and significance of earthen heritage than there was some years ago. However, even in the study and research of earthen architecture, there is a lack of understanding for vernacular building culture. In the questionnaire, John Hurd underlined that there is a “lack of appreciation for the sophistication of vernacular building materials and techniques evolving over time”. This lack of research in traditional knowledge and cultural building traditions is of major importance, as it could make a relevant contribution to low-tech solutions, and solve unanswered technical problems within earthen heritage conservation. Ultimately, as mentioned by Carolina Castellanos in the international key-expert questionnaire response, an important contributor to failure is the “lack of understanding of significance”. This is a relevant factor that will be further addressed in section 10.2.4.

9.2.5 Reasons for failure: politics Surprisingly, the section concerning ‘politics’ became relevant during the analysis of the expert questionnaire, especially on the case studies analysis, where pressure and political lobbying become a major cause for disruption and lack of implementation of management plans. Due to the importance of such a theme, ‘politics’ evolved into its own category. a) Politics It became evident that political pressure and political lobbies are relevant factors that can cause failure. This was according to evidence in the open interviews, and was reinforced when analysing site questionnaire responses. It was also noticed that these were a cause of the lack of implementation of the management plan of Chan Chan; and also impacted on some of the delay in the implementation of the Aït Ben Haddou management plan. In Arg-e Bam recovery intervention, the general coordination is exposed to direct political pressure from the Iranian government. As mentioned by Pamela Jerome, in the international keyexpert questionnaire response, “governments cannot impose their own values on the heritage intervention teams”. It was noticed, through the site visit and the analyses of the site questionnaires, that in Bam citadel, it has been a real challenge for the project’s coordination team to face this pressure, together with the international pressure from the entities wanting to be engaged in the

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project, UNESCO requirements and national interested parties. Responding to the international key-expert questionnaire, Hugo Houben argued that a major general weakness could arise from conservation coordinators that have a lack of strong arguments to defend the earthen sites from political attacks. In earthen heritage conservation, most of the problems originating from political impacts are due to the lack of support for site decisionmakers and for active and responsible professionals in heritage institutions. In some cases, it is trouble-free for governments to have incompetent professionals and entities dealing with heritage. More support for site decision-making is a general need recognised in the three case studies. However, support does not mean interference. As underlined by Sébastien Moriset, when governments start interfering in the traditional management of site, this can jeopardise local conservation practice. In the international key-expert questionnaire response, Maddalena Achenza suggested that the solution to overcome the pressure from politicians, and to convert them into supporters, could come from integrating conservation into the political agenda. This would bring more economic resources, more interlocutors, and greater care for methodology and control of the project.

9.2.6 Reasons for failure: physical condition The section related to ‘physical condition’ is one of the smallest categories identified in the analysis addressing failure. Following the analysis of the international key-expert questionnaire and the case studies, this confirms how unrelated the idea that natural agents are the largest threat to earthen heritage conservation is. This section will address one unique theme. a) Physical condition It is agreed overall that earthen architecture is constituted of a fragile and vulnerable material. The difficulties arising from the challenge to overcome the decay and degradation caused by the exposure to weather conditions, aggravated by violent natural phenomena, such as seismic activity or floods. The impacts of the multiplicity of agents of failure were systematically analysed in the case studies. In addition, regarding the site or structure as a unique asset, without taking into consideration dynamic environmental forces and climate change that can influence the setting of a structure or site, can also have a negative impact and result in failure. Any strong alteration to its conditions can have a disturbing impact and change the existing balance, as occurred in the case of Chan Chan.

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9.2.7 Failure in Planning Finally, the ‘planning’ section is addressed in order to understand how failure can be related to the different themes that were recognised in this category. The following themes were identified: process; lack of clear strategies; limited approach; lack of action; and bad management. a) Process Conservation practice can fail if it is not sustainable in the long-term. Several experts confirmed this viewpoint, which was also perceived in the approaches undertaken in the conception of the case studies’ conservation practice and management plans. The Aït Ben Haddou management plan for instance had an integrative process approach to site management that considered sustainability and integration of local resources (Boussalh and Moriset, 2007). This would give more independence from exterior funding, and therefore from government interference, and, to some extent, from political pressure. However, this approach is still not fully implemented as remarked by World Heritage (2009a, p.141). In the overall process, there could always be multiple approaches to conservation, but the best way to overcome possible fragilities of the process is to develop a consistent approach. b) Lack of clear strategies When defining strategies, a recurrent failure is the lack of precise and realistic definitions of objectives, priorities, target results, procedures, timing, and existing resources. Several of the plans do not reach implementation, as there is little definition of responsibilities for the development of priorities, actions, activities, and tasks. In the questionnaire, Luis Guerrero emphasised that it is fundamental to separate and to coordinate the different objectives, priorities and procedures of archaeologists, heritage managers and conservators. In extensive sites such as Chan Chan and Arg-e Bam, it is difficult to balance the planning of the different disciplines. That is why it becomes fundamental to have a general coordinator and management team with vision, holistic conservation approach and management skills to face this challenge. Failure also relates to lack of implementation of strategies. To avoid failure, strategies have to include more expertise, but in a balanced way. Practice and theory could better be combined through fair collaboration between conservation professionals (with more practical expertise) and conservation academics (with more theoretical knowledge). Besides, to avoid abandonment and wasted efforts due to unattainable strategies inadequate to local conditions and contexts, conservation

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intervention and long-term practice should be connected with the economical development of the communities surrounding the site. This was recognised by 15% of the international key-experts questioned, but was also identified in the open interviews and site survey questionnaires analysis. For instance in Chan Chan, to avoid the continuation of social pressure, it is intended that the management plan be updated to better address public use of spaces and of economic activities for the local community (World Heritage, 2007b). In Aït Ben Haddou, this was also implemented by the opening of souvenir shops at the ksar, and by involving the community in the management of the site, according to Boussalh and Moriset (2007) and to site survey questionnaire responses. Furthermore, for a strategy to result in success, there must be an internal commitment to coordinate efforts, with constant monitoring and evaluation of results. c) Limited approach It is essential to take into consideration all levels and factors relating to the social and natural context in the conservation approach. In the questionnaire, Pamela Jerome mentioned that an existing weakness in addressing conservation projects and interventions is to have only topdown approaches. Instead, there should be more involvement from the different stakeholders and community, so that the project is sustained after the experts and national entities have left. In Aït Ban Haddou, according to the open interview and the responses to the site survey questionnaires, the continuous engagement of representatives of the population and stakeholders developing the management entailed a bottom-up approach. Following the open interview, interactions were also encouraged at a high level resulting in a complementary, top-down approach. d) Lack of Action Failure can be caused by a lack of initiative and even lack of activity in implementing action. This happened in Chan Chan, where lack of continuous conservation practice brought disruption, which increased the impact of the natural agents (World Heritage, 2007b). Therefore, continuity in conservation practice is essential to mitigate pathologies. However, during conservation intervention, it is essential to re-address and re-evaluate the course of action. To take some aspect of the purposed action and to evaluate its impact, even before the start, will help to consider which different factors to take into consideration. Lack of action and incentive can have major implications in the degradation of the earthen fabric. 20% of the questioned experts agreed that the role of the

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international expert is to motivate action, making relevant, for instance, the importance of follow-up and maintenance. e) Bad Management Inexistent conservation management, but also bad management, can be considered a cause for accelerated decay, and therefore failure. Nowadays, there is more training in conservation management provided by ICCROM, Africa 2009 program, and regional management courses developed for specific regions. But still, there are regions with very little access to international management training, such as Latin America. This has an impact on the way the decision-making related to site use and conservation practice is addressed, as can be perceived in Chan Chan.

9.3. To recognise criteria for intervention in earthen heritage conservation Table 9.2 – Network diagram of research objective 2.

When recognising criteria for intervention, it is fundamental to establish ‘needs’ (9.3.1) to address. It is then indispensable to define a ‘methodology’ (9.3.2) and to recognise ‘criteria’ (9.3.3) for intervention, considering ‘indicators of quality’ (9.3.4) and ‘indicators of best practices’ (9.3.5), which can greatly contribute to a successful conservation approach, in order to better address ‘threats’ (9.3.6) (see Table 9.2).

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9.3.1 Needs The recognition of ‘needs’ is the main theme of this category, and will contribute to identifying courses of action. a) Needs As agreed by 20% of the questioned international experts, when actions are not oriented towards priorities, there are frequently wasted efforts. Addressing the needs involves: ƒ Defining criteria for intervention that will contribute to more consistency in the conservation approach; ƒ Establishing clear methodology in the discipline of earthen architecture; ƒ Adequately addressing conservation theory in earthen heritage which will contribute to identifying priorities in conservation; ƒ Concentrating on the survival and preservation of earthen structures and sites; ƒ And finally, according to Anthony Crosby, helping to clarify criteria for international significance by the World Heritage Centre, which has not been consistent with the values and the reality of earthen architecture.

9.3.2 Methodology The ‘methodology’ section is an important category, as it proposes different components to address before intervention. These components cannot only contribute to a more consistent and rigorous approach, but also to professional responsibility when addressing conservation intervention. In this category, the following themes were recognised: methodology framework and methodology key-components. a) Methodology framework As stated by Camilla Mileto in the international key-expert questionnaire response, monumental heritage conservation has increasingly established its methodological approach. However, there are other key-experts (who prefer to remain anonymous) who mention that the inexistence of methodology for conservation intervention is what the majority of projects have in common. Besides, following the literature review of the published data, open interview analysis, responses to site survey questionnaires and international key-expert questionnaires, it is generally acknowledged that there are few cases in earthen structures and

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sites that have a comprehensive methodology of intervention. In Aït Ben Haddou, there was no explicit methodology addressed in the management plan, and there is still the need for a more formal approach towards methodology of intervention. In Chan Chan, methodology of intervention was partially addressed through the management plan. However, the management plan was not fully implemented accordingly to the site survey questionnaires, and there is a need to update the existing documentation to address new recordings of the overall site, specifically before-during-after intervention treatments. Following the analyses of the Up-dated Nomination File of Bam citadel (ICHHTO, 2009) and published papers (Mokhtari et al., 2008), Arg-e Bam compiled a complete methodological approach. However, it is important that the methodology components are followed as a procedural process, and that these components should have a stronger impact on the conservation intervention approach. According to the site visit and the open interview findings, a highly specialised site recording has been developed; however, it is not directly connected with the way conservation intervention is addressed, as different teams develop components, and results do not interconnect. The recording and analysis of pathologies, their interpretation, diagnosis and intervention should be a continuous and whole process. This seems not to be the case in the overall site at Arg-e Bam, except in some structures under international cooperation projects. It is also interesting to notice that 15% of the international key-experts questioned stated that the same methodology approach should be followed in all types of structures and sites, as any conservation process shares the same underlying principles. Another 15% of the questioned international key-experts argued that a methodology should vary depending on the case, in order to be adequate. The fact is that both are accurate, as there are certain methodology components that are shared (documentation, recording, etc.), but the need for a particular study or not will depend on the specifics of the structure or site. b) Methodology key-components A comprehensive list of key-components for a qualitative methodological intervention was identified through the analysis of data. It is interesting to note that several of the components were generally agreed among questioned international key-experts, varying with an approval from 40% (to address the physical condition) to 5% (to address archaeological study). 10% of the questioned key-experts, in spite of not acknowledging the need for a methodological approach, understood the relevance of some of its components. Below are the basic components identified for methodology of intervention. These key-components are not

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limited, as proper consideration of the contextual aspects has to be considered: 1) Documentation and studies: ƒ Collection of preliminary documentation for better understanding; ƒ Historical study of the building/site; ƒ Structural study of the building/site; ƒ Study of the construction techniques (the way they are used); ƒ Archaeological study; ƒ Stratification study of historical architectonic levels; ƒ Context study of the surroundings; ƒ Socio-cultural study; ƒ Functional (use) study; ƒ Collection of government policies for the site; ƒ Collection of all the information concerning availability of funding; ƒ Specific in-depth analysis for each study; ƒ Deep study and understanding of the historical technology; ƒ Other studies (e.g. local know-how). 2) Recording and surveying: ƒ Architectural survey; ƒ Detailed metric survey; ƒ Survey of the materials used; ƒ Survey of the materials added to the original fabric; ƒ Record of the historical technology; ƒ Registration (archaeological, etc.); ƒ Other records and surveys when needed. 3) Interpretation: After collecting and analysing the documentation, and before ƒ The planning definition; ƒ Establishing programs; ƒ Addressing management; ƒ Addressing conservation implementation and practice; ƒ Addressing implementation when neeeded 4) Assessment of significance: ƒ Study of the significance of the structure and site; ƒ Assessment of the community significance for the site;

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5) Assessment of physical condition: ƒ Identification of conditions (intrinsic and extrinsic) that affect the site; ƒ Analysis of the condition/deterioration: material pathologies; ƒ Analysis of the condition/deterioration: structural pathologies; ƒ Study and test of materials (including laboratory analysis); ƒ Technical diagnosis of the site/object (following the condition analysis); ƒ Other relevant components, when needed. 6) Criteria for intervention: ƒ Will be further explained in section 9.3.3; 7) Evaluation and monitoring: ƒ Monitoring conditions of equilibrium; ƒ Routine vigilance; ƒ Evaluation of conditions; ƒ Other components to be considered, when needed. 8) Maintenance and follow-up: ƒ After implementation of conservation approach, to include a maintenance plan; ƒ After maintenance plan implementation, there is the need for follow-up and monitoring;

9.3.3 Criteria ‘Criteria’ for intervention directly relates to the response to the second research objective, but also clarifies their relevance for a more reliable and systematic intervention. In this category, the identified themes were: criteria framework and key-criteria. a) Criteria framework Most of the international key-experts had a mixed interpretation regarding components of methodology and criteria for intervention. This illustrates how many of these definitions have not been clearly understood by several of the international key-experts. The recognition of criteria is a relevant element contributing to decision-making. It can be based on indicators of quality and more than one set of guiding-standards, such as conservation principles from conservation theory, values assigned by local communities, etc. Throughout the analysis of the international key-expert questionnaires, 15% of the questioned experts separated conservation criteria into values based-decisions or material based-decisions, clearly

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dividing conservation intervention approaches among scientific and anthropological issues. Another 15% of the questioned key-experts agreed that both approaches can interconnect. Nevertheless, 35% of the questioned international key-experts agreed that there are no universal criteria, as it will depend on the specifics of each structure or site. It is important to underline that criteria should be consistently maintained through the years to avoid paradigmatic interventions, as is the case of Chan Chan, where intervention criteria changed frequently and different conservation intervention trends can be recognised. This was observed after the Chan Chan site visit. In Aït Ben Haddou, following the analyses of site questionnaires, open interview and revision of the literature concerning the site, there was insufficient information specifically related to criteria for intervention. Finally, In Arge Bam, though rarely mentioned, criteria for intervention were associated with conservation principles, according to the open interview. b) Key-criteria Following the analysis of the international key-expert questionnaires, several key-criteria were identified. Two complementary notions of criteria were established. Explicit/tangible criteria entailed guiding principles and related more to extrinsic characteristics of earthen heritage. Implicit/intangible criteria concerned the values that are inherent to the site (e.g. sense of place, spirituality, etc.) and are embedded in intrinsic characteristics of earthen architecture (local building cultures, etc.). The recognition of criteria for intervention will help facilitate and distinguish guiding-standards that will contribute to an impartial judgement within the conservation intervention carried out. Only the key-criteria for intervention are mentioned in the following list, and between brackets is the percentage of experts questioned that referred to it: Tangible criteria 1) Conservation principles: ƒ Authenticity (25%) ƒ Compatibility (25%) ƒ Uniqueness (20%) ƒ Minimum intervention (20%) ƒ Integrity (15%) ƒ Reversibility of the intervention (15%) ƒ To consider balance between historical and aesthetical aspects (5%)

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2) Sustainable principles: ƒ Economical sustainability (30%) ƒ Availability of materials (25%) ƒ Resource availability (20%) ƒ Environmental sustainability (10%) 3) Principles related to physical specificities: ƒ Minimum risk situation (20%) ƒ To address pathologies (30%) ƒ To try to preserve as much as possible (10%) ƒ To consider life safety (5%) ƒ To consider threats (5%) ƒ To consider accessibility (5%) 4) Preventive principles: ƒ Continued maintenance (40%) ƒ Continued use requirements (25%) ƒ Maintenance capabilities (20%) ƒ To consider functional use (10%) ƒ Improve living conditions (5%) Intangible criteria 1) Values that define criteria: ƒ Educational value (35%) ƒ Historical and material document (25%) ƒ Traditional value (20%) ƒ Value to the community (20%) ƒ Aesthetical value (5%) 2) Values related to intangible heritage: ƒ Cultural context (10%) ƒ Sense of place (10%) ƒ Knowledge inherent to the structure or site (5%) ƒ History of the structure or site (5%) ƒ Local building knowledge (5%) There are other types of intervention criteria, for instance design criteria, bioclimatic criteria, etc., as mentioned in section 3.2.5. It is fundamental that recognised guiding-criteria contribute to an impartial judgment when addressing conservation intervention.

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9.3.4 Indicators of quality It is also important to acknowledge ‘indicators of quality’, as they give evidence of successful efforts in conservation intervention. However, these themes should not just be mentioned, but must be an active part in the process. In this category, four fundamental themes were recognised: conservation principles driven process; value-driven process, interdisciplinary process; and community participatory process. a) Conservation principles driven process 15% of the international key-experts questioned related conservation principles with criteria for intervention, mentioning that practice should follow established principles of conservation theory. But a conservation principle driven process entails more than criteria for intervention. In this case, the overall process of management plan preparation, implementation and conservation intervention considers conservation principles as the main criteria for site assessment and for definition of courses of action. For instance, in Chan Chan the increasing decay and denigration of the earthen fabric and the lack of continuous conservation by the State Party led the World Heritage Committee to request the Peruvian state to reevaluate the authenticity and integrity conditions of the site (World Heritage, 2008a, p.85). b) Value-driven process In the international key-expert questionnaire, the importance of a value-driven process was agreed by 35% of the questioned international key-experts. In the Chan Chan case study, a value-driven process was used during the preparation of the management plan. However, authenticity and integrity are being currently re-evaluated at the site. Aït Ben Haddou did not use an explicit value-driven process. In Arg-e Bam, significance was provided by Bam’s Declaration, and distinct values are being given importance during the recovery of the citadel. However, there was no specific value-driven process engaging the population. It is interesting to note that the assessment of values is much related to the community (as confirmed by 25% of the questioned key-experts). Different levels of local population engagement could be detected in the case study analysis. In spite of more recognition and understanding regarding the significance of earthen heritage, there is little credit given to the population’s ability to discern their own values in what concerns heritage value assessment. A lot more is still to be done to address this specific issue. However, it can be stated that in the last years the value-based approach had enjoyed an increase in interest, particularly regarding its impact on conservation, as

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observed in chapter 4. The assessment of value, its protection and enhancement are indicators of quality, as the establishment of significance can contribute to defining courses of action and priorities to address in conservation intervention. c) Interdisciplinary driven process 25% of the international key-experts questioned mentioned that conservation teams should engage in more interdisciplinary participation, embracing conservators, architects, archaeologists, engineers, but also material specialists, chemists, and biologists, among others. There should be efficient coordination for interdisciplinary teams to work in a balanced way. Site experts also supported this approach during open interviews. Equally important, more collaboration among team professionals from different disciplines should exist, as agreed by 20% of international keyexperts questioned. Open interviewees equally supported this viewpoint. This indicator of quality is not always followed through, on the site: in Chan Chan, it is evident through interdisciplinary consultancy (INC, Tomo-1, 2000) (World Heritage, 2007b); in Aït Ben Haddou, in stakeholders’ involvement from different disciplines (Boussalh and Moriset, 2007); and in Arg-e Bam through professional teams from distinct disciplines working on the site (ICHHTO, 2009b). All in all, almost no interdisciplinary collaboration is noticed, as different teams rarely cooperate. The Choga Zanbil site in Iran (comparative related site mentioned in section 5.4.1) is a good example of an interdisciplinary process developed in a balanced way. d) Community participatory process 60% of the questioned international key-experts agreed that local communities and stakeholders have to be more engaged in the conservation process. Site questionnaire responses and open interview results also sustain this finding. However, just 35% of the international key-experts questioned supported the implementation of a participatory management planning process. This means that the remaining 25% of the questioned international key-experts believed in community engagement, but with limited participative action. It is on the following phase of the process that 55% of the international key-experts questioned gave their support for a more active decision-making process regarding community participation. When analysing the case studies, results are different. For the development of Chan Chan’s management plan, the community participated only during the second process phase related to the identification of values (INC, Tomo-1, 2000). The population was not directly engaged in the third phase of the process concerning the definition

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of policies and planning of courses of action. In this regard, the Aït Ben Haddou case study was the opposite, as the management plan was developed through a process of comprehensive community participation, according to the open interview and Boussalh and Moriset, (2007). The involvement of the community from the beginning of the process allowed more consistency at the decision-making phase, as the population and stakeholders felt additional responsibility to ensure continuity of the site’s future. Arg-e Bam did not address a community participatory process, according to the analysis of the available reports (ICHHTO, 2009a, 2009b).

9.3.5 Indicators of best practices Another important category to recognise is ‘indicators of best practices’, which can contribute to the achievement of best results, especially if most of the mentioned indicators are considered in the overall approach. The identified themes emerged from the international keyexpert questionnaire and the site survey questionnaire responses, as well as the open interview answers. Themes identified were: balanced approach; capacity building; collaboration; commitment; communication; consistency; economic sustainability; expertise; holistic approach; long-term approach; respectful practice; social aspects; and systematic approach. a) Balanced approach Throughout the entire conservation process, it is important to have a balanced approach of conservation, management and local sustainable development, a feature that is supported by 20% of the international keyexperts questioned. Another 10% of them supported a general strategy that considers a balanced approach between environment, cultural values, and identity. The most important thing is to consider the different components in parallel and to try to balance them. In the international key-expert answer, Luis Guerrero mentioned the need to address this issue between the archaeological exploration and the conservation work, especially regarding earthen archaeological sites. This is important in order to follow a more sustainable approach between both. In Huaca de La Luna site, in Trujillo, Peru (Chan Chan’s comparative related site mentioned in section 5.4.1), as observed during the site visit, there is a balance between both disciplines. In Chan Chan, for the last ten years, there has been an uneven approach concerning archaeology and conservation intervention, with archaeology afforded more importance than conservation, according to the open interview and specific World Heritage reports (2007b). Consequently,

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there was accelerated decay of exposed remains, which also contributed to the degradation of the overall site. b) Capacity building Capacity building emerged as an important theme related to community education, awareness, and training from site questionnaire responses. Furthermore, as a strategic objective of the World Heritage Committee (World Heritage Centre, 2008, p.149), capacity building becomes an important evaluation criterion for best practices. However, just 15% of the international key-experts questioned mentioned that capacity building should be included as part of the conservation intervention, and it was noticed that several experts were not familiar with the concept. Pamela Jerome emphasised the relevance for experts “to engage (in) capacity building at the grassroots level”. As observed through the site visits, capacity building was partially included in Arg-e Bam and Aït Ben Haddou sites by hiring local population for site’s conservation works. In spite of no formal specific training directed to local communities, capacity building helped to some extent, to qualify professionals specifically hired to work at the site. In Chan Chan, capacity building and professional training were not “considered inherently in the implementation of projects” (World Heritage, 2008a, p.84). The reality is that a lot more effort has to be made to promote and disseminate capacity building within the case study communities. c) Collaboration Collaboration means to engage in teamwork through cooperation and involvement. 35% of the questioned international key-experts agreed that there should be stronger support and closer collaboration between stakeholders at national, regional, and local levels. Collaboration among authorities, decision-makers, stakeholders and conservators contributes immensely to the success of the intervention. Collaboration is more than communication and is not always perceived as possible. Through the site visit and the analysis of Arg-e Bam published papers (Binda et al., 2007) (Licciardi, 2007) and non-published reports (Joffroy, 2006) (ICHHTO, 2008, 2009a, 2009b), it was noted that there has been intensive collaboration among stakeholders to develop international cooperation at Bam citadel. In Chan Chan, there was comprehensive collaboration between partners from 1996 until 1999 to develop the management plan (INC, Tomo-1, 2000). After its conclusion, there were collaboration difficulties between state authorities and management plan authors. Difficulties arise when visions and goals are not shared among partners.

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However, a common effort should be made to promote teamwork and partnership in order to achieve the desired end. d) Commitment When there is a committed involvement of all the partners, the efforts enhance the results. But this commitment has to come from conservators, interdisciplinary teams, stakeholders, government, local community, etc. It was commonly mentioned that one of the reasons for failure in conservation was the lack of commitment from some conservation professionals. This was also supported through the analysis of the case studies and open interviews. Ten years of constant delay in the implementation of Chan Chan’s management plan brought fatigue, and less commitment for its implementation. Recent efforts from the State Party are ultimately starting to produce significant progress on the corrective measures to implement (World Heritage, 2009b, p.46). In Aït Ben Haddou and Arg-e Bam, management plans were recently created (Boussalh and Moriset, 2007) (ICHHTO, 2009a). For the moment, at these two sites, there is still commitment from the partners. However, political pressure and lack of management agreement can bring discontinuity of commitment, as is starting to partially happen. In Aït Ben Haddou, World Heritage underlined the lack of progress since the initial efforts to implement the management plan in 2007 (2009a, p.143). e) Communication 20% of the international key-experts questioned stated that there is a lack of communication between decision-makers and the users of the site (for instance, the community). This lack of communication also emerged from the analysis of the case studies (see Appendix VI), and in particular from open interviews and site questionnaires. In Chan Chan, during the development of the management plan, there were efforts to promote real communication between the different stakeholders. However, according to the open interview, the fact that a local stakeholder was included as consultant but was not really involved in the process caused communication issues between partners at a later stage. Additionally, and according to site questionnaires, there was some lack of communication between the authors of the management plan project and the government, which brought up difficulties with implementing the management plan. In Arg-e Bam there were difficulties with communication between some of the international stakeholders and the Iranian State Party, according to some of the site questionnaire responses. This could be due to the perception of lack of openness of the Iranian government to international partners, which engenders distrust; additionally, it can be also due to the

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struggle in communication arising from different languages, and a lack of familiarity with the Iranian culture. In Aït Ben Haddou, communication was opened during the management meetings. However, lack of inclusion of all the stakeholders brought some scepticism from a few experts, according to some of the responses to site questionnaires. This will probably have an impact in future communication between the relevant stakeholders. It is crucial to develop communication between all the stakeholders, a fact supported by 15% of the questioned experts. Open communication between all stakeholders will bring in long-term positive results. f) Consistency 10% of international key-experts questioned confirmed the need for consistency in conservation approach; especially concerning the conservation treatment and consolidation, as this should be consistent with the condition of the earthen fabric. Answering the international key-expert questionnaire, Anthony Crosby underlined that a key to success is to have consistency throughout the planning process, the program approach, and the conservation personnel. According to site questionnaire responses, inconsistency in intervention and in personnel occurred in Chan Chan, which brought disruption and led to failure in conservation management and team leadership. Additionally, there was a lack of consistency amongst Chan Chan’s decision-makers. As a result, there were recurrently different professionals with distinct intervention criteria and courses of action. This led to an inconsistent approach in conservation intervention. There is also inconsistency between the theoretical framework of the conservation project and conservation intervention. In conservation, it is common to perceive the difference between what the conservators present as the conservation theoretical framework of the project, and the results of the intervention. g) Economic sustainability To contribute, even if only partially, to the economic development of the community, along with the conservation intervention of the structure or site, will increase the possibilities of achieving successful results in conservation practice. This is why 25% of the questioned experts supported the assessment of local socio-economic profits that can be targeted at the community. In addition, 35% of the questioned international key-experts confirmed that measures to ensure the economic sustainability of the conservation intervention would enhance potential in the long-term. That is why it is important to address resource availability on site: by trying to reuse local materials (for example, existing adobes

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will provide material sustainability to some extent), and by trying to involve the local community, who will provide autonomy for future human resources, etc. This approach has been applied in Aït Ben Haddou, as mentioned by Boussalh and Moriset (2007), but it is still not fully implemented, as it requires good management and commitment from all parties. For the moment, there is still no sustainable funding arrangement for the long-term management of the site (World Heritage, 2009a, p.141). Finally, it is important to also look for alternative resources for follow-up activities, such as management and preventive conservation, which are not always financially considered on the overall approach. h) Expertise It is critical to have expertise in earthen heritage conservation when carrying out conservation intervention. Recurrently, there are experts with knowledge in general conservation, but without expertise in earthen heritage; or there are professionals with know-how in earthen construction, but without expertise in earthen conservation. As this is a highly specialised field, it is fundamental to previously acquire a high technical expertise before deciding the course of action. For an adequate intervention, decision-makers coordinating the conservation of structures or sites in earthen fabric should be scientifically knowledgeable and have practice experience in conservation of earthen heritage. According to Maddalena Achenza’s response to the international key-expert questionnaire, “the presence of highly specialised architects is a guarantee for a correct and scientific approach to the (…) work to be done”. In Arg-e Bam, to involve, in the recovery of the citadel, international teams with high expertise in earthen architecture and seismic retrofitted structures was a way to partially guarantee the success of the project. i) Holistic approach To have a holistic approach to conservation will allow a cumulative contribution from the different quality indicators, such as being interdisciplinary, community participatory, value-driven, and reaching a balance of distinct components for best practice. This should embrace a wide and overall vision, as well as a detailed approach. When facing new conservation challenges, John Hurd mentioned in the international keyexpert questionnaire, the need to examine “with an open explorative mind, leading to appropriate and sensitive reflections”. In fact, all the different factors will contribute to the intended holistic approach. In the case studies, this open-minded and holistic approach was considered during the development of the different management plans, but difficulty arose in

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maintaining this during implementation of the management plan and the follow-up stages. j) Long-term approach For the future survival of the structure or site, it is fundamental not just to respond to the intended conservation intervention, but also to plan ahead for the long-term. When the experts and conservators leave, in order for the structure or site to survive, it has to carry out simple conservation procedures, such as continuous maintenance and management. This is why there is an increase of interest in the follow-up and preventive conservation approach. According to 20% of the international key-experts questioned, this type of approach should have a long-term impact in conservation practices in the regions where earthen structures or sites are located. k) Respectful practice Just 10% of the international key-experts questioned considered that a respectful approach would be to use the same material and techniques as the ancient fabric. However, in the analysed case studies and as previously mentioned, this was only partially followed. Conservation intervention did not always use the same building cultures existing on site. Additionally, it should be taken into consideration that intervention should be carried out with caution, humility, and a respectful approach; but also, as stated by Jeanne Marie Teutonico in the international key-expert questionnaire, with “the understanding that any intervention becomes part of the history”. l) Social aspects Several experts mentioned that a social component should be considered in the general approach to conservation intervention. One of the international key-experts, who preferred to remain anonymous, even stated that a balance should be reached between the technical vision and the social approach. 10% of the questioned international key-experts added that, to ensure preservation of earthen structures, there should be a balance of social and economical development considering health and sustainability. Another 10% of the questioned international key-experts mentioned the need for a balance between social issues and a scientific approach. The fact is that the interest in the social component has increased over the last few years, as there is a notion that if social issues are also addressed then the conservation approach will achieve the most durable results. For instance, in Arg-e Bam, unemployed people were hired to work at the site. The local population developed even more respect and value towards the citadel when people who had lost everything during the earthquake were employed. The inclusion of a social

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component will certainly contribute to more commitment from the local population and a long-term solution. m) Systematic approach To be systematic in terms of project evaluation and implementation will engender a sound approach that will bring more consistency towards the conservation process. It is important to carry out a systematic monitoring and maintenance of the structure or site during the conservation intervention and following its completion. As observed on the site visit to Huaca de Moche, this type of systematic approach has been developed in Huaca de La Luna, in Peru during previous years, and together with the holistic approach has contributed to the accomplishment of good conservation progress.

9.3.6 Threats The definition of strategies will give an opportunity to address ‘threats’ that bring pressure to the project. This category is defined by one unique theme. a) Threats Several threats were already mentioned in section 9.2, however there are still several others that should be considered. In the response to the international key-expert questionnaire, Isabel Kanan emphasised that a lot of earthen heritage is being destroyed or substituted. This can happen in conservation interventions without even public awareness. In several occasions, when there are competitions for the selection of conservation works, teams are selected not because of their expertise, but due to smaller budgets presented at the competition, or even due to political decisions. According to Célia Neves, responding to the international key-expert questionnaire, several of the building companies that run earthen conservation interventions focus on completing contracted deadlines, not always with conceptual and scientific concerns. Sometimes, experts are hired for specific consultations, but at other times their contribution is not even taken into account in the overall process.

9.4. Conclusions The purpose of this chapter was to identify reasons for failure of earthen heritage, and to advance criteria for intervention in the conservation of earthen heritage. Addressing the first research objective, five categories for failure were identified and the lack of responsibility

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was the major category causing failure. Regarding the second research objective, four main categories were recognised: the key-components of methodology intervention, key-components of criteria for intervention, indicators of quality, and indicators of best practices. Both research objectives were comprehensively addressed within the analysis of the questionnaires and case studies.

CHAPTE ER TEN CONSSERVATIO ON THEORY AND S TRATEG GIES IN EARTHEN HERITAG GE

Fig.10.1 – Coontinuous mainntenance is add dressed in the innhabited World d Heritage site of Taos, iin New Mexicoo, USA (credits:: Mariana Correeia, 2002).

10.1 Intro oduction This chaapter focuses on the respon nse to researchh objective 3, ‘to give significancee to conservatiion theory in the t field of eaarthen heritagee’, and to research objjective 4, ‘too provide straategies concerrning earthen n heritage conservationn’. The answ wer to the reseearch goals iss developed by b crossreferencing the results frrom the intern national key--experts questtionnaires presented onn sheet displaay diagrams 3 and 4 (appenndix IX); with h the case studies findings and the literature review. This is aalso completeed by the review of thhe literature inn chapters 1 to t 4. Finally, for consistenccy and to avoid repetiition, all the results r were reeorganised am mong the fourr research

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objectives. Observations from survey questionnaires, from experts that wanted to be quoted, are also presented bellow.

10.2 To give significance to conservation theory in the field of earthen heritage In order to give significance to conservation theory, first it is considered the category of ‘gaps and needs’ (10.2.1). Three categories are recognised: ‘conservation theory lack of clarity’ (10.2.2), ‘conservation theory conceptual approach’ (10.2.3) and ‘assessment of significance’ (10.2.4). Understanding these main categories gives a framework to identify ‘priorities’ (10.2.5), which respond to the identified ‘threats’ (10.2.6). A graphic network can be observed in table 10.1. Table 10.1 – Network diagram of research objective 3.

10.2.1 Gaps and Needs This category is directed to the ‘gaps and needs’ recognised in the analyses of data, related to research objective 3. It is composed by the following themes: gaps, and needs. a) Gaps Several gaps were identified. One of the most important is related to the gap of knowledge addressing conservation theory in earthen architecture. For 25% of the questioned international key-experts, conservation theory was still not sufficiently addressed, and it is still being

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developed. Hugo Houben in his international key-expert response even argued that conservation theory should be based on the critical analysis of earthen architecture’s own history, which has still not happened in the field of earthen architecture. The reality is that there is still not enough consistent and systematic assessment of previously carried out earthen conservation interventions, which makes it difficult to generate debate and critical judgements. A second recognised gap that needs to be urgently addressed relates to a missing link between theory, research, and practice. This is mentioned by 20% of the questioned international key-experts. This gap partially emerged from the missing connection between conservation theory and conservation intervention; but also from the general criticism addressed at conservation practice, and the inconsistency between what is proposed and the final intervention. Another gap underlined by an international expert, who prefers to remain anonymous, is related to conservation practice and the fact that site coordinators and managers do not really know which approach to undertake to preserve earthen structures and sites most of the time. This is one of the reasons why they turn so much to international experts. A fourth gap is with regard to the real lack of understanding that most conservation professionals have related to values and significance, especially if they have a more practical background. b) Needs Following the identification of gaps, it becomes essential to recognise needs to address. One of the most important needs, confirmed by 20% of the international key-experts questioned, is the need for an effective combination between theory and practice. 15% of the questioned international key-experts called attention to the need for developing more comprehensive concepts, criteria, approaches, procedures, practices, and policies. It was also stated that there is a need to write an earthen architecture history, incorporating conservation theory and its relation to earthen architecture. Additionally, the need for more discussion addressing ‘minimum intervention’ was mentioned, as there is a wide interpretative approach related to this concept.

10.2.2 Conservation theory lack of clarity This category explains concerns and incertitude related to conservation theory. Four themes were identified: unclear concepts; conservation framework; need for discussion; and recommendations.

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a) Unclear concepts 20% of international key-experts questioned agreed that there are mixed notions concerning terminology in conservation theory, which emerged from unclear concepts. From another standpoint, 25% of other international key-experts questioned related conservation theory to laboratory tests or general research. This was observed especially among engineers and material specialists. On his international key-expert questionnaire response, Luis Guerrero also underlined the existence of confusion regarding the concepts of maintenance, reintegration, integration, and reconstruction. Additionally, through analysis of the case studies, it was observed that there was uncertainty regarding the differences between concepts, such as conservation and restoration; consolidation and reintegration; restoration and reconstruction; rehabilitation and regeneration. These should be clearly readdressed and evaluated in light of earthen heritage. b) Conservation framework Concerning conservation intervention framework, there were experts that argued that the theoretical approach to earthen heritage should be more flexible than with the stone heritage. However, when there is lack of experience and knowledge specifically related to earthen architecture, there is a tendency to apply a stone conservation intervention approach to the earthen conservation context. This was for instance noticed among some of the international projects carried out in Arg-e Bam, especially those experienced in conservation but unfamiliar with earthen architecture conservation. c) Need of discussion Several of the experts mentioned the relevance of addressing a discussion about conservation theory in earthen heritage. However, they were uncertain of how to do it. There is subjectivity related with concepts, but also with terminology, methods, and materials to approach conservation practice in earthen architecture. These issues should certainly be more debated and reflected on, as they have a relevant impact not only on the way conservation intervention is approached; but also on the results of conservation arising from each conservation team perspective. This was noticed for instance in the different approaches towards conservation practice carried through by the international and national stakeholders at Bam’s citadel structures. d) Recommendations 10% of the international key-experts that were questioned agreed that there were not yet international recommendations for earthen architecture,

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but another 10% argued that there should not be any, as conservation theory is universal and includes all the different types of heritage. The reality is that currently there is no debate about this, and in general, there are very few papers and publications’ concerning this matter, as was mentioned in chapters 1 and 4. However, through the review of literature and analysis of questionnaires and case studies, it can be discerned that there is no need for the creation of a particular charter, but rather the need to specifically address international principles for earthen heritage conservation. These recommendations should relate to procedural measures, as well as to an appropriate framework approach that should adjust to each site context.

10.2.3 Conservation theory conceptual approach This category is composed of the following themes: degrees for intervention; conservation principles; specific principles within earthen heritage framework; charters; theorists; and conservation literature. a) Degrees of intervention It was also noted that 15% of the international key-experts questioned had a mixed interpretation concerning degrees of intervention, in particular related with the meanings of conservation and restoration, conservation and reconstruction, and of restoration and reconstruction. This was even better confirmed through the analysis of the case studies, where on several occasions the random use of the above mentioned terms was noticed; or the notion was put forward that this mixed interpretation was not an issue, as earthen heritage conservation had to be addressed in a different way to other types of heritage. Furthermore, in the case of restoration, rehabilitation, and regeneration, it was also observed that following intervention, lack of spatial use in inhabited structures or sites could contribute to the degradation of the physical condition of earthen structures. This was perceived for instance in Aït Ben Haddou, as the site increase deteriorated when the inhabitants moved away during the 1970s. This is why moving the inhabitants back to the Ksar became an important condition. There is no real agreement as to whether reconstruction should be accepted in earthen architecture as a common practice related to the continuity of the earthen material, or, as in other conservation fields, whether reconstruction is just considered in light of “armed conflicts or natural disasters”, as mentioned in the Charter of Cracow, Art.4 (2000, p.2). It was noted by 10% of the international key-experts questioned that there is a need to further relate intervention with conservation and

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restoration, and less with reconstruction. Reconstruction is several times confused with conservation intervention, without conscious thought by the conservation coordinator. As mentioned by Fernando Vegas during the international key-expert questionnaire, there are several examples of repair with reconstruction of parts, but very few examples of specific conservation and restoration interventions. From another viewpoint, there are other experts, who prefer to remain anonymous, who disagreed and considered reconstruction inherent to earthen architecture. However, the fact is that the notion of authenticity of a site can be jeopardised through the last type of approach. 15% of the international key-experts questioned also argued that there is no sense retrofitting earthen structures if the original historical building is to a great extent substituted by new components. Substitution of parts would create, in a certain sense, falsifications and reconstructions. If full reconstruction is considered, Camilla Mileto emphasised in the international key-expert questionnaire response that an imitation of the original building would affect the earthen architecture conservation approach. The fact is that balance has to be achieved. All the efforts that are excessively interpreted create solutions that can challenge authenticity and the survival of the structure or site. Consolidation also becomes an important issue of debate, as there is a tendency to reconstruct parts of the structure or site instead of consolidating, as requested. As previously mentioned, there is a fascination in some cases from the conservator, especially when it is an architect in charge of the consolidation process, to concentrate on the reproduction of the constructive system. This entails a challenging problem due to the carbonation of the original fabric and loss of the intangible knowledge of local building cultures, among other demanding issues. The establishment of the degree of conservation intervention frequently entails a clear notion of the concept, by the conservation coordinator in charge of intervention and the consultant expert. It is then most relevant to have a clear framework. Unfortunately, it was observed through the analysed case studies that there was a confusion of meaning addressed to the different degrees of intervention, which should be clarified. b) Conservation principles Several principles were identified from triangulation of results, as being fundamental conservation principles for intervention. As follows, the most relevant principles will be mentioned: authenticity; balance

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between the aesthetic and the historical principle; integrity; historical principle; minimal intervention; reversibility; unity; and universality. x

Authenticity – 25% of the questioned international key-experts agreed that during the formulation of the conservation approach, it is crucial to address authenticity. Evidence from site questionnaires also sustained this assertion. This is one of the major principles to be given relevance by the UNESCO World Heritage Convention. However, 10% of the international experts questioned were concerned with how far one can interfere to repair a problem, before losing authenticity of the material. For instance, is the authenticity principle challenged by maintenance through replastering?

x

Balance between the aesthetic and the historic principle - Some of the questioned international key-experts mentioned the importance of the aesthetic aspect in intervention. If aesthetics imposes itself to the other concerns, it can become a relevant threat. For instance, before the earthquake in Arg-e Bam, the aesthetic value became so central that the entire site was restored with a higher aesthetic approach, and the seismic factor was less considered. As a consequence, earthen renders or plasters were sometimes too thick, as observed during the site visit, and structures were not prepared for the dynamic forces of such a strong earthquake. The visual impact is an important factor to consider during intervention, but it should be balanced with at least the historic principle, in order to not endanger structures or sites.

x

Integrity – This is a condition that all nominated properties for World Heritage List inscription have to satisfy; not just in terms of structural integrity, as is believed by 15% of the questioned international key-experts, but also in terms of “the wholeness and intactness” of the site, as mentioned in Art.88 from World Heritage Centre (2008, p.23). This is also supported by evidence emerging from open interviews and site survey questionnaire responses. Additionally, Luis Guerrero, responding to the international keyexperts questionnaire, recalled that to survive, traditional systems have to recuperate their integrity in conservation, and connect themselves with ethical principles of intervention.

x

Historical principle – The historical principle can be related with the patina of time, the evidence of history that remains in the earthen fabric. In spite of 15% of the questioned international key-

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experts being concerned that a conservation intervention should have respect regarding the patina of time, the reality is that this concern was not noticed in the three case studies analysed. In reality, patina of time is not even consciously considered in most cases. Fernando Vegas in the international key-expert questionnaire response mentioned that the beauty of patina of time is eliminated through reconstruction. Additionally, it can be added that patina of time also has a tendency to be cleaned when there is less understanding for its importance and meaning. x

Minimum intervention – 20% of the international key-experts questioned considered this to be a fundamental principle for intervention. Unfortunately, in the majority of times it is passed over, as mentioned in section 5.6.2. For instance, the conservation project is required to address consolidation and finishes by addressing reconstruction. Following Hubert Guillaud, to consider minimum intervention with a humble approach is certainly an indicator of quality. Furthermore, and as stated by Fernando Vegas in the international key-expert questionnaire, conservation intervention does not always mean a vast project, it can also imply just to stop or reduce the process of degradation. This can be enough to conserve the value of the fabric and its historicity.

x

Reversibility – This is a major principle that allowed dismantling of the conservation technique or method, in the case of it being incorrect or not updated. Unfortunately, due to earth’s fragility and vulnerability, it is not an easy principle to address in earthen architecture conservation intervention. This principle was recognised in some of the international key-expert surveys and site questionnaires, but also in one of the open interviews. Furthermore, it is even more complex if we are dealing with conservation treatments and consolidants, as mentioned in Chan Chan case study, section 6.6.

x

Unity – is not as prominent as the previous principles, but still, it is of major importance. According to Brandi, its recognition is what distinguishes a structure or site from its ruin (2006, p.41). Additionally, 10% of the international key-experts questioned believed that when developing conservation intervention, it is important to re-establish the unity of a structure or site, and to avoid full reconstruction. This evidence also emerged from the literature review concerning the case studies. For instance, it can be recognised that in Arg-e Bam, following the earthquake, the

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reestablishment of the citadel’s unity has been a main criterion for intervention (Vatandoust and Mokhtari, 2004). x

Universality - This is a principle with relevance in particular to sites included in the World Heritage List. The principle ensures that the nominated property is of universal importance, and must be preserved for the next generations. Evidence was originated from published literature, international key expert questionnaires, and one open interview.

c) Specific principles within earthen heritage framework Specifically addressing intrinsic characteristics of earthen heritage, three principles were recognised as fundamental: compatibility; continuity; and uniqueness. x

Compatibility – This is an important principle of intervention, with 20% of the international key-experts questioned concerned with compatibility of materials and techniques between those of the intervention and those of the ancient fabric. Usually, failure is recurrent if compatibility is not addressed. Two of the experts in the open interview also express their concern for this principle. 15% of the international key-experts questioned, even emphasised that compatibility is the keystone to the understanding elements and inter-connections in earthen architecture. Additionally, it is also relevant to be aware of compatibility of use and of spatial function, as not all the purposes fit the needs and the spatial conditions.

x

Continuity – is a very significant principle in earthen architecture. To survive, earthen architecture has to maintain continuity of use and upkeep of the fabric through continuous management and maintenance. As stated by 25% of the international key-experts questioned, it is relevant to address the long-term cultural continuum of the material to avoid its disappearance.

x

Uniqueness – This is a distinct principle, and quite related to earthen architecture and its unique intrinsic characteristics. 20% of the international key-experts questioned referred to the uniqueness of the structure or site as an important criterion for intervention. Furthermore, 15% of the international key-experts questioned also believed that methodology of intervention should be adapted to the specifics of the building technique and its uniqueness. In this case it is to the local building culture and the architectural features of the structure or site.

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d) Charters In general, most conservators dealing with earthen heritage conservation practice rarely follow international heritage charters, or they consider that the earthen fabric being preserved is an exception to the rule within the recommended conservation framework. One of the international experts emphasised that there are difficulties in converting the real meaning of the conservation charter principles into practice. This can explain why one other expert, who prefers to remain anonymous, mentioned the fact that international charters could define criteria for intervention without specifying how they should be carried out. To address earthen heritage conservation theory with accuracy and full understanding can be difficult. The analysis of the case studies, in light of the recommendations of charters as illustrated throughout sections 6.10, 7.10 and 8.10 express the paucity of dedication directed by conservator coordinators to international charters and recommendations within the earthen architecture framework. The development of specific recommendations for earthen heritage preservation would certainly fill this gap. e) Conservation Theorists There has been an increased interest in conservation theorist’s philosophy, with an impact on the way to approach earthen heritage conservation. This attention is particularly oriented towards the recognition of principles that have a specific impact in the field. For example, one of the experts that preferred to stay anonymous underlined the importance of Cesari Brandi’s reflections on conservation theory and its impact in earthen architecture. Additionally, 15% of the international key-experts questioned stated that Paul Philippot’s concept “maximum understanding and minimum intervention” was still the most appropriate conceptual approach, but reflection should be directed towards this principle to better reach the scope of its meaning in the conservation approach to earthen heritage. Gradually, it is also noticed that earthen architecture conservation is starting to be debated in conservation seminars and conferences. This was the case of the seminar organised in Lisbon, in 2006, concerning “International Seminar Theory and Practice in Conservation - A Tribute to Cesare Brandi” (Correia and Fernandes, 2006); but also of the conference held in Valencia, in 2009, “Fermatas and comfort in historical architecture - Criteria for restoration and practical application”. These events are having an increased impact enhancement in the reflection and debate concerning the approach to earthen architecture conservation. Foremost, as a result, high standards and quality of intervention in the earthen heritage conservation area are being demanded.

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f) Conservation literature Additionally, responding to the international key-expert questionnaire, Guerrero Baca stated that in what concerns conservation and restoration, there is a high quantity of available data at an international level. But the reality is that when addressing conservation practices, not all the conservation coordinators access this information. This is not a consensus view, as several other experts underlined the fact that there are not enough publications and dissemination of literature related to earthen heritage conservation at national and international levels. The fact is that internationally, there is some available data, but it has not yet addressed the subject of earthen architecture systematically. So far, there has not been a medium and long-term assessment of treatments undertaken and of structural repair techniques.

10.2.4 Assessment of significance The ‘assessment of significance’ became an important category associated to research objective 3. Two themes were identified: values; and levels of significance. a) Values An acknowledgement of the need to address the significance of a structure or site was shared among 30% of the international key-experts questioned. The reality is that this would contribute to the understanding of what is important to preserve or to give significance to a structure or site. Responding to the international key-experts questionnaire, Carolina Castellanos mentioned that values could be prioritised and even help to establish courses of action towards a sustainable vision. Furthermore, 35% of the questioned international key-experts agreed that to define a statement of significance would contribute to establishing criteria for intervention. However, it was also agreed that the assessment of the state of significance of a structure or site is a more academic process – a strength that can become a weakness if it becomes too complex, as with Chan Chan’s management plan. This standpoint was supported by the site questionnaire responses addressing the Chan Chan case study. Nevertheless, the value-driven process is very significant, as the conservation of a structure or site becomes immediately associated with the conservation of its values. It is also relevant to acknowledge that conservation professionals are less familiar with the process of giving significance. They even have a tendency to give more importance to the historical and integrity aspects of the structure or site. Even among the experts interviewed, if they were

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unfamiliar with the value-driven process but understood notion of value, they would use terms such as “spirit” or “soul” instead of “value”. Within the World Heritage Convention, these attributes can also express cultural value (World Heritage Centre, 2008, p.21-22). Nevertheless, a lot more awareness directed to the relevancy of values needs to be further promoted. b) Levels of significance Finally, it was observed by 10% of the international key-experts questioned that all levels of significance should be identified when assessing values of a structure or site. Responding to the international questionnaire, Anthony Crosby even mentioned the importance of values, such as architectural, art, spiritual, emotional, religious, economic, etc. Chan Chan and Arg-e Bam had their values recognised through a comprehensive process (INC, Tomo-1, 2000) (ICHHTO, 2009b), but these identified values had less impact on the conservation intervention procedure. Aït Ben Haddou also had its state of significance evaluated and the definition of all levels of significance with impact at the site identified (Boussalh and Moriset, 2007, p.44-45). However, there is a tendency to use the identified values to justify action, not to define courses of action (see for example the scientific value explanation - ibid., p.45). If there is an impact with the definition of the state of signification, sites will be more valorised and respected by local stakeholders and community. This was clearly observed in Arg-e Bam and in Aït Ben Haddou. In other instances, in Chan Chan, the apparent conservation neglect of the site by national authorities brought a negative impact amongst the local community. As a result, there was an increase of encroachment and vandalism towards the Chan Chan complex.

10.2.5 Priorities This category was defined mainly by the theme priorities. a) Priorities Following the international key-experts questionnaire analyses, three clear priorities were established regarding the significance of conservation theory. The first was to advance knowledge in this concern for an earthen architecture framework. This was a priority that was also perceived through the case study analysis, as it would give more consistency and correlation between theory and practice. The second priority was to clarify the understanding between the different concepts in conservation of earthen heritage. This could contribute to a better conservation intervention,

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but also better management of the structure or site. The third priority was to make comprehensible the study of significance of a structure or site, by working with the community, stakeholders, governmental authorities, and conservation professionals on the awareness and the need for the assessment of values.

10.2.6 Threats Several threats were recognised in this category. The most important of these are presented below. a) Threats It was perceived by 60% of the international key-experts questioned that there is a lack of knowledge or understanding related to how conservation theory is defined. This is a major threat that has a direct impact on the conservation conceptual approach intervention of the conservator expert. Additionally, responding to the international keyexpert questionnaire, Anthony Crosby remarked on the little importance given to the authenticity criterion in earthen architecture. Crosby emphasised that this criterion is not perceived through the earthen architecture perspective and is mostly ignored, especially in archaeological sites and city centres. This is a major threat that can have a serious impact on the overall condition of nominated world heritage sites. Besides, it also explains the readiness of some conservators to replace some parts built in earth, or to demolish and rebuild other parts.

10.3 To provide strategies concerning earthen heritage conservation When recognising criteria for intervention, it is fundamental to first identify ‘actors’ (10.3.1), then to recognise ‘gaps and needs’ (10.3.2) and establish ‘priorities and objectives’ (10.3.3). For a strategic approach there are several ‘opportunities’ (10.3.4) that can be valuable in order to define ‘planning’ (10.3.5), including methodology and criteria. When addressing planning, it is fundamental to take into consideration ‘failure’ (10.3.6) and ‘conservation theory significance’ (10.3.7). This will help direct the course of action towards ‘education, awareness, and research’ (10.3.8), ‘anthropological conservation’ (10.3.9), ‘scientific conservation’ (10.3.10) and ‘preventive conservation’ (10.3.11). Finally, ‘threats’ (10.3.12) can be properly addressed (see table 10.2).

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Table 10.2 – Network diagram of research objective 4



 10.3.1 Actors To better address strategies concerning earthen heritage conservation, it is relevant to discern who the actors are. This category is composed of the following themes: community; site co-ordinators; conservators and experts; government; institutions; and stakeholders.

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a) Community Community engagement is fundamental to achieving successful results. To give priority to their involvement is even supported by 45% of the questioned international key-experts. Guido Licciardi emphasised the deep link existing “between earthen heritage and the communities that have built them”. This explains the importance of giving the local community and stakeholders the opportunity to share their vision and their value assessment of the structure or site. 20% of the international keyexperts questioned agreed that it is fundamental to address community significance. Unfortunately, as seen in Chan Chan, this is insufficient to merely develop a value-driven process amongst the local population. Community has also got to be involved in decision-making and responsibilities of management; a comparable process to the management plan development of Aït Ben Haddou. The local population has to be engaged throughout the process, to really understand the meaning of attributing values. b) Conservators and experts Funded projects have in general a range of different people responsible for the conservation intervention operation, such as conservation academics, conservation professionals, enterprise technical professionals, and also experts in various disciplines. In what concerns conservation academics, it can be stated that they have a great deal of theoretical expertise and in general, they are quite familiar with conservation theory and methodologies. However, they have usually little practical experience and certain difficulties dealing with practical requirements and limited budgets for conservation intervention. Conservation academics are hired as consultants, or their universities as research institutions, and usually they approach intervention as a research project. Conservation professionals frequently work in conservation services, but also in contemporary architecture. The fact is that most of the time, conservation professionals are not comfortable with a theoretical framework related to conservation charters and guidelines. They compensate this handicap with their ability for execution due to their professional practice background, as recalled by Célia Neves, answering to the international key-experts questionnaire. Usually, they respond to the conservation conceptual approach with empirical knowledge. Their lack of theoretical background can sometimes have an inadequate intervention as a result. The third type of conservator is recognised as a technical professional. Most will address the conservation project without all the required knowledge for earthen heritage conservation, for conservation concepts

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and methodology of intervention. Frequently, there is a tendency to apply universal solutions without even being aware of site specifics or earthen architecture intrinsic characteristics. As stated by Neves, they answer the call for the execution of the works. There are a few exceptions. Despite the pressure and very limited deadlines, they might employ real efforts to research and apply the solution they considered the most adequate. Finally, the expert also has an important role. Some experts have a deep knowledge concerning the earthen material, but are less familiar with conservation theory and methodology intervention. In this case, they have a tendency to apply an empirical approach based on their own experience or their organisation’s background experience towards the conservation practice. Other experts are knowledgeable enough about the theoretical component, but are unfamiliar with the earthen intrinsic characteristics or with the specific procedural measures to follow in earthen heritage conservation. The expert has an important role in providing advice towards conservation intervention and management, usually as a consultant. Additionally, and according to 15% of the questioned international key-experts, the expert’s role is also to help the local population, through advice and capacity building, to regain confidence in order to find ways to manage and conserve their sites on their own. Beside, experts have an important role of engaging the community, government, and stakeholders to take action. c) Government Government has an important role towards conservation practice of national earthen sites, and an increasing responsibility, as a state, to address sites nominated for the World Heritage List. Government can assume a supportive role, as happened during the management development of Aït Ben Haddou, according to evidence that emerged from open interviews and site questionnaires; or a jeopardising role, as happened in Chan Chan by not contributing to the implementation of its management plan, according to site questionnaires. As mentioned by Sébastien Moriset responding to the international key-expert survey, the issue arises from the fact that with World Heritage nomination, the local population passes the duty of site conservation to the government. This gives the government the duty to take action, which does not always happen, as observed in the Chan Chan case study. From another perspective, 15% of the international key-experts questioned agreed that government does not realise the important role played by local population concerning conservation, management, and maintenance of sites. 20% of the international key-experts questioned supported the fact that the government should empower local

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communities, through residents associations and local stakeholders, to be more engaged with conservation. Government has an important role in supporting national heritage institutions. Interference through politics delays the conservation process and contributes to the acceleration of decay. d) Heritage institutions The national or regional heritage institution should take the leadership of the conservation process by nominating and supporting site conservation teams and site decision-makers. Its role should be fundamental, through committed efforts to manage and support continuous conservation practice. Within the analysed case studies, INC in Chan Chan, CERKAS in Morocco and ICHO in Iran played important roles. Their task as facilitators and conservation managers is to deal with collaboration and management at local, national, and international levels, and with all the involved stakeholders and the local community. They are also responsible for nominating site teams in charge of conservation intervention, to deal with the planning and the strategies for the sites, to establish a management committee or management team, to identify contributors and stakeholders to consider, to supervise funding, and to help recognise sustainable resources. e) Team coordinator Several different professionals from distinct discipline backgrounds can be identified as responsible for general site conservation and management, as is the case of archaeologists (as in Chan Chan – INC, Tomo-1, 2000), anthropologists (as in Aït Ben Haddou – Boussalh and Moriset, 2007), engineers (as in Arg-e Bam - ICHHTO, 2009b), conservators (as in Huaca de La Luna – Morales Gamarra, 2006, 2007), etc. As expected, the expertise and management skills of the team coordinator or team leader have a certain impact on the courses of action prescribed at each site. However, when conservation practice is not continuous and national heritage organisations promote national competitions, historical structures are conserved through funded research or conservation intervention works. In this case, there are different professionals and entities responsible for the conservation operations. This can be observed for instance at the earthen fortress of Paderne, in Portugal, or at Castillo de La Reina, in Spain, as different entities coordinate different phases of the conservation process. As a result, a discontinuation of action can occur, which can have negative impact on the general conservation approach towards the structure or site. Another interesting issue relates to the fact that some sites have site coordinators and national

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coordinators for the site. This is recurrent when there is a more top-down approach, as is the case at Arg-e Bam. f) Stakeholders Stakeholders have an important role to play, as they can become operational institutions and major collaborators to the success of the conservation practice on site. Ministry representatives, local authorities, local universities, local associations, interested enterprises, etc. can represent stakeholders. According to Sébastien Moriset’s international key-expert questionnaire response, stakeholders should initiate a site management committee, if a participative process is engaged in, as was in the case of Aït Ben Haddou. Beside, stakeholders can also become resourceful entities that can contribute to the sustainability of the process; for instance, local associations can participate with local building knowhow, national associations dedicated to earth construction study and knowledge can contribute with expertise, etc. The engagement of stakeholders, as well as the local community, makes them feel part of the future of the property, which will contribute towards the site sustainability and long-term approach.

10.3.2 Gaps and needs Within research objective 4, the importance of defining ‘gaps and needs’ was recognised. Notwithstanding this, some themes previously mentioned can be considered to be equally important, such as, ‘gaps’ from research objective 1, ‘needs’ from research objective 2 and ‘gaps and needs’ from research objective 3. To avoid repetition, the abovementioned themes will not be discussed again, unless specifically related to research objective 4. Therefore, two themes were recognised: gaps; and needs. a) Gaps There is a gap concerning skilled professionals dealing with earthen heritage conservation and management. Even some international experts admitted that they were knowledgeable about the earthen material, but they did not have the methodology and scientific knowledge to address conservation intervention and management. This was also noticed in the site questionnaires and open interview results related to the case studies analysed, as several of the experts addressed conservation intervention with a more empirical than scientific approach. Another discerned gap relates to the lack of consensus concerning first-rate examples of structures or sites with positive results addressing conservation intervention in

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earthen heritage. This illustrates the lack of agreement of what is considered an appropriate conservation intervention in earthen heritage. b) Needs Several needs were recognised as relevant to address related to earthen heritage strategies. Besides the needs already mentioned in previous sections, four more should be underlined. 20% of the international keyexperts questioned referred to the need to involve not just the local community and stakeholders, but also society. There is a tendency to only direct duties to the actors (mentioned in the previous section), but it is also relevant that society takes an active role by participating in actions that help preserve heritage, and by demanding the taking on of responsibilities to avoid lack of action. Another important need, also supported by 20% of the international key-experts questioned, is to address social development within conservation regional programs. As previously mentioned, this is partially addressed in Arg-e Bam and Aït Ben Haddou case studies. However, it is necessary to pursue a more consistent and direct social approach towards community integration. In Chan Chan, this would certainly have contributed to less site encroachment and vandalism by the local population. A further need relates to the importance for collaboration and collective work from all the actors, to define management systems but also to implement them, evidence of this emerges from site questionnaires and open interviews. Lack of commitment will result in failure of the conservation process. Another need mentioned by Jeanne Marie Teutonico in the international key-expert questionnaire is the respect by “all forms of knowledge”. In earthen architecture, this has an important meaning, as intangible knowledge is not always perceived as an important contributor to the conservation process.

10.3.3 Priorities and objectives ‘Priorities and objectives’ are important to be defined within a strategy for earthen heritage conservation. As priorities for conservation theory significance were already presented in section 10.2, in this category just the most significant priorities and objectives will be underlined. This category embraces two themes: priorities; and objectives. a) Priorities Following the previous need, it can be established that it is equally important to work towards conservation of material earthen heritage and the intangible knowledge that created and maintained the earthen fabric. This is supported by some of the site questionnaires responses, and by

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25% of the international key-experts questioned. They all support the fact that anthropological conservation is taking a growing role within the conservation process. In response to the international key-expert questionnaire, Anthony Crosby called attention to the fact that priority should be addressed to “where the international community stands on each necessary segment of a comprehensive approach” between an anthropological conservation and a scientific conservation. The fact is that presently, there is conflict emerging between both approaches, which lead to an undefined framework concerning conservation practice. Another relevant priority arises from endangered earthen architecture, witnesses of vanished cultures. According to 20% of the international key-experts questioned, emergency conservation should be prioritised towards their survival. Throughout the world there are several earthen structures and sites, expressed by vernacular and monumental heritage, but also the earthen traditional fabric, as part of cultural landscapes, which are at risk of disappearance. Priority towards a minimum risk situation should be directed to this significant earthen heritage. b) Objectives Three main objectives were considered fundamental to be addressed. The first, already mentioned as a gap in section 9.2.1, relates to an effective combination of theory and practice, which was supported by 20% of the international key-experts questioned. A second aim concerns conservation strategies integrating a balanced approach between technical, scientific, empirical and material knowledge. Finally, a third objective concerns the fact that conservation strategies should address the identification and prioritisation of operational research.

10.3.4 Opportunities A fundamental issue to address is ‘opportunities’, which can contribute to the following themes: environment and context aspects; historical substance; best practice conservation cases; reasons for interest; resources; sustainability; and use. a) Best practice conservation cases It is interesting to note that 30% of the international key-experts questioned mentioned that they recognised best practice conservation cases through site visits; 10% of the key-experts questioned mentioned that they got to know the cases through conferences; and 60% related to best practice conservation cases, mentioning their own work, or their organisation’s work. This last evidence also emerged in the open

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interviews. Additionally, it was also noticed that 10% of the international key-experts questioned mentioned as good examples of sound conservation approach, projects that were not fully implemented, which means that conservation approach can also refer to the project, not always considering the conservation intervention and conservation practice. However, 15% of the key-experts questioned agreed with how important it is to recognise comprehensive examples of best practices in order for similar approaches to be followed in other sites or be studied by the interested public. It was even mentioned by one expert, who prefers to remain anonymous, that for dissemination of best practices, it is relevant to have a referenced case study in each country. Besides, awards of architecture, as is the case of Aga Khan Award, can become recognition of the efforts and commitment of the overall conservation team. It was acknowledged by triangulation of evidence that best practices cases are the ones that include at least one ‘indicator of quality’ and a combination of at least two or more ‘indicators of best practices’ in the project and intervention, or the plan and implementation. In general, most of the sites or structures that were stated as good examples of best practices were cited just once. Some experts even confirmed that there were very few examples internationally considered to be comprehensive conservation interventions. The most cited site was Huaca de La Luna, in Peru, acknowledged by 15% of the international key-experts questioned. It was followed by Mopti Mosque, in Mali; Chan Chan, in Peru; and Arg-e Bam in Iran, all cited by 10% of the international key-experts questioned. Following is a list of the best practice conservation cases, mentioned at least once by the experts in the international key-expert questionnaire, site survey questionnaire, and open interviews: Muralla del Albaicin in Granada (Spain); Chogha Zanbil (Iran); Merv (Turkmenistan); Buddist Temple II of Krasnaya Rechka (Kyrgyzstan); Buddist monastery of Fayaz Tepa (Uzbekistan); Casa Baldussi, settimo San Pietro, in Sardinia (Italy); Muralla de Don Gonzalo in Granada (Spain); Castillo de la Peza, in Granada (Spain); archaeological site of Tayma (Saudi Arabia); Nizhua Castle (Oman); several African sites, benefiting from Africa 209 program; Joya de Ceren archaeological site (El Salvador); Mari archaeological site (Syria); Navrongo Mosque (Ghana); Mopti Mosque (Mali); Larabanga Mosque (Ghana); Otrar (Kazakhstran); Basgo, Ladakh (India); Shibam Urban Development Projecturban development project (Yemen); Casa do Tatuapé, in São Paulo (Brazil); Nankani village (Ghana); Kassena village (Burkina Faso); Shunet el Zabib at Abydos, upper Nile (Egypt); Abomey palace (Benin).

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b) Environment and context aspects The environment and the conditions that surround a structure or site can be a major resource. However, just 15% of international key-experts questioned underlined the need to address environmental geographic conditions when approaching conservation intervention. In this case, it is probably due to physical conditions. The reality is that when addressing preventive measures, especially for archaeological sites, conservation methods to be considered can originate from the context, as is the case of backfilling or reburial techniques (also mentioned in section 4.3.1). From another perspective, if the aim is not to alter the equilibrium conditions of a site but to have access to archaeological remains existing underneath, Luis Guerrero emphasised in the international key-expert questionnaire response that there are several modern technical resources to explore; for instance, by creating archaeological windows, or accessible visiting wells. c) Historical substance The historical core of a structure or site is a major resource of knowledge that should be addressed. To study and understand its past and the historical technology that is imbedded in its construction will give more consistency to the preparation of the conservation intervention to follow. Besides, to preserve renowned historical structures or sites will contribute to more awareness of the general public. Additionally, if properly managed, ancient earthen structures can become a financial resource for local communities due to tourism. This is the case of Aït Ben Haddou (Boussalh and Moriset, 2007), but also of Arg-e Bam before the earthquake (Vatandoust and Mokhtari, 2004). In Chan Chan, it is desired that the future implementation of the updated management plan could bring the expected revenue to the surrounding communities. d) More international engagement Several experts mentioned the fact that during previous years there has been more interest and commitment from national and international institutions. This can be noticed through UNESCO programs, GCI initiatives and Terra 2008 organisation, CRATerre commitment with international programs, earthen architecture Aga Khan programs and awards, continuation of the Terra international conferences since 1972, more engagement from governments towards this field (Mali, Iran, etc.), and the restructuring of the earthen committee of ICOMOS, but also due to more European financed research projects and regional and national networking actions that support regional programs. International engagement and the increasing interest for institutional cooperation in this field provide an important opportunity to initiate strategic actions and

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programs. It is important that entities and networks work in a concerted way to avoid repetition and failure, and to achieve the target objectives and priorities. e) Resources Several resources are available for better planning, however these are not always clear, and it is essential to identify them in the first place. There are material resources that can emerge from tourism, interested stakeholders and enterprises with social and scientific interests, etc. But there are also major human resources based in experienced entities, in consultants, etc. Following Bam’s earthquake, several interested international entities offered their experienced know-how to contribute to the citadel’s recovery. Later, some of these entities became international stakeholders in specific projects funded by UNESCO. The fact is that it requires time and facilitator skills to identify and engage existing resources. From another viewpoint, sometimes instead of looking for distant or unreachable resources, the better solution is to try to rely on local resources with no external financial funds. This type of approach is underway, for example, at Aït Ben Haddou, through local resources integration and involvement of population and local stakeholders in the management of the site. f) Sustainability To achieve sustainability at a local level means to take into consideration the environmental context, the availability of resources, the economic, social and cultural conditions, etc. in order to contribute to local sustainable development. John Hurd underlined, at the international keyexpert questionnaire, the importance of exploring “local developments and local solutions to local conditions and contexts”. In the last decades, due to the green building movement, there has also been more interest in earthen architecture and its ecological qualities. Additionally, and as mentioned by Pamela Jerome in the international questionnaire response, the interest in vernacular architecture has also increased during the last few years. This is partially due to anthropological interests, but also due to direct passive solar design benefit, which allows climate control without the artificial and costly features of active solar design. All the above-mentioned potentialities contribute to sustainable opportunities. g) Use 20% of the international key-experts consulted consider use as a need to be addressed in earthen architecture and 15% of the international keyexperts questioned gave importance to re-use. In inhabited heritage sites and in earthen vernacular architecture, use should be considered a resource

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full of opportunity. 10% of the international key-experts questioned even considered that conservation interventions should concentrate on keeping the site in use as long as possible. The reality is that the use of a space decreases its degradation, but enhances the chances for its preventive conservation. In Aït Ben Haddou, according to site questionnaires and open interviews, this opportunity was foreseen. CERKAS provided the site with enough infrastructures and incentives to give a chance for previous inhabitants to return to the Ksar; in a first phase to open shops and in a second phase to live in. Besides, spatial and material use can also be considered a sustainable resource. This is supported by The Operational Guidelines for the implementation of the World Heritage Convention, Art.119 that states the importance of having in World Heritage sites “a variety of ongoing and proposed uses that are ecologically and culturally sustainable” (World Heritage Centre, 2008, p.29).

10.3.5 Planning This category is composed of two themes: planning; and strategic issues. When responding to the overall strategic approach, this category would also include research objective 2, addressed in section 9.3. a) Planning To establish a strategy, it is fundamental to plan in advance. In this case, planning entails not just the collection of preliminary documentation for better understanding of the framework being addressed (which is supported by 35% of the international key-experts questioned), but also taking into consideration the methodology of intervention, criteria for intervention, indicators of quality, and indicators of best practice. These important components were addressed in section 9.3. Besides, in order to avoid repetition and wasted efforts, it is important to address strategic planning through existing programs. Therefore, planning collaborations between international entities, integrated into networks of projects with regional impact, can be a response to international programs, such as UNESCO 2007-2017. It is additionally relevant to take into consideration that to ensure successful results, the development of strategies and planning should be phased throughout different stages, time periods, and milestones. b) Strategic Issues In the conservation process, when defining strategies, fundamental and objective goals should be identified so they can be adequately responded to, using realistic resources and taking benefit from available

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opportunities. For this to be achieved, Anthony Crosby underlined in his international key-expert questionnaire response, the relevance of prioritisation, an objective process for making compromises to protect values, which has to be well thought out and implemented. Additionally, a strategy should recognise the role and impact of each discipline on the overall approach. This is why specific strategies for each discipline should be well considered. In his international questionnaire response, Luis Guerrero for instance, called attention to the issue that strategies for archaeological exploration should be re-evaluated. This is of factual importance in light of what happened in Chan Chan, where the stress on archaeology without conservation efforts has been a constant feature for years. All the disciplines that have impact on a site should have an adequate contextual balance on the planning and implementation of conservation strategies.

10.3.6 Failure When providing strategies concerning earthen heritage conservation, it is necessary, during the planning phase of the process, to acknowledge reasons for failure (response to research objective 1, already addressed in section 9.2). This will avoid repetition of errors and it will address objective action directed towards the relevant issues that must be taken into consideration in order to avoid recurrence of failure. a) Failure of strategies In what concerns strategies addressing failure, it is important to acknowledge that 40% of the international key-experts questioned did not fully understand the meaning and need for conservation strategies. 45% of the international key-experts questioned even mixed the concept of the strategic approach with methodological approach. One other strategic failure in conservation practice relates to the lack of implementation of conservation projects and planning systems. Additionally, for the future survival of earthen structures and sites, especially in the face of climate change, it is fundamental to integrate disaster preparedness strategies for earthen heritage conservation, as it will not only prevent damage, but also prepare a response for naturally occurring phenomena.

10.3.7 Conservation theory significance During the planning phase it is also fundamental to address conservation theory significance (response to research objective 3, previously approached in section 10.2). Addressing this research aim will

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contribute to having clear definitions and understanding of conservation concepts and theoretical frameworks. This will provide a more consistent intervention approach in earthen heritage conservation. a) Strategies addressing conservation theory significance Some strategic issues related to the significance of a conservation theory framework were recognised as important to be addressed. According to Hugo Houben’s response to the international key-expert questionnaire, the development of a strategy addressing earthen heritage theory of conservation will confirm that earthen architecture is a distinct discipline. In the international key-expert questionnaire response, Luis Guerrero emphasised that to sustain conservation theory, efforts should be directed at the development of procedures. According to 10% of the international key-experts questioned, a theory of conservation in earthen architecture should be strategically developed taking into consideration the intrinsic characteristics of earthen architecture, such as its materials, earthen techniques, type of heritage, and regional components, mainly the local building culture. These specific characteristics and how they relate to conservation theory were discussed throughout this thesis. The problem arises from the fact that through the case study analysis, and according to several of the expert’s responses, it was evident that the study of the existing earthen fabric was the main component to consider in the development of conservation theory strategies. However most of the experts did not consider that conservation intervention was a component with further impact on the advancement of the framework for conservation theory.

10.3.8 Education, awareness and research Within the overall strategic approach, this category and the following three indicate the main subjects to address in order to fully achieve research objective 4. In this category, the following themes were addressed: awareness; publications and dissemination; education; inventories and terminologies; and research. a) Awareness 50% of the international key-experts questioned supported the need to raise more public awareness towards the significance of earthen architecture, in terms of sustainability, ecology, heritage, etc. Opposed to 30% that did not agree, 60% of the international key-experts questioned confirmed that there has been an increase of interest and awareness regarding earthen heritage preservation, especially from international

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institutions. However, more awareness has to be promoted in society, communities, stakeholders, international and national institutions, and governments, by explaining the utility and appropriateness of the earthen building technology, but also the values and benefits associated with earthen architecture. 30% of the international key-experts questioned even argued for the need for more active publicity, branding, and dissemination, directed at stressing the importance of earthen architecture. b) Education In the last two decades there has been a slow increase of efforts directed at the need for education about earthen architecture. 45% of the international key-experts questioned underlined the importance of addressing earthen architecture in specific education programs. 25% emphasised the need for more postgraduate courses devoted to conservation of earthen structures at international and national levels. An interesting 50% of the international experts questioned called attention to the need to include more teaching about earthen architecture and conservation practices concerning earthen fabric in training courses directed at masons, as well as qualified professionals such as architects and engineers. According to 60% of the international key-experts questioned, communities should be more involved in capacity building for preventive maintenance. Furthermore, 25% of the international keyexperts questioned supported an increase of awareness of the benefits of earthen architecture at all levels of education, even among children. This is interesting to note when analysing conference proceedings that there is a growing interest in courses, workshops, and exhibitions related to earthen architecture that are directed at children. This redirection of publicity is not a regional situation, but it is happening in different countries, such as Brazil, France, Germany, Portugal, USA, etc. The importance of education could even be noticed in case studies. For instance, in Chan Chan, Aït Ben Haddou, Arg-e Bam, Huaca de La Luna and Choga Zanbil, training courses concerning earthen heritage conservation were developed for different sectors of the public. Earthen sites can become resourceful opportunities for educational programs. There is a need to further develop the educational strategy in this field. c) Inventories and Terminology In spite of the modest attention given to this issue, it is important to further develop a clearer understanding in the development of inventories and terminologies, including definitions and taxonomies. In terms of interpretation, this will avoid misconceived concepts and mixed interpretations. Additionally, 15% of the international key-experts

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questioned agreed with the need to create and contribute to national inventories concerning earthen architecture, but also to promote earthen sites through an inventory of existing information. Furthermore, the creation of databases with open access through the Internet, which are available in different languages, would allow universal access to knowledge in this subject. d) Publications and dissemination In the last decade there has been an increase in research and intellectual production, as can be seen by the multiplicity of conferences, seminars, and exhibitions, as well as conference proceedings and books dedicated to earthen architecture. However, it is generally noticed that publications and conference papers concentrate on building methods and case studies. The reality is that there are too few publications and manuals about earthen architecture conservation. More assessment and impartial evaluation of conservation approaches has to be undertaken and published in order to disseminate best practice approaches. During the visits to the case study locations, it was noticed that conservation co-ordinators and professionals working on-site had a lack of access to information concerning earthen architecture publications. Besides, the Internet did not always provide the best conservation intervention data about earthen heritage. Therefore, beside publications, the need for an effective dissemination of information addressing accurate conservation practices was discerned. This was supported by 25% of the international key-experts questioned. e) Research Presently, the framework addressed in the conservation process entails anthropological and physical approaches. It was noticed that research not yet addressed entails these individual approaches, but also a combination of both. Research in anthropological conservation is starting to evolve, and will certainly produce useful findings in the coming years. There is a general need to address research to develop an understanding of local knowledge concerning mixtures of plasters and of materials (for instance rammed earth mixture can change depending on the local building knowledge). It is also relevant to devise research projects to identify and understand the know-how related to measures and procedural methods of earthen construction, local seismic measures, vernacular architecture, local building culture and its adaptation to context, climate, etc. in order to try to understand why buildings were built in a certain way, and how masons or inhabitants built in reaction to factors such as earthquakes, intense

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weather conditions, etc. Therefore, a research database should be created relating to social and cultural key issues that includes aspects such as intangible (local) knowledge (to collect and conserve this immaterial knowledge); knowledge transfer (how are skills and knowledge passed between generations); social participation (individual or family actions, community actions, etc); and other components. Often, there is even knowhow from surrounding community building cultures that is incorporated in the maintenance of monumental earthen heritage and even in world heritage listed sites. This was the case in Mali, of Timbuktu World Heritage Site, Mopti and Djénné Mosques. Therefore, there is still a vast amount of research to address regarding anthropological conservation. In what concerns the physical and more scientific conservation approach, there is a tendency to concentrate research on soil mechanics and engineering performance. However, it was recognised by 25% of the international key-experts questioned that there is a need for further research related to the study and testing of materials, including laboratory analysis, performance tests, field tests, etc. There is also a need for tests to analyse and optimise the resistance against abrasion because of erosion; and against running water because of rain erosion; but also to integrate tests of soaking, fermentation, and addition of stabilised additives, to try to reduce shrinkage; to try to understand how the water affects earth structures and the way of dealing with it concerning moisture from the ground and in the air, mechanical action of rainfall, the cycles of freeze/thaw, etc.; John Hurd called attention to the need for research in the chemical performance of the material and local climate change in the past and present. It is interesting to note that some architects underlined the importance for more research into how to address the stratification study of historical architectonic levels, in order to identify and best preserve historical periods during intervention. It is relevant to note that both approaches, anthropological and scientific, can also be combined in research. There are investigations that can be made that are based on a common foundation, such as: to analyse in the laboratory chemical admixtures used in the past; to address the performance of key-elements used during the centuries in local seismic conditions (counter-arches, horizontal reinforcements, linear connections at angles, etc); and, as mentioned by John Hurd, to scientifically study the use of primitive saponins and their influence in the interstitial performance of clays, both Aeolian and water-formed (e.g. animal fat and lime admixtures applied in Afghanistan and the shea butter applied in Mali); to address research concerning historic repair techniques in earthen vernacular contexts. As stated by Guido Licciardi in his international

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expert questionnaire response, historical heritage can also be a source of information to be acknowledged and even applied in modern conservation intervention. There is also a lot more important research to address in relation to both approaches. It is essential that research carried out throughout the world has a clear impact on intervention and on the advancement of knowledge. This is possible through strategic research, but also depends on continuing research, as confirmed by 20% of the international key-experts questioned. In this investigation field, cyclical research developed from repetitive investigations of projects, which is without impact on earthen architecture or the advancement of earthen knowledge, should be avoided. Luis Guerrero underlined the enormous amount of funding wasted in limited research. Unfortunately, results often do not have further applications following the research project’s conclusion. Isabel Kanan even bemoaned that research results are, most of the time, due to individual efforts or personal academic research, and not institutional or governmental efforts. Finally, John Hurd stressed that earthen architecture research should be more rigorous. As it stands now, it is still in its early years.

10.3.9 Anthropological conservation ‘Anthropological conservation’ category entails the following themes: anthropological approach; craftsmanship; cultural and social aspects; empirical approach; know-how and intangible knowledge; and tradition. a) Anthropological approach Throughout previous years there has been an increasing interest in an anthropological approach to earthen architecture, which might be due to the actions of Africa 2009 program (addressed in section 2.2.1 International Strategies), but also due to a growing international interest in vernacular architecture. This tendency was perceived in some of the papers of Terra 2003 Proceedings, but become more noticeable in Terra 2008 papers, in Mali. Anthropological conservation has had a more academic approach, emphasising the need to give relevance to local populations and their know-how through traditional building, craftsmanship, and empirical knowledge. It was especially addressed in Aït Ben Haddou, and was partially carried out in Arg-e Bam. Additionally, the anthropological approach gives significance to the value-driven process.

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b) Craftsmanship 25% of the international key-experts questioned confirmed the need to address the rehabilitation of traditional craftsmanship. In fact, for some decades, the denigration of traditional works occasioned by industrialisation promoted a lack of general consideration for craftsmanship. In the last few years there has been a growing recognition of the importance of good craftsmanship in architecture and conservation practice. Enrico Fodde even emphasised the need for a balanced approach between empirical experience, lab work and traditional craftsmanship, as well as the need to address a proper use of traditional materials in repair. Good craftsmanship has an important contribution to make in conservation intervention, but craftsmen should be given back their relevant role in conservation practice. c) Cultural and social aspects It is interesting to note that just 10% of the international key-experts questioned emphasised the relevance of cultural and social environments when approaching conservation intervention. In vernacular architecture, these aspects have a profound impact on local building cultures, which have very rich building typologies. Cultural and social aspects are also at the core of local sustainability and local integrity. Community involvement associated with neighbourhood engagement helps integrate people in society, supports traditional ways of life, keeps social cohesion, and gives sustained local values and a sense of belonging to the local population. d) Empirical approach In previous years there has been more recognition given to the importance of empirical knowledge. Over thousands of years, building and maintenance were based on empirical experience and knowledge transfer. With increasing attention addressed to scientific methods, knowledge transferred from generation to generation lost its relevance if it was not explained by science. The increasing interest in an anthropological and social approach brought more understanding for the erudition emerging from empirical knowledge. However, more research has to be carried out in this subject within communities that actively maintain their inhabited structures and sites, as in the case of Mali. Conservation coordinators, conservation professionals, and especially experts, should try to aim research towards the analyses of their empirical experience, and of the community’s empirical knowledge. This research should then inform conservation intervention and give more consistency and rationale in the empirical approach to the intervention.

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e) Know-how and intangible knowledge As previously mentioned, 40% of the international key-experts questioned supported the view that there is an increased need for specialised know-how in earthen architecture. 30% of the international key-experts questioned also mentioned that oral history and know-how should be valued and revived. An example can emerge from knowledge transfer among generations, which can encourage traditional values and respect for the building know-how of the elderly generations. Furthermore, 30% of the international key-experts questioned believed that priority should be given to local building knowledge. This is a significant number among the experts, as sometimes they have no awareness of differences in earthen building cultures. If there were more training concerning this matter, conservation intervention would probably have fewer universal solutions when addressing earthen architecture. It is also relevant to note that professionals are giving increased importance to intangible knowledge. 25% of the international key-experts questioned stated that it is equally important to conserve the material heritage and the intangible knowledge. The fact is that in the past, the importance of intangible knowledge has become a relevant type of evidence when assessing heritage. Jeanne Marie Teutonico also confirms this in the international key-expert questionnaire response, where she stated that in recent years, “the field has shifted strongly towards anthropological and social issues, and away from scientific research”. f) Tradition Recently, there has been more significance given to local know-how and intangible knowledge, which has had an impact on the relevance of traditional values. 20% of the international key-experts questioned agreed that for conservation authenticity, it is fundamental to make all possible efforts to keep the uniqueness of tradition. 25% of the international keyexperts questioned agreed that there should be more understanding of traditional knowledge in local populations. This also means that as much importance should be given to the conservation technique as to the value of the traditional methods and materials from the ancient structure or site. Unfortunately, this does not always happen, as there is a tendency for the application of universal conservation solutions, even if it is in an earthen technique. This was made evident through the analyses of the case studies’ conservation practices (in sections 6.6, 7.6, and 8.6). Existing local traditional knowledge is an important resource that can be applied in conservation intervention. Mostly, it is not even acknowledged, and more importance is given to international expertise, which is sometimes not aware of the local building cultural traditions. 10% of the international

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key-experts questioned confirmed this evidence. Experts from the open interviews supported the same evidence.

10.3.10 Scientific conservation Scientific conservation has been directed to the approach based on cause-effect phenomena, and has developed little in the appreciation of the significance of process. In spite of being more costly than anthropological conservation, scientific conservation acquired major importance through the years, especially by saving from irremediable loss properties that were in a serious condition. In this category, the following themes were recognised: consolidants; diagnosis; intervention; physical condition; and treatments. a) Consolidants There are different perspectives in conservation practice in earthen heritage, which are not always in agreement. For instance, Guido Licciardi stated that there is a “large use of chemical products, which in case of earthen architecture is not advisable for both economic and cultural reasons”. Nevertheless, it is now commonly accepted that there are chemical products that are compatible and are less costly than some years ago. Pamela Jerome argued that Peru has had a 33-year track record using chemicals, such us ethyl silicate, consolidating ancient polychrome earth murals in relief. Therefore, the use of chemical products can be justified in societies with a recognised approach in this field (as mentioned in section 4.3). But Licciardi might have a point when referring to societies where intangible values have a major importance, as is the case of African cultures. From another perspective, there is also no agreement on the use of consolidants. Some experts, such as Pamela Jerome, stated that if the right chemical consolidants were used, the porosity of the original material was maintained and the alteration to its composition would be an acceptable compromise. Morales Gamarra argued that only consolidants that did not alter the earthen fabric should be used, even if irreversibility had to be considered (1983, p.112-114). It is also important to mention the fact that according to the analysis of the questionnaires and of the case studies, to some experts, ethyl silicate as a consolidant and lime as stabiliser are always the solutions for conservation problems. More assessment of carried out interventions, advantages and disadvantages of conservation methods, materials, treatments, and consolidants should be published and disseminated.

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b) Diagnosis During the assessment of physical condition, there is a tendency to evaluate pathologies and devise a course of action almost immediately, without a previous careful diagnosis directed at structures and sites under intervention. This was also confirmed by 15% of the international keyexperts questioned that underlined the lack of full analysis and diagnosis. As mentioned in chapter 8, in Arg-e Bam there were different teams to deal with recording and surveying, assessment of condition including diagnosis, and conservation practice. For more consistency over the conservation process, these components have to be more interconnected. c) Physical approach Physical approach is addressed through scientific methods of conservation, concerning the analysis of modified earthen materials encompassing stabilisers, additives, adhesives; organic and inorganic consolidants; stabilisation of structures that can include surface coating, and intrusive or non-intrusive techniques, amongst others. Additionally, as physical and scientific approaches rely on exact sciences, there is a tendency to use laboratory and engineering solutions to repair and retrofit. Difficulties emerge when combining the physical and anthropological approaches. d) Physical condition To address the physical condition of a structure or site was considered essential by 40% of the international experts questioned, with 30% being directly concerned with the assessment of pathologies. This is an important issue that was particularly relevant in Chan Chan, due to major pathologies that caused the decay of the site. Besides, the identification of the causes for failure leads to diagnosis, followed by an adequate solution for the pathology. According to 15% of the international key-experts questioned, the response should be appropriate to local conditions. In Arge Bam, due to the major earthquake and the short period available before the beginning of the overall recovery, physical assessment had to be carried out intensively and in a short period of time, in spite of the extensive area to be covered. e) Treatments Conservation treatments in earthen heritage have been analysed during previous years, as can be observed by the range of treatments presented in the Terra international conference proceedings. However, there should be more accuracy in selection of treatments to implement. It is frequently the case that treatments are used because they had good results in other properties, in very different conditions and contexts, and without a real

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assessment of the impact of the treatment on the earthen fabric. Besides, it is also relevant when developing a conservation plan to include a phased treatment approach. Additionally, Anthony Crosby stressed that attention should be drawn to adequate conservation treatments, as their role is to protect the values of the structure or site. In Chan Chan, there has been a long history of applying treatments to conserve earthen surfaces. However, as happens in Huaca de la Luna, it is fundamental to publish scientific reports specifically concerning treatments, materials and methods of conservation carried out at the site. These reports should also include data concerning specifications of site conservation treatments that were field tested before being applied. This would avoid repetition of procedures already addressed in the past, it would contribute to the advancement of knowledge and conservation practice on site, and it would give more consistency to long-term assessments. In Arg-e Bam there have already been two scientific reports of this kind since 2004. Unfortunately, as they were mostly published in Farsi, they were only disseminated in Iran.

10.3.11 Preventive conservation Preventive conservation relates to introducing preventative measures at the present time to avoid future damage of the structure or site. This category is composed of: maintenance; monitoring and follow-up; continuous management; and preventive approach. a) Maintenance Continued maintenance was considered important by 40% of the experts questioned. As mentioned by Guido Licciardi, one should “keep doing what has been done for centuries to maintain these buildings”. However, maintenance has to be properly understood to avoid unexpected failure. When well kept, maintenance becomes one of the best evidences for long-term successful conservation. This is why 45% of the international key-experts questioned mentioned the need to consider maintenance capabilities when addressing the conservation process, which justifies the approach of capacity building in this respect. Furthermore, 35% of the international key-experts questioned considered it crucial to address ongoing maintenance. This also explains why preventive conservation and maintenance plans should be integrated as a component of a successful methodology of intervention. There is a strong focus to deal only with daily maintenance for protection of the sites. Most of the time, there is no preparation of maintenance plans or preventive conservation considered. Sometimes

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short-term actions are not even considered, as there is a lack of action for implementation of general measures to avoid acceleration of the degradation, as is the case of Chan Chan. In this case, most of the measures have been applied in emergency interventions. In the case of Aït Ben Haddou, some people even argued that the UNESCO label should be removed, as there is no straightforward approach dealing with medium and long-term preventive maintenance of the site. Day-by-day maintenance is observed, but without conservation control by team leaders of site intervention, which demonstrates a lack of proactive management. Conservation troubles and management issues are later addressed as a reactive result. Therefore, it becomes most relevant to address a preventive conservation plan. b) Monitoring and follow-up 30% of the international key-experts questioned supported the general need for structures and sites to be constantly monitored and followed up. Even after maintenance is addressed, monitoring should be carried out by experts, conservation team members, or even by the local community. As mentioned by Sébastien Moriset responding to the international key-expert questionnaire, “the population should be trained to monitor and report changes to whoever is responsible for the site conservation”. In earthen structures or sites, monitoring is of vital importance, so that conservation intervention arrives on time to reduce, and if possible to stop, the causes of decay. Additionally, it is relevant in earthen sites to assure that there is a national and international expert monitoring and following up, which will contribute on one side to a more effective assessment from different view points, and on the other side, following-up will entail continuation of the conservation process. c) Continuous management Finally, it is important for best practice to address continuous management. The decision-making process is part of the daily management of conservation practice. It is crucial to also involve the local community in management decisions. However, decision-making regarding conservation intervention and its connection with the site’s statement of significance should be tackled, as supported by Sébastien Moriset, through the management planning process, and specifically during the management meetings. This does not always happen, as sometimes the assessment of value does not relate directly with conservation intervention. This was observed, for instance, in the Arg-e Bam case study. Nevertheless, when addressing daily management, it is

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important that decision-makers continue with a holistic approach, and a more proactive rather than reactive attitude. The implementation component is also integrated in management, which is important for the achievement of good management. This was observed in Chan Chan, where the lack of full implementation of the management plan carried problems in the conservation management of the site. Full implementation of conservation projects and management systems is essential for the achievement of the overall process. Besides, continuous management following implementation will assure concentration of efforts towards a successful outcome. There is the need for long-term objectives related to the preparation and implementation of planning systems. This follows most of the time, as previously mentioned, the imposition that all the nominated UNESCO World Heritage Sites develop a planning system. But the problem is the fact that after the plan is concluded, most of time it is not fully implemented (e.g. 9 years later Chan Chan’s MP is still waiting). In other cases, such as Ait Ben Haddou, the management plan was developed two years ago, but stakeholders did not yet come to a consensus on how to manage resources. Furthermore, political pressure and lobby is delaying the implementation of the MP, according to the site questionnaires. In the case of the Bam citadel, the management plan is being concluded in 2009, and has been developed over 5 years. On this last case approach, the medium-term objectives were dealt with almost simultaneously with the short-term objectives. The long-term aims for protection of the site are also under consideration. d) Preventive approach 25% of the questioned international key-experts supported a preventive approach to conservation. This encompasses the integration of a maintenance plan, and a disaster preparedness plan, but also addresses preventive measures and precautionary principles during management and conservation practice. Preventive measures can include reburying, in the case of archaeological remains this happened with some decorated walls of the Rivero Palace in Chan Chan; use of shelter, as was applied to protect highly fragile surfaces of Tschudi palace in Chan Chan; application of protective coatings, as was applied to several Arg-e Bam walls and some of Aït Ben Haddou walls; the use of a sacrificial layer of gravel, recurrently used in Chan Chan; erosion control, as at the three analysed sites, as they experience a desert type climate; and other preventive methods. Additionally, it is interesting to note that the engagement of the population in preventive maintenance was supported by 55% of the international key-experts questioned.

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10.3.12 Threats The last category to be addressed is uniquely composed by threats. a) Threats Beside the threats already addressing the three other research objectives, it is relevant to mention that, among some communities and societies, there is still no value associated with earthen architecture. Usually, earthen architecture is observed in international news, to war scenarios and to malnourished contexts, which means it is associated with poverty, war, and underdevelopment. It is important to challenge this threat, and overcome it with an up-to-date approach associated with sustainability and contemporary conservation. Strategies to conserve earthen heritage should include adaptation of inhabited structures and sites to life in the 21st century. Site infrastructures have to deliver contemporary comfort facilities that are the aspiration of numerous societies at the present time.

10.4 Conclusions This chapter’s aim was to provide responses to the significance of conservation theory and to strategies in earthen heritage conservation. The answer to the third research objective recognised three main categories to be investigated: conservation theory lack of clarity, conservation theory conceptual approach, and assessment of significance. The fourth research objective resulted in a detailed analysis of the strategy to adopt for the achievement of successful results in earthen heritage conservation. Both research objectives were consistently responded to, considering the undertaken analysis and revision of literature.

CHAPTER ELEVEN CONCLU USIONS

wledge, buildin ng rammed eaarth 2km from m Aït Ben Fig.11.1 - Inntangible know Haddou, in M Morocco (creditss: Mariana Corrreia, 2006).

11.1 Intro oduction The purppose of this chapter c is to focus on the overall results of this investigationn. Chapter ninne responded to research oobjective 1, ‘to o identify reasons forr failure in earthen heriitage conservvation’, and research objective 2,, ‘to recognise criteria fo or interventioon in earthen heritage conservationn’. Chapter ten t answered to research objective 3, ‘to give significancee to conservattion theory in n the field of earthen heritaage’, and research objjective 4, ‘too provide straategies concerrning earthen n heritage

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conservation’. This final chapter addresses the main conclusions of the above-mentioned research aims.

11.2 Research Objective 1: Failure in earthen heritage conservation There are several reasons for failure in earthen heritage conservation identified by the investigation. The most important cause identified is a lack of assuming a responsibility, which entails making inadequate choices, inefficient intervention, lack of follow-up and maintenance, lack of preparation, unprofessional practices, and mixed roles. Incorrect interpretations and lack of knowledge are also recognised as important reasons for failure in the conservation approach. Interesting to note is that politics can also play an important role in delaying and stopping the conservation process. Finally, failure of the physical condition of the structures may result from a lack of action or discontinuation of conservation measures and conservation practice. Additionally, all the above reasons may cause failure of planning, which encompasses failure of the process, limited approach, lack of action, bad management, and lack of clear strategies. The issues related to mixed interpretation and misconceived understanding of concepts appear recurrently when analysing the responses of the international key-experts and site survey questionnaires and the case studies. There was also a mixture of interpretation concerning criteria for intervention, conservation theory, and conservation strategies. This illustrates how much the lack of clarification of concepts is an overall problem that needs to be given high priority to solve. Reasons for failure were also entailed due to unprofessional practices, as well as incompetence and lack of response, as there is a lack of professionals with expertise. In some cases, there is also a certain sense of impunity for unprofessional practices. This is also due to the fact that there is a lack of high-standards for evaluating conservation in earthen heritage. A greater number of experts and conservation professionals with certified education in earthen heritage conservation would increase the standards of intervention in the field. Recurrent failure can also be due to the use of incompatible materials, applied by professionals without enough knowledge or experience in earthen heritage conservation. The use of incompatible materials and methods is still common, and more laboratory testing and evaluation of the performance of test walls before the use of new treatments and stabilisation materials is required. Sometimes there is a tendency to

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employ universal solutions, with the use of the same earthen technique, which presents reliable results (e.g. adobe does not require particular expertise for its production and masonry application, is present in several regions, etc). The problem of the systematic use of one unique technique lies in the lack of research and knowledge for its compatible use; not taking into consideration in the conservation of the earthen fabric differences in the earthen material, in terms of local building cultures, building techniques from distinct periods of time, seismic performance, etc., but also in terms of conservation theory framework. Problems also frequently emerged from an unbalanced approach due to the influence of one discipline dominating the others, as is the case of archaeology in Chan Chan, anthropology in Aït Ben Haddou, and engineering in Arg-e Bam. In the first case study, archaeological excavations should not have been carried out without proper conservation measures and within conservation strategies. In the second case study, the anthropological conservation through the community participatory approach took on a high priority, but there were increased difficulties in team management in conservation practice. In the third case study, international projects and general recovery of the citadel emphasised a technical and engineering approach, missing out on a greater participation from the community and local stakeholders. It could be that sites follow a management tendency that is related to the discipline background of the conservation team coordinator. To avoid a possible long-term negative impact, it is crucial to look for a more balanced approach towards conservation practice. Finally, politics and lack of strategies can also cause failure in conservation practice. It was clearly observed through the analyses of the surveys and the case studies that political lobbies and pressures can negatively influence conservation action. Also, lack of planning and of defining strategies can entail reactive action instead of proactive. It is necessary to establish clear courses of action, involving the different partners and considering the different indicators of quality and best practices.

11.3 Research Objective 2: Criteria in earthen heritage conservation Addressing the different components of methodology of intervention will ensure a comprehensive and reliable conservation approach. It is crucial to address criteria for intervention within the methodological framework, in order to provide the support for a consistent and fair

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judgement when facing conservation decision-making. However, it is worrying to realise that 70% of the questioned international key-experts were not fully aware of the meaning and need for methodology of intervention in conservation. This can explain the lack of preparation of several conservation projects for conservation intervention, which can partially account for the recurrent problems that arise and have to be dealt with. In what concerns evaluation of criteria, the number rises to 75% of the questioned international key-experts that did not undoubtedly understand the meaning or need of criteria for conservation intervention. This also emerged from the fact that most of the international key-experts did not specifically answer the questions concerning this matter. Furthermore, it was also noticed that 85% of the international key-experts questioned did not have a clear understanding, just a general idea, of the differences between methodology and criteria for intervention. Both findings were also evident in two of the three open interview results. If there is mixture of interpretation and no full understanding of a theoretical framework, even among international key-experts that are experienced in conservation practice, then it is clear that, in daily conservation actions, this mixture of interpretation is even more likely to occur. Evidence from international key-experts questionnaires demonstrates that several of the experts questioned addressed intervention with empirical experience, which entails a more anthropological approach in earthen conservation. Nonetheless, a clear understanding of the difference between anthropological and scientific approaches is required to promote a change towards a combination of both approaches in earthen heritage conservation. To avoid failure due to faulty conservation approaches in earthen heritage, conservation methodology and criteria for intervention have to be clearly discussed. Both have to be further developed, and awareness for their need has to be more accurately focussed on. This thesis addressed these issues by defining criteria for decision-making and clarification concerning procedures for intervention. Two complementary concepts of key criteria were identified. Tangible criteria can be established through guiding principles, sustainable standards, physical standards, and preventive standards. Intangible criteria can be defined by values and intangible heritage standards. The combination of both with an anthropological, physical, or preventive approach can contribute to a more consistent and objective judgement within the framework of earthen heritage conservation. The integration into the conservation process of indicators of quality and indicators of best practice can provide clear evidence of commitment

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to accomplishing high-standards in conservation. However, these indicators should not only be included in the conception of the structure of the conservation project or site planning system, it is important that they are applied throughout conservation intervention and implementation of planning systems, and also through the follow-up process of preventive conservation. It is essential to acknowledge that the setting up of indicators of quality (relating issues such as conservation principles, values, interdisciplinary, community participation, etc.) is the main platform for the development of planning and the establishment of courses of action. Additionally, the inclusion of a combination of several indicators of best practice (such as balanced approach; capacity building; collaboration; commitment; communication; consistency; economic sustainability; expertise; holistic approach; long-term approach; respectful practice; social aspects; and systematic approach) will promote an inclusive and more consistent conservation process. These indicators will also provide a reason to engage different actors in order to achieve successful results. The fact is that 60% of the international experts supported an increase in the involvement of the community and stakeholders, which demonstrates the will for more integrative and participative processes. An important finding was the general lack of agreement among experts with reference to a successful conservation intervention. 60% of the international key-experts questioned mentioned isolated cases of best practice in conservation interventions that others might not consider as positive examples. This demonstrates that there is disagreement about what is considered quality conservation interventions in earthen heritage. Additionally, it is interesting to note that 60% of the questioned international key-experts referred to their own work, or their organisation’s work, as exemplary conservation approaches. It is evident that there is a lack of accuracy and impartial judgement in evaluating ones own work. An agreement to nominate exceptional examples of conservation practice could inspire higher standards in earthen heritage conservation intervention.

11.4 Research Objective 3: Significance of conservation theory in earthen heritage conservation There is a general lack of clarity concerning conservation theory, not just due to unclear concepts, but also due to lack of knowledge in relation to this field. Amazingly, 60% of the questioned international key-experts that work in conservation did not clearly understand the meaning of

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conservation theory. Some considered that conservation theory meant laboratory tests or research analysis. This was also noticed among the open interview experts, except the interviewee that had a background in conservation. The majority of the experts provided very short responses and had no answer to the questions specifically addressing conservation theory, or responded with other type of data. The reality is that several experts did not feel comfortable to express themselves about conservation theory. This was also confirmed through the analysis of the case studies, which demonstrates how vague this matter still is. Additionally, 25% of the international key-experts questioned mentioned that conservation theory had never been addressed and was still being created. Another 15% stated that it had been partially addressed, but needed to go further; 10% affirmed that general conservation theory had already been addressed; and another 10% believed that there was no specific framework to be addressed in relation to earthen conservation theory, as it could not be coherently applied to earthen architecture. There is no consensus concerning whether there should be a conservation theory framework related to earthen architecture or whether conservation theory is unique and does not adjust to the different field areas. However, it is generally agreed by experts in open interviews that more debate based on consistent and systematic research should be dedicated to conservation theory and its correlation with earthen architecture. Through the analysis of the three case studies, it was noticed that there was no clear notion of which degrees of conservation intervention and conservation principles were addressed in each site’s general approach to conservation intervention. The same confusion of concepts was noticed through the questionnaire analyses. This illustrates that the lack of conservation theory application is most significant. When investigating conservation intervention in earthen heritage, in 85% of the cases, keyexperts did not comprehensively consider conservation theory. Just 15% of the questioned international key-experts clearly mentioned concepts, charters, principles, or conservation theorists. Additionally, several of the conservators that deal with physical condition, diagnosis and intervention are not familiar with conservation theory and methodology of intervention. Conservation academics with a theoretical background are unfamiliar with practice and conservation intervention. Even classes in conservation at most universities are taught in two distinct ways, theoretical or practical, but very rarely with a combination of both. There is evidently a separation between theory and practice, and thus a lack of a common framework. From another viewpoint, it was noticed that there was modest debate concerning the

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framework of earthen heritage conservation. Mostly it was addressed in case study papers or in specific reports dealing with issues of physical condition. In the future, conservation professionals and conservation academics should contribute more towards the combination of theory and practice in conservation frameworks. The assessment of significance also became an important component to address. It was analysed in chapter 2 as integrated on the planning process of a site, in chapter 3 as part of the methodological procedure to address during intervention, and in chapter 4 included in the state of significance of conservation theory. In chapter 9, the value driven process was considered an indicator of quality, and in chapter 10, values and levels of significance were addressed as part of the response to research objective 2. The complexity of perspectives in the assessment of significance has made the process more academic and beyond the understanding of several of the experts, conservation coordinators, and conservation professionals. Additionally, it is not simple to make the notion of values and an assessment of significance easily understood by the community and stakeholders, and even more difficult to have the community and stakeholders support its use. Due to its relevant integrative approach, more effort has to be directed to make assessment of significance easily understood and disseminated. There is a general agreement among the experts and conservation coordinators questioned that earthen architecture’s intrinsic characteristics are what make this type of architecture unique. To be aware of the local building cultures is an important step towards the understanding of the differences within each earthen technique and building method. This is a further reason for giving significance to the earthen fabric when addressing conservation intervention. By respecting the local building culture and acting with the appropriate criteria and procedures, the conservator will develop a more ethical commitment towards earthen heritage conservation. To relate the conservation theory framework with earthen architecture’s intrinsic characteristics is a real challenge, however this investigation recognised particular principles to apply to the conservation of the earthen fabric that can combine both. The principles are compatibility, continuity, and uniqueness. These principles can give further significance to authenticity and integrity, and to their relevancy as applied to earthen heritage. It was interesting to note that 25% of the questioned international keyexperts considered that the principles of authenticity and integrity should be followed more rigorously, especially in World Heritage earthen sites. To some experts, if these principles are specifically applied to earthen

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heritage, it means that maintenance, re-plastering, etc. would jeopardise the authenticity of the earthen fabric (the historical nature of the material, the patina of time, etc.). To some extent, this strict approach enters into conflict with anthropological conservation. Another 20% of the international key-experts questioned believed that the notion of authenticity does not apply specifically to earthen architecture, as maintenance, partial reconstruction, etc. are inter-related in this field. In this last case, to keep the inhabited historical structure maintained, for instance, plasters must be renewed. Criteria for intervention can also be different when considering archaeological and architectural structures or sites. However, in societies where high significance is given to immaterial values, the anthropological approach has further relevance. In this case, the approach to conservation intervention has to be guided by the framework principles (compatibility, continuity, and uniqueness) combined with the intangible criteria (values, intangible heritage standards). In particular for World Heritage earthen sites, this combined approach would validate the anthropological and preventive conservations within the application of the authenticity and integrity principles and the Outstanding Universal Value of the site. This research emphasised the existing gap between theory and practice, and recognised the need to create, in earthen heritage, a correlation between conservation theory and conservation intervention. The investigation also confirmed that giving significance to conservation theory could contribute to a more comprehensive intervention, with higher possibilities for a successful conservation outcome.

11.5 Research Objective 4: Strategies in earthen heritage conservation Through the analysed surveys and case studies, four approaches were established to address the overall strategy. These relate to: 1. 2.

3.

‘Education, awareness and research’, which also integrates publications and dissemination, inventories and terminologies. ‘Anthropological conservation’, which includes an anthropological approach, craftsmanship, cultural and social aspects, empirical approach, know-how, and intangible knowledge and tradition. ‘Scientific conservation’ that consists of issues such as consolidants, diagnosis, intervention, physical condition and treatments, among other components.

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‘Preventive conservation’, which deals with maintenance, monitoring and follow-up, continuous management, and preventive approach.

The last approach regarding preventive conservation was considered by 40% of the international key-experts questioned, but also some of the site questionnaires experts to be a major need, and all four approaches enjoyed a growing interest by different organisations through the years. The distinct approaches can also be developed within the same organisation, as is the case of CRAterre-ENSAG. Probably without being aware of it, some international entities relate more to the anthropological approach, applying a value-based process or a community participatory process, etc. There are also some experts that base their approach more on their empirical experience or on a traditional approach with the empirical knowledge of local communities. Other experts and entities relate more to physical conservation, and with a more technical and engineering background, leaning towards laboratory and physical condition assessment and intervention. Frequently the anthropological and scientific approaches are not directly connected, even if undertaken by the same organisation. The difficulty arises when trying to combine these two approaches. Due to the complexity, very few entities and experts manage to have a holistic approach combining all the components. When preparing conservation strategies for earthen heritage, it is fundamental to consider realism as a key factor to avoid failure. During planning, lack of realism originates from over-ambitious or too-academic projects that will have major difficulties in being implemented. The need for “precise and realistic definition of objectives, priorities, target results, procedures, timing and existing resources” was mentioned in section 9.2.7 (Failure in Planning). By taking full account of all contextual factors and available resources, as well as pragmatic measures to implement conservation strategies, successful results will have a chance of being achieved. By recognising gaps and needs, establishing priorities, integrating opportunities, defining targets, long-term objectives and short-term aims, it becomes easier to identify courses of action within the strategy. However, it is fundamental to embrace the different scales and components addressed throughout the conservation process holistically and comprehensively. These components encompass a multi-faceted process, with components inter-related to each other, all composing a sustainable system. Taking a limited view can jeopardise the survival of the fragile earthen fabric and of earthen architecture in general.

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An important issue identified is that earthen architecture is still not fully recognised as a field of standard study. In order to be recognised, there are current issues that need to be addressed in the field, such as: x

Creation of a platform of data comprising different research databases of existing information, and identification of further research to be undertaken;

x

Development of more postgraduate courses, as several high quality courses create a broader base of specialists and critical thinking, raising the level of knowledge and standard;

x

Development of conservation of earthen heritage through different procedural components, such as theory, research, methodologies, physical condition, disaster performance, etc.;

x

Creation of a peer-reviewed academic journal for critical and scientific assessment of research; and

x

Production of a broader international dissemination of earthen architecture for the awareness of the general public, including the increase of publications, and the production of inventories and terminologies.

There is also a need to establish a common framework of conservation principles to preserve and protect earthen heritage. In fact, the development of a strategy for the preservation of earthen heritage should be judged by the definition of procedures based on conservation theory framework, on conservation intervention criteria and methodology, on earthen fabric requirements, on intangible heritage, and on the intrinsic characteristics of earthen architecture. It is of high priority to develop an appropriate framework that can adjust to the specifics of each site. The need for an overarching strategy, with an ample framework put forward, does not imply a universal approach. On the contrary, it is fundamental to consider criteria and methodology for intervention that adapt to the specific context and character of each site. Notwithstanding the support of principles for the conservation of earthen heritage will recognise and acknowledge internationally the significance of earthen architecture and its intrinsic characteristics, just as it has been recognised for vernacular heritage in the publication of the Charter on the Built Vernacular Heritage (1999), and for wooden structures in the publication of the Principles for the Preservation of Historic Timber Structures (1999).

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11.6 Overall conclusions This thesis entailed a comprehensive and critical examination of earthen heritage conservation. With a consistent and systematic approach, the investigation achieved a comprehensive review and criticism of literature on the subject; a conceptualisation of the challenges embedded in the field; a thorough and methodical application of research methods, resulting in well supported findings and an important contribution to knowledge. To achieve the established research objectives, it is important to underline the limited time and resources available, resulting in the deep analyses of three case studies and in the consultation of a limited number of experts and stakeholders. In the framework of international institutional strategies, to overcome limitations and to pragmatically apply results of this investigation, future research and further reflection need to be addressed, especially combining theory and practice. In this investigation, the literature review provided the identification of elements and impacts that were subsequently measured through rigorous scientific methods based on the analysis of international key-expert’s viewpoints, site coordinators and stakeholders’ perspectives, crossed with case study analysis. Distinct data collections were analysed using different research methods, which provided grounded evidence from within the diverse data sources. This research approach has never been specifically used to investigate issues in earthen architecture, nor has such a broad approach to the impacts of conservation on the earthen heritage been attempted before. Subsequently, useful knowledge has been generated that identifies reasons for failure, methodology and criteria for intervention, conservation theory significance, and the strategies to address in earthen heritage conservation. The response to the four research objectives resulted in the recognition of several gaps, needs, threats, objectives, priorities and opportunities, but also in the establishment of frameworks, which contributed to an overall understanding of the challenges surrounding earthen heritage, and especially to the advancement of knowledge in the field.

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Trindade Chagas, J. A. A. (1992). O Castelo de Alcácer do Sal: Problemas da sua recuperação. Arquitecturas de Terra, Triunfos e Potencialidades, Materiais e Tecnologia, Lógica do Restauro. Actualidade e Futuro. Actas do Seminário de Conímbriga (pp.87-90). Coimbra, Portugal: Comissão de Coordenação da Região Centro. UNESCO (1976). Recommendation Concerning the Safeguarding and Contemporary Role of Historic Areas. Nairobi 26th of November 1976. UNESCO. Retrieved from http://portal.unesco.org/en/ev.phpURL_ID=13133&URL_DO=DO_TOPIC&URL_SECTION=201.html UNESCO (2007a). Bam and its Cultural Landscape. Retrieved from http://whc.unesco.org/en/list/1208. UNESCO (2007b). Bam and its Cultural Landscape: Stakeholders' Meeting for Management Plan. Retrieved from http://whc.unesco.org/en/events/389 UNESCO Beijing Office (1999). Master Plan for Preservation and Restoration of the Ancient Ruins of Jiaohe. Planning Institute for Conservation of Cultural Properties. Beijing: UNESCO Beijing office. UNESCO-ICHO (2004). Joint Mission to Bam and its Citadel. Mission Report. Kerman Province, Islamic Republic of Iran. From 22-26 January 2004. UNESCO World Heritage Centre (2008). Chan Chan Archaeological Zone. Retrieved from http://whc.unesco.org/en/list/366/ UNESCO World Heritage Centre (2009). Ksar of Ait-Ben-Haddou. Retrieved from http://whc.unesco.org/en/list/444/ Valle Alvarez, L. (Ed.) (2004). Aportes para la Historia de Chan Chan. Trujillo: Ediciones SIAN. Van Balen, K. & Cebron Lipovec, N. (2008). Preventive Conservation, Maintenance and Monitoring Of Monuments and Sites: Common Framework for Implementing Initiatives. Terra 2008 POSTER. Bamako, Mali. Vargas Newman, J., Blondet, M. & Cancino, C. (2009). Research on the Use of Mud-Based Grouts in the Repair of Structural Cracks in Adobe Walls. CD Proceedings. In M. Achenza, M. Correia, & H. Guillaud (Eds.) CD Proceedings, Mediterra 2009: 1st Mediterranean Conference on Earth Architecture. Monfalcone (Gorizia): Edicom Edizioni. Varum, H., Costa, A., Pereira, H., & Almeida, J. (2006). Comportamento Estrutural de Elementos Resistentes em Alvenaria de adobe. In TerraBrasil 2006. CD de Actas. Ouro Preto, Brasil: Universidade Federal de Minas Gerais; Rede Ibero-americana Proterra.

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Vatandoust, R. & Mokhtari, E. (2004). The earthquake catastrophe in Bam, Iran – future strategies for a destroyed city made of earth. In J. Reisenberger, & Lehm Dachverband (Eds.), Lehm 2004, 4th International Conference on Building with Earth (pp. 221–233). Weimar: Dachverband Lehm. Vatandoust, R., Mokhtari, E. & Nejati, M. (2008). Conservation, consolidation and reinforcement of destabilized earthen structures in Arg-E-Bam (Bam Citadel), Iran, after the earthquake of December 2003: some new approaches. In A. B. Rivera, L. H. Rainer, & S. de Valence (Eds.), Abstracts: Terra 2008: 10th International Conference on the Study and Conservation of Earthen Architectural Heritage (p. 83). Bamako: C F Mac. Vegas López-Manzanares, F. & Mileto, C. (Eds.) (2001). Revista Loggia, Arquitectura & Restauración. Nº12. Valencia: Servicio de Publicaciones Universidad Politécnica de Valencia. Vellinga, M., Oliver, P., & Bridge, A. (2007). Atlas of Vernacular Architecture of the World. Oxon: Routledge - Taylor & Francis Group. Vérité, J. (1977). Inventaire, protection et mise en valeur des architectures traditionnelles du sud marocain - (mission) (UNESCO Mission Report: UNDP No. FMR/CC/OPS/77/214(UNDP)) (p. 18). UNESCO; UNDP Viñuales, G. (2007). Tecnologia y Construcción com Tierra. Apuntes: Revista de Estudios Sobre Patrimonio, 20(2), 220-231. Walliman, N. (2006). Social Research Methods. London: Sage Publications Ltd. Walker, P., Keable, R., Martin, J., & Maniatidis, V. (2005). Rammed Earth: Design and Construction Guidelines. Watford: BRE Press. Warren, J. (1993). Earthen Architecture: The Conservation of Brick and Earth Structures. ICOMOS International Scientific Committee. 10th General Assembly: Report. Sri Lanka, Columbo: Panaluwa; ICOMOS. Warren, J. (1999). Conservation of Earth Structures. Series in Conservation and Museology. Oxford: Elsevier ButterworthHeinemann. Wellington, H.N.A., Olympio, G., & Oppong, R.A. (2007). Protection and Management of World Heritage related earthen and indigenous architecture, Ghana. Management Planning Framework for Sustainable Development of the Ashanti Traditional Building (WHS) at EjisuBesease. Accra: KNUST TEAM. Whalen, T.P. (2000). Foreword. Management Planning for Archaeological Sites. Proceedings. In J. M. Teutonico & G. Palumbo (Eds.), Management Planning for Archaeological Sites: Proceedings

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of the Corinth Workshop (Symposium Proceedings) (pp. v-vi). Los Angeles: Getty Conservation Institute. Williams-Ellis, C. (1999). Building in Cob, Pisé and Stabilized Earth (3rd ed. Reprint). London: Donhead Publishing. World Heritage. (2007a). World Heritage 21C. Programme on Earthen Architecture. Paris, 10 May 2007. (No. WHC-07/31.COM/21C) (p. 8). Paris: UNESCO. Retrieved from http://whc.unesco.org/archive/2007/whc07-31com-21Ce.pdf World Heritage (2007b). Report on the Joint UNESCO – ICOMOS – ICCROM reactive monitoring mission to the archaeological site of Chan Chan, Peru 19 – 23 February 2007 (Mission Report No. WHC31COM) (p. 34). Paris: UNESCO; ICOMOS; ICCROM. Retrieved from whc.unesco.org/document/8954 World Heritage (2008a). State of conservation reports of the properties inscribed on the List of World Heritage in Danger (World Heritage 32 COM. Convention Concerning the Protection of the World Cultural and Natural Heritage. Paris, 22 May 2008 (WHC-08/32.COM/7A)). Paris: UNESCO. Retrieved from http://whc.unesco.org/en/sessions/32COM/documents/ World Heritage. (2008b). State of conservation reports of the properties inscribed on the List of World Heritage (World Heritage 32 COM. Convention Concerning the Protection of the World Cultural and Natural Heritage. Paris, 22 May 2008 (WHC-08/32.COM/7B)). Paris: UNESCO. Retrieved from http://whc.unesco.org/archive/2008/whc0832com-7Be.pdf World Heritage. (2008c). Decisions Adopted at the 32nd Session of the World Heritage Committee (Quebec City, 2008) (World Heritage 32 COM. Convention Concerning the Protection of the World Cultural and Natural Heritage. Quebec City, Canada 2 -10 July 2008 (WHC08/32.COM/24rev)). Paris: UNESCO. Retrieved from http://whc.unesco.org/archive/2008/whc08-32com-24reve.pdf World Heritage (2008d). Twenty-seven new sites inscribed. UNESCO’s World Heritage List. Retrieved from http://whc.unesco.org/en/news/453/3 World Heritage (2008e). Archaeological Ruins at Moenjodaro. UNESCO’s World Heritage List. Retrieved from http://whc.unesco.org/en/list/138 World Heritage. (2009a). State of conservation of World Heritage properties inscribed on the World Heritage List (World Heritage 33 COM. Decisions adopted at the 33rd session of the World Heritage

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Committee, Seville, Spain 22-30 June 2009 (WHC-09/33.COM/7B)). Paris: UNESCO. Retrieved from http://whc.unesco.org/archive/2009/whc09-33com-7Be.pdf World Heritage. (2009). Final Decisions of the 33rd Session of the World Heritage Committee (Seville, 2009) (World Heritage 33 COM. Decisions adopted at the 33rd session of the World Heritage Committee, Seville, Spain 22-30 June 2009 (WHC-09/33.COM/20)). Paris: UNESCO. Retrieved from http://whc.unesco.org/archive/2009/whc09-33com-20e.pdf World Heritage Centre. (2008). Operational Guidelines for the Implementation of the World Heritage Convention (p. 163). Paris: UNESCO World Heritage Centre. Retrieved from http://whc.unesco.org/archive/opguide08-en.pdf World Heritage Review. (1998). Morocco’s World Heritage. World Heritage Review, (9), 49–62. World Monuments Fund. (2008a). Ayaz Kala (Uzbekistan). World Monuments Watch, (2008 List 100 Most Endangered Sites), 62. Retrieved from http://www.wmf.org/sites/default/files/wmf_publication/Watch_2008_ site_descriptions_0.pdf World Monuments Fund. (2008b). Shunet el-Zebib (Egypt). World Monuments Watch, (2008 List 100 Most Endangered Sites), 24. Retrieved from http://www.wmf.org/sites/default/files/wmf_publication/Watch_2008_ site_descriptions_0.pdf World Monuments Fund. (2008). The Wa Naa’s Palace (Wa, Ghana). World Monuments Watch, (2008 List 100 Most Endangered Sites), 27. Retrieved from http://www.wmf.org/sites/default/files/wmf_publication/Watch_2008_ site_descriptions_0.pdf Yin, R. K. (2003). Case Study Research: Design and Methods (3rd ed.). Social Research Methods Series (5). London: Sage Publications Ltd. Zakriti, H. (2005). La gestion des sites du patrimoine mondial au Maroc: Le cas du Ksar Ait Ben Haddou (province de Ouarzazate) (Master’s Thesis (DEPA)). Universite Internationale de Langue Francaise au Service du͒ Developpement Africain, Senghor University, Alexandria, Egypt. Retrieved from http://www.memoireonline.com/06/07/512/m_gestion-sitespatrimoine-mondial-maroc-ksar-ait-ben-haddou-ouarzazate.html

APPENDIX I SITE SURVEY QUESTIONNAIRE

English Version SITE SURVEY QUESTIONNAIRE (Case studies)

The present researcher is conducting surveys concerning the conservation of earth architecture, addressing in particular three UNESCO World Heritage sites. Please only answer about the case study you are more familiar with. Thank you. A) Chan Chan, in Peru: 1. In your opinion, what are the strengths existent in the management plan? 2. In your opinion, what are the weaknesses existent in the management plan? 3. Do you know if the management plan is being applied? i) If yes, how are the results so far? ii) If no, why not yet? 4. At present, how do you find the state of the site? 5. What actions have recently been undertaken? 6. What is yet to be addressed? B) Aît Ben Haddou, in Morocco:

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1. In your opinion, what are the strengths existent in the management plan being developed? 2. In your opinion, what are the weaknesses existent in the management plan being developed? 3. Do you know if the management plan is already being applied? i) If yes, how are the results so far? ii) If no, why not yet? 4. At present, how do you find the state of the site? 5. What actions have recently been undertaken? 6. What is yet to be addressed? C) Arg-E-Bam, in Iran: 1. In your opinion, what are the strengths existent in the management plan? 2. In your opinion, what are the weaknesses existent in the management plan? 3. Do you know if the management plan is being applied? i) If yes, how are the results so far? ii) If no, why not yet? 4. At present, how do you find the state of the site? 5. What actions have recently been undertaken? 6. What is yet to be addressed? Thank you very much for your time and honesty in answering these questions. Please continue to the next page.

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- Would ou prefer to keep this survey anonymous?

YES

NO

- If no, would you agree to be quoted?

YES

NO

- Please give your name and address.

Thank you very much for your time and honesty in answering the questions.

Mariana Correia, PhD researcher Department of Architecture School of the Built Environment Oxford Brookes University, UK

Oxford, June 2008

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French Version SONDAGE (études de cas)

Je suis en train de réaliser un sondage sur la conservation de l’architecture de terre, qui porte en particulier sur trois sites du patrimoine mondial de l’UNESCO. Je vous remercie beaucoup de répondre à l’étude de cas que vous connaissez le plus.

A) Chan Chan, au Pérou: 1. Selon votre opinion, quelles sont les forces existantes sur le plan de la gestion? 2. Selon votre opinion, quelles sont les faiblesses existantes sur le plan de la gestion? 3. Savez-vous si le plan de gestion est en train d’être appliqué? i) Si oui, quels sont les résultats obtenus jusqu’à présent? ii) Si non, pourquoi n’est-il pas encore appliqué? 4. Actuellement, comment trouvez-vous l’état du site? 5. Quelle sont les actions récemment entreprises? 6. Qu’est ce qui n’est pas pris en compte? B) Aït Ben Haddou, au Maroc: 1. Selon votre opinion, quelles sont les forces existantes sur le plan de la gestion? 2. Selon votre opinion, quelles sont les faiblesses existantes sur le plan de la gestion? 3. Savez-vous si le plan de gestion est en train d’être appliqué? i) Si oui, quels sont les résultats obtenus jusqu’à présent? ii) Si non, pourquoi n’est-il pas encore appliqué?

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4. Actuellement, comment trouvez-vous l’état du site? 5. Quelle sont les actions récemment entreprises? 6. Qu’est ce qui n’est pas pris en compte? C) Arg-E-Bam, en Iran: 1. Selon votre opinion, quelles sont les forces existantes sur le plan de la gestion? 2. Selon votre opinion, quelles sont les faiblesses existantes sur le plan de la gestion? 3. Savez-vous si le plan de gestion est en train d’être appliqué? i) Si oui, quels sont les résultats obtenus jusqu’à présent? ii) Si non, pourquoi n’est-il pas encore appliqué? 4. Actuellement, comment trouvez-vous l’état du site? 5. Quelle sont les actions récemment entreprises? 6. Qu’est ce qui n’est pas pris en compte?

Je vous remercie beaucoup du temps que vous accorderez à répondre aux questions, et de votre honnêteté. Veuillez s’il vous plaît passer à la page suivante.

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- Préfèreriez-vous que ce sondage soit anonyme?

OUI

NON

- Si Non, acceptez-vous d’être cité?

OUI

NON

- Je vous remercie de préciser votre nom et votre statut professionnel:

Merci beaucoup pour le temps que vous avez accordé à répondre à ces questions et pour votre honnêteté.

Mariana Correia, PhD researcher Department of Architecture School of the Built Environment Oxford Brookes University, UK

Oxford, Juin 2008

APPENDIX II INTERNATIONAL KEY-EXPERTS SURVEY QUESTIONNAIRE English Version INTERNATIONAL KEY-EXPERT SURVEY QUESTIONNAIRE The present researcher is conducting an international survey concerning the conservation of earthen architecture. It is important to have your opinion about the following:

1. Can you quote examples of sites or structures you believe had very positive results concerning their conservation approach? Were those positive results due to any particular situation? 2. Drawing on your own experience, what is it important to include for the conservation strategies in earthen architecture to be more effective? 3. Drawing on your own experience, which type of actions would you suggest need addressing to ensure the preservation of earthen structures by the local community, or national or international institutions? 4. Do you feel there has been, by national and international institutions, more commitment towards awareness of the earthen heritage protection? To what extent?

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5. a) Do you think that earthen architecture conservation theory was addressed enough for an adequate preservation of earthen structures? b) What still needs to be addressed? 6. Drawing on your own experience, what would you call adequate methodology and criteria for conservation? 7. What are the criteria when deciding what should be conserved from what should be consolidated or not be subject to intervention? 8. What are the main reasons contributing to failure during conservation practice? 9. Which are the main weaknesses addressing conservation projects and methodological approach? - Would you prefer to keep this survey anonymous?

YES

NO

- If no, would you agree to be quoted?

YES

NO

- Please give your name and address.

Thank you very much for your time and honesty in answering the questions.

Mariana Correia, PhD researcher Department of Architecture School of the Built Environment Oxford Brookes University, UK Oxford, June 2008





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French Version

SONDAGE AUPRÈS D’EXPERTS INTERNATIONAUX

Ces questions portent sur la conservation de l’architecture de terre, en général. Il serait important d’avoir votre opinion sur les points qui suivent:

1. Pouvez-vous faire référence à des sites ou structures, qui ont des résultats très positifs, en ce qui concerne l’approche de la conservation? Ces résultats positifs sont-ils dus à des situations particulières? 2. Selon votre expérience, quels sont les facteurs importants à inclure pour que les stratégies de conservation soient plus effectives sur l’architecture de terre? 3. Selon votre expérience, quel type d’actions suggèreriez-vous d’entreprendre pour garantir la préservation des structures en terre par la communauté locale, ou les institutions nationales ou internationales? 4. Pensez-vous que les institutions nationales et internationales existantes sont plus engagées sur la conscience de la protection du patrimoine en terre? Et dans quelle mesure? 5. a) Croyez-vous que la théorie de la conservation a été suffisamment prise en compte, pour une préservation plus adéquate des structures en terre? b) Qu’est ce qui manque d’être pris en compte? 6. Selon votre expérience, quels sont les méthodologies et les critères que vous considérez plus adéquats pour la conservation?

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7. Selon votre opinion, quels sont les critères à prendre en considération pour décider de préserver, consolider ou même de ne pas intervenir? 8. Quelles sont les raisons principales qui contribuent à l’échec, pendant la mise en pratique de la conservation? 9. Quelles sont les faiblesses principales qui concernent projets de conservation et l’approche méthodologique? - Préfèreriez-vous que ce sondage soit anonyme?

OUI

NON

- Si Non, acceptez-vous d’être cité?

OUI

NON

- Je vous remercie de préciser votre nom et votre statut professionnel:

Merci beaucoup pour le temps que vous avez accordé à répondre à ces questions et pour votre honnêteté.

Mariana Correia, PhD researcher Department of Architecture School of the Built Environment Oxford Brookes University, UK

Oxford, Juin 2008

APPENDIX III PARTICIPATION INFORMATION SHEET

English Version

PARTICIPATION INFORMATION SHEET 1. Title of Project: Conservation in Earthen Heritage 2. This project is research for a PhD thesis at Oxford Brookes University, School of the Built Environment, Department of Architecture. You are being invited to take part in this research study due to your international expertise in the area of conservation of earth architecture. 3. The aim of this study is to understand different criteria and strategies for conservation in earth architecture. The research method is based on a case study methodology, with a combination of sources for data collection (published literature, collection of local data, field studies with site observations, open interviews, and a survey questionnaire to international experts). 4. You were invited to participate in this survey questionnaire due to your knowledge and international experience on the conservation of earth structures. 5. The participation in the survey is entirely voluntary. You will receive the survey questionnaire and this information sheet to keep.

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Participants are free to withdraw at any time, or to withdraw any unprocessed data previously supplied. 6. Your participation on this research will be done by a survey questionnaire. You will be requested to answer questions concerning earth architecture and its conservation. Questions like: Can you refer to examples of sites or structures you believe had very positive results concerning their conservation approach? etc. The questionnaire will take between 20 to 40 minutes. 7. There are no risks or disadvantages in taking part in this study, except the use of some of your time. 8. The purpose of this research will benefit and help professionals, by formulating criteria and strategies to address to earth architecture conservation. The further aim of this study will be to contribute in particular to international awareness of the need for protection of earth dwellings. 9. All the information on the questionnaires will be kept confidential. Only the analyses of the information will be published in the PhD thesis and journal articles. If the participants prefer, their questionnaire can be kept anonymous. 10. A summary of results of the research will be available for consultancy, or will be sent to the participants if requested. 11. The interviewer is Mariana Correia, postgraduate researcher at Oxford Brookes University, School of the Built Environment, Department of Architecture. She is carrying this study as part of her research methods for the completion of her PhD. 12. You can answer the questions in English, French, Spanish, or Portuguese. 13. The University Research Ethics Committee at Oxford Brookes University approved this research. If you have doubts concerning ethics, you can contact: [email protected] 14. For further information, please contact: Arch. Mariana Correia, PhD researcher.

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Oxford Brookes University, School of the Built Environment, Department of Architecture, Postgraduate Research School, Buckley Building, Gipsy Lane, Headington, OX3 0BP Oxford, United Kingdom Tel. 0044-1865-483689, E-mail: [email protected]

Thank you very much for your time. Oxford, June 2008

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English Version

FEUILLE D’INFORMATION SUR LE QUESTIONNAIRE 1. Titre de la Recherche: Conservation du Patrimoine en Terre 2. Cette investigation concerne une recherche de Doctorat réalisée à l’Université d’Oxford Brookes, Département d’Architecture. Vous êtes invités à participer à cette recherche considérant votre expertise internationale dans le domaine de la conservation de l’architecture de terre. 3. L’objectif de cet recherche est de comprendre les critères et les différentes stratégies qui concernent la conservation de l’architecture de terre. Le méthode de recherche est basée sur une méthodologie d’études de cas traitant une combinaison de sources pour rassembler les données (littérature publiée, collection de données locales, visite et observation de sites, interviews informelles, sondage auprès d’experts internationaux). 4. Vous êtes invités à participer à ce questionnaire du fait de votre connaissance et expérience internationale concernant la conservation de l’architecture de terre. 5. La participation au sondage est entièrement volontaire. Vous recevrez l’enquête du questionnaire et cette feuille d’information sur le questionnaire. Les participants peuvent annuler leur participation s’ils le veulent ou demander des données qui ne sont pas encore analysés. 6. Votre participation à cette recherche porte sur un questionnaire. Il vous est demandé de répondre à des questions concernant seulement l’architecture de terre et sa conservation. Des questions comme: pouvez-vous faire référence à des sites ou structures qui

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ont des résultats très positifs en ce qui concerne l’approche à la conservation? Etc. Le questionnaire vous prendra 20 à 40 minutes. 7. Il n’y a aucun risque ou des désavantages à participer à cette recherche. 8. Le but de cette recherche bénéficiera et aidera les professionnels, par la formulation de critères et de stratégies sur la conservation de l’architecture de terre. L’objectif additionnel est de contribuer en particulier, à la conscience internationale sur le besoin de protéger les structures en terre. 9. Toute l’information transmise sur les questionnaires sera confidentielle. Seulement l’analyse de l’information sera publiée dans la thèse de Doctorat et sur des articles de recherche. Si des participants le préfèrent leur questionnaire pourra rester anonyme. 10. Un sommaire des résultats de la recherche sera disponible pour consultation ou sera envoyé aux participants, s’il est demandé. 11. La personne qui conduit l’interview est Mariana Correia, étudiante de doctorat du Département d’Architecture, de l’Université d’Oxford Brookes. Elle propose cette enquête comme faisant partie des méthodes de recherche pour réaliser son Doctorat. 12. Vous pouvez répondre au questionnaire en Anglais, Français, Espagnol et Portugais. 13. Le Comité de Recherche d’Ethique a approuvé cette recherche. Si vous avez des doutes concernant l’éthique, vous pouvez contacter : [email protected]

14. Pour plus d’information, je vous prie de contacter: Arch. Mariana Correia, PhD researcher. Oxford Brookes University, School of the Built Environment, Department of Architecture, Postgraduate Research School, Buckley Building, Gipsy Lane, Headington, OX3 0BP Oxford, United Kingdom - Tel. 0044-1865483689, Email: [email protected]

Merci beaucoup pour le temps que vous accorderez à ce questionnaire, Oxford, Juin 2008

APPENDIX IV CONTACT SUMMARY FORMS

Addressing Chan Chan site CONTACT SUMMARY FORM

CHAN CHAN

Site: Chan Chan, Peru; Years of collected data: 2005, 2008, 2009 Contact type: Management plan, articles, proceedings papers, reports, photos, site visits, open interview, and site questionnaire responses. Coordinator(s)/Final editor(s) of MP: Ana Maria Hoyle and Carolina Castellanos (INC, Tomo-1, 2000). Direct Contributors to the MP: 5 ENTITIES - INC (National Institute of Culture-La Libertad, with two coordinators and 44 people assisting with technical support), World Heritage Fund, UNESCO’s representation in Peru, GCI and ICCROM (INC, Tomo-1, 2000). Stakeholders were consulted, but not all directly took part in the preparation of the MP (according to open interview response). CRATerre-ENSAG contributed for the methodology process in PAT 96 and PAT 99, following site questionnaires responses. MP Stakeholders representation: La Libertad Town Hall, La Libertad Transitional Council for Regional Administration, Education Board, 32st Division of the Peruvian Army, IV Region of the National Police, Tourism Section of the Natinal Police, Trujillo Province Municipality, Huanchaco District Municipality, Villa del Mar Council, El Tropico Council, Ministry of Tourism and Industry at La Libertad, Ministry of Regional Education at La Libertad, Ministry of Agriculture at La Libertad, Regional Direction of Civil Defence, Trujillo National University, Commerce Chamber, Chavimochic Irrigation Especial Project, Entreprise Hidrandina S.A., College of

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Architects at La Libertad, Trujillo Habitat and the enterprise Sedalib (INC, Tomo-1, 2000). MP Interdisciplinary team representation: planning, archaeology, conservation, architecture, social anthropology, ecology, education and dissemination, tourism promotion, legislation (INC, Tomo-1, 2000). Was MP implemented? What stage is it at? The MP was not fully implemented. There were initial attempts for implementing some of the projects, but the initiatives were discontinued. In 2007, a decree was published requesting the updating of the MP (World Heritage, 2007b). Reasons for potential success of undertaken actions: - It is an interdisciplinary approach, developed through a community participatory process, based in a value-driven method (according to responses to site questionnaires). - The methodology process of the management plan was firstly developed among international stakeholders during the earthen architecture conservation and management course PAT 96. Then the process was undertaken by the INC, with the collaboration of national consultants and local stakeholders (INC, Tomo-1, 2000). Reasons for potential failure of undertaken actions: - The participation of local stakeholders did not have enough weight on Chan Chan’s MP. They just participated in public consultation, but were not directly engaged in the site’s strategy, according to the open interview of a local stakeholder. - Following site questionnaires and open interview responses, there was no realistic assessment of existent resources, and the format of the MP was too academic, with use of general concepts and a less pragmatic approach. - There are not enough human and financial resources to intervene in Chan Chan. Besides, there is strong archaeological pressure to excavate, but not enough conservators to act. Inconsistencies: Stakeholders’ participation - In the Credits of the Management Plan (INC, Tomo-1, 2000), there are references to several people and institutions involved as consulted stakeholders. However, some of

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the experts said, during the open interview, that some of the mentioned consultants (e.g. Ricardo Morales) and local stakeholder’s institutions (e.g. National University of Trujillo) were not involved or consulted, in spite of being mentioned on the Management Plan (MP). Management plan implementation – Most of the experts in the questionnaires and open interview mentioned that Chan Chan’s MP was not implemented. However, in the site questionnaire response, two people related to the MP preparation refer that the Management Plan was 40% to 50% implemented.

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Addressing Aït Ben Haddou site CONTACT SUMMARY FORM:

AÏT BEN HADDOU

Site: Aït Ben Haddou, Morocco; Years of collected data: 2006 - 2009 Contact type: Management plan (MP), articles, proceedings papers, reports, photos, site visits, open interview and site questionnaire responses. Coordinator(s)/Final editor(s) of MP: Mohamed Boussalh and Sébastien Moriset (Boussalh and Moriset, 2007). Direct Contributors to the MP: 5 ENTITIES - Ministry of Culture, CERKAS (Heritage Conservation Institute), UNESCO, CRATerreENSAG and Stakeholders (68 people) (Boussalh and Moriset, 2007).. MP Stakeholders representation: Ksar inhabitants, Association Aït Aïssa, Habitat and Urbanism Ministry Delegation, Ministry of Finances, Ministry of Culture, Ministry of National Education, Ministry of Tourism, Ministry of Interior, Programme and Equipment Division, Economical and Social Division, Urban Design and Environment Division, Electricity National Office, Potable Water National Office, Polytechnic Studies Office (for the bridge), Regional Office of Agricultural Value, Regional Service of Waters and Forests, Health Delegation, Tourism Delegation, Handicraft Delegation, Ouarzazate Urban Agency, Ouarzazate Province, Local Agenda 21, Aït Zineb Rural Community, Nadarat des Habous Authority, Amerzagane Regional Authority, Maroc Telecom, Investment Regional Centre, Regional Inspection for the Territory and Environment Management, Cultural Delegation (Boussalh and Moriset, 2007). (Ministries, regional divisions, infrastructure and resources offices, delegations, local authorities, national and local agencies, regional communities, local associations, local inhabitants. Total: 29 stakeholders)

MP Interdisciplinary team representation: architects, anthropologists, archaeologists, craftsmen, technicians, etc. The interdisciplinary participation was embedded within the stakeholder’s contribution (according to the open interview and Boussalh and Moriset, 2007).

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Was MP implemented? What stage is it at? The MP was concluded in 2007, and it is in the first stage of implementation. Missing diffusion of the MP, building planned infrastructures, preparing tourist facilities, etc. (following responses to the site questionnaires and the open interview). The MP should be fully implemented in 2012 (Boussalh and Moriset, 2007). Reasons for potential success of the MP: - The MP was developed during two years, with very strong stakeholder participation, and also with stakeholders meetings scheduled for each month (Boussalh and Moriset, 2007). - Engagement of representatives of all the entities directly related with the site (ibid., 2007 and open interview to national site responsible). - The fact that CERKAS is engaged in a “policy of communication and dissemination of information’ (Boussalh, 2008, p.25), which can improve tourism. Reasons for potential failure of MP: - If there is not enough financial support found to implement the MP (following the responses to the site questionnaires). - Not having enough interdisciplinary approach on the team that works directly at the site might be a weakness (Pattern Matching_5). - Not having enough control of maintenance and conservation works developed daily at the site. The local office of CERKAS (for monitoring) is previewed, but not yet implemented (following the site visit and the responses to the site questionnaire). Inconsistencies: - Tourism is simultaneously an opportunity and a threat; as it can have great potential to create funding, but it can also imply pressures related from tourism that can affect the site in terms of degradation and insecurity (according to responses to the site questionnaires). - Film industry, the same originates from film making, as it brings funding and tourism to the site, but also create risks related to changing the authenticity of the ksar fabric (following responses to the site questionnaires). There are parts of the architectural

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scenario that were altered and added, not always returning to its original set (Boussalh and Moriset, 2007). The dualities of both factors previously mentioned have to be carefully balanced.

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Addressing Arg-e Bam site CONTACT SUMMARY FORM

ARG-E BAM

Site: Arg-E-Bam, Iran; Years of collected data: 2004, 2008, 2009 Contact type: Management plan (MP), articles, proceedings papers, reports, photos, site visits, open interview, and site questionnaire responses. Coordinator(s)/Final editor(s) (ICHHTO, 2009b, p.v).

of

MP:

Eskandar

Mohktari

Entities Contributing to the Management Plan (MP): ICHHTO and UNESCO Tehran Cluster Office (ICHHTO, 2009b, p.56) - 2 entities. MP Stakeholders representation: There are references to several meetings of stakeholders that took place during the last few years (UNESCO, 2007b). However, there is not enough data to identify stakeholders’ representation. MP Interdisciplinary team representation: Engineers, archaeologists, architects, conservators, craftsmen, technicians, etc (ICHHTO, 2009a, p.41). No anthropologists. The interdisciplinary participation was embedded within the national and international stakeholders’ contribution. Was MP implemented? What stage is it at? The MP was still not submitted to the World Heritage Committee, and in spite of going from 2008 to 2017, its implementation still has not started (Dolatabadi, 2009). Reasons for potential success of MP: - The interest from Iranian authorities to “improve the knowledge of earthen heritage in seismic areas and develop prevention guidelines and methods for other sites’ (Bumbaru, 2004, p.1). Following the seism, the structural intervention addressed was concerned with integrating different types of retrofitting measures. - The fact that “the study and recording of the intangible heritage of the region is part of the management plan’ (ICHHTO, 2009b, p.39).

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- The fact that it is included on the management plan, “the assessment of effectiveness of the strategies included in management plan and compatibility of the plans with desired goals” (ICHHTO, 2009b, p.66). - The local team manager takes the lead to directly resolve on-site conflict management within the teams. The same is confirmed by the ICHHTO nomination file (ICHHTO, 2009b, p.57). Reasons for potential failure of MP: - Repetition of measures that failed previously. Roofs with vaults and domes, and earth filling covering the structures were often used due to their thermal mass, which makes them adequate to face very cold winters and very warm summers. Nonetheless, these heavyweight roofs identified in Bam city and at the citadel are not seismic resistant, and contributed to the death toll (Correia, 2004c) (Shahnoori, 2005, p.317). - Each new adobe is being strengthened with reinforced fibres. During the visit, it was observed that throughout the site, adobe masonry is not being retrofitted at the corners, or between layers. The exception is the stables, where carbons fibres are laid between adobe layers. The use of reinforced adobes does not imply that structures are retrofitted. Inconsistencies: Arg-e Bam recovery project has the support of the local community, because of its cultural and historical values (ICHHTO, 2009b). By contracting several hundreds of workers from Bam, it also assures community involvement, according to the open interview. However, the overall process cannot be considered a community participatory driven process, as the population was not continually engaged in the planning and decision-making, which can be noticed in the updated nomination file (ICHHTO, 2009).

APPENDIX V CONTACT THEME FORMS

Addressing Chan Chan site CONTACT THEME FORM

CHAN CHAN

Site: Chan Chan, Peru; Years of collected data: 2005, 2006, 2008, 2009 Contact type: Management plan, articles, proceedings papers, reports, photos, site visits, open interview, and site questionnaire responses. Themes that emerged from data: Following site questionnaires responses and the open interview, emerging themes are the value-driven approach, training, capacity building, and a participatory decision-making process. Effective Conservation Indicators: Continuity, effectiveness, and systematic approach indicators were identified through published data and responses to site questionnaires. Threats Urban expansion - Since it was nominated to be a World Heritage Site, the complex continues to be pressured by “major development projects and urban expansion (…) new constructions are very close to the boundaries. The setting of the site has been affected by new infrastructure, like a recent animal food plant, which impacts the integrity of the landscape” (World Heritage, 2007b, p.5). Variety of roads crossing the site – There are at least ten roads at the site, “the principal being the Trujillo-Huanchaco highway that cuts the site in two. This condition encourages local people to easily settle along those roads” (ibid., p.5).

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Continuous plundering of tombs – Artefacts from Chan Chan continue to be searched at the site, with common plundering of tombs (ibid., p.8). Building a monumental museum inside the site – According to the WHC/ICOMOS/ICCROM join mission, the initiative for this structure is due to political implications. The “massive” museum would be constructed in areas of intermediate architecture, undoubtedly affecting the unity of the site, and sending “a wrong message to local people’ (ibid., p.15). Weaknesses Archaeologist pressures and lobbying - The proposition of more excavation in Velarde palace (ibid., p.12) and the new archaeological excavations under way generate more conservation problems (ibid., p.14). The continuity of archaeological excavations without conservation of the exposed remains can further affect the authenticity of the site. It is recommended by the WHC to postpone “new excavations until the site has reached a reasonable state of stabilisation of all its components’ (ibid., p.14). Priorities To regulate new construction permits in the buffer zone – This will avoid the lack of actual control with the emergence of new construction. This will be possible through collaboration with related authorities (ibid., p.5). To reduce the archaeological excavations – Unless, if “accompanied by appropriate conservation measures and that all possible steps be taken to control the plundering of the site” (ibid., p.6). It will also help to concentrate attention on the conservation and preservation of the exposed remains (ibid., p.5). To raise local awareness for the significance of the site – To raise awareness “among local people about the significance of the site” (ibid., p.15) will contribute to the discontinuity of cultural pressures that damage the integrity of the site fabric. Needs To reduce the rise of water table levels - There is the need to research and “understand the hydrology in the site and systems associated with its behaviour, so that a more proactive, rather than reactive, approach is implemented in the future’ (ibid., p.5).

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To reduce the number of public roads at the site – by reducing access crossing the site and limiting those roads to visit routes, integrity would be reduced (ibid., p.5). Opportunities International engagement - In 1996 and 1999, the intercollaboration activities, of GCI, CRATerre-ENSAG and ICCROM in PAT 96 and PAT 99 contributed to the development of conservation efforts at the site, as part of the development of the management plan. Collaboration among these and other entities during the planning process of the management plan, is “somewhat diluted today” (ibid, p.16), and could become an opportunity for future partnership. Engagement of public and private institutions – To involve public and private collaboration can contribute to the sustainability of the site, in terms of resources, but also continuity of the conservation intervention, according to site questionnaires responses. To develop projects with allied agencies – To work with local agencies for “the implementation of projects related to environmental recovery, reforestation, (…) for the positive social, economic and environmental impact they could have (ibid., p.19). To engage stakeholders – “By making diverse stakeholders feel they are owners of the process and the resulting plan, a larger commitment to the site was engendered, which (…) will guarantee long-term implementation (…)’ (Castellanos, 2001, p.115). Comparative issues between the three sites: - The development base of each management plan (Logic Models_1); - Role conflict of national and international stakeholders developing the management plan (Logic Models_2); - Communication between stakeholders (Pattern Matching_1); - How interdisciplinary studies were addressed in each management plan (Pattern Matching_2); - How each site is addressing implementation (Pattern Matching_3); - How conservation practice and management control in intervention is addressed (Pattern Matching_4); - Development of methodology of intervention (Pattern Matching_5);

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Addressing Aït Ben Haddou site CONTACT THEME FORM:

AÏT BEN HADDOU

Site: Aït Ben Haddou, Morocco; Years of collected data: 2006, 2007, 2008, 2009 Contact type: Management plan, articles, proceedings papers, reports, photos, site visits, open interview, and site questionnaire responses. Themes that emerged from the data: Following responses to the site questionnaires and the open interview, emerging themes are use, values, a participative approach, and community involvement. Effective Conservation Indicators: Continuity, commitment, collaboration, and sustainability indicators were identified through published data, responses to site questionnaires, and open interview. Threats Climatic conditions. Climatic conditions affect the vulnerability of the Ksar. In December 1989 hard rains affected all the south of Morocco, and provoked wide damage to the site. Jean-Louis Michon mentions that several walls without plaster swelled before collapsing. Their debris generated dams against which water flowed and was poured into empty houses, creating landslides (Michon, 2000, p.67). Use of modern materials. Mohamed Boussalh does underline that “ideals of “modernity” affect every aspect of life in the region, and the use of so-called modern materials has been widely adopted” (2008, p.21). Following the site visit, it was observed on the right bank of the river that new dwellings were built in cement block, following the ‘kasbah style’, or built with a concrete structure and rammed-earth fill-in. Desertion of the site. At the moment just six families leave in the ksar, as the others moved out. For several experts, lack of population is a main threat (Berriane, 1999) (Michon, 2000), as population helps to keep the site conserved and maintained.

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The cut of public funding. The fact that Morocco authorities had a shortage of financial resources, which provoked a subsequent cut to public funding (Berriane, 1999, p.48). (Because of all these pressures, the ksar is more exposed to decay, and the earthen heritage conservation has more possibilities for failure.) Weaknesses Pressure from tourists and visitors. Visitors walk on unprotected areas or climb historical walls, which “heighten risks of degradation and insecurity” (Boussalh, 2008, p.23). Better protection measures and policy to safeguard the Ksar were already planned, but it becomes urgent to advance and implement them (Boussalh and Moriset, 2007). Impact of the film industry. For the filmmaking of some movies, architectural transformation was carried out at the site. In spite of specific legislation, the site did not return back to the original setting. There are some walls and towers standing built specifically for some movie scenarios (Boussalh and Moriset, 2007). Insufficient awareness of the site. Boussalh mentions that local population and stakeholders should be aware of the significance of the site (2008, p.21). Presently, there is still insufficient awareness. Legal twists. Bureaucracy attached to the Kasbahs owners, as the Kasbahs belong to a number of landlords. Berriane mentions that: “Legal tangles are holding up work on restoring the houses” (1999, p.48), as several of the heirs live now elsewhere. Priorities To keep intangible knowledge. During the site visit to the surroundings of the site, it was still observed by the researcher that a few rammed earth masons were built with earth in the traditional way. Mohamed Boussalh, the director of ERKAS, emphasises the importance of safeguarding “the traditional knowledge of the inhabitants” (2008, p.21). This is an important priority to pursue, as knowledge to build and maintain these Kasbahs is at an increased risk of being lost. To pave the access road leading to the side. Following the open interview, this is of major importance, as it increases the tourism, which will create more tourist structures, such as bazaars, shops, restaurants, and hotels.

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Needs Installation of infrastructures at the site. This can become a way for ancient inhabitants living on the right bank of the river to return back to the ksar, as this was one of the main reasons for leaving the site (according to site questionnaires). Thus, water and electricity supplies should be buried, so as not to interfere with the site value. To adapt existing dwellings to new use. This rehabilitation of ancient dwellings, more adapted to a contemporaneous life, will be a key factor to adapt the ksar. Inhabitants want the chance to have access to satellite dishes, internet, etc., but also minimum conditions of comfort (following responses to site questionnaires). Besides, it is important not to retain inhabitants in a space that no longer responds to the needs and demands of present life. Additionally, activities that generate employment have to be foreseen (Boussalh, 2009, p.267). The growing need to have access to goods. People nowadays do not want to travel far to have access to daily products. Boussalh underlines that there is the need to have them selling in place (2009, p.266). Opportunities: Creation of a local association. An important prospect comes from the foundation of the Aït Aïssa Association for Culture and Development. This association became an important representative of the local community. Berriane calls attention to the fact that the association even “keeps a close eye on the restoration work, and takes part in meetings about it” (1999, p.48). Tourism. It became the most important economical activity at the site. There are a number of activities directly related to tourism, as guest houses, hostels, restaurants, and cafes, most of them located on the west side of the wadi (observed during the site visit). Most of the gift shops and local guides will be found at the site. There are also indirectly activities related with tourism, such as maintenance work of the site, transports, etc. Film industry. The exceptional scenario of the site attracted several filmmakers. A number of motion pictures, such as Lawrence of Arabia, Jesus of Nazareth, and The Gladiator were shot at the site (Boussalh, 2008, p.22). It is a rising economical activity and there are plans to create a museum related with it.

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Open souvenir shops at the ksar. Instead of returning immediately back to live at the site, some of the inhabitants preferred to open souvenir shops at the ksar, following responses to site questionnaires. To some extent, this can become an opportunity for ancient inhabitants to move slowly back to the ksar. To involve the population. To give more responsibilities to local inhabitants in an effort for them to be more in charge of decisionmaking at the ksar. Boussalh calls attention to the need for synergy between political engagement and community engagement (2009, p.266). Comparative Issues to address between the three sites: - The development base of each management plan (Logic Models_1); - Role conflict of national and international stakeholders developing the management plan (Logic Models_2); - Communication between stakeholders (Pattern Matching_1); - How interdisciplinary studies were addressed in each management plan (Pattern Matching_2); - How each site is addressing implementation (Pattern Matching_3); - How conservation practice and management control in intervention is addressed (Pattern Matching_4); - Development of methodology of intervention (Pattern Matching_5);

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Addressing Arg-e Bam site CONTACT THEME FORM

ARG-E BAM

Site: Arg-e Bam, Iran; Years of collected data: 2004, 2006, 2008, 2009 Contact type: Management plan, articles, proceedings papers, reports, photos, site visits, open interview, and responses to site questionnaires. Themes emerging from data: Following responses to site questionnaires and the open interview, emerging themes are retrofitting, capacity building, and decisionmaking. Effective Conservation Indicators: Local site co-ordinator and maintenance procedures are indicators identified through published data and open interview. Threats: If the State Party stops supporting the recovery of the site, this can jeopardise the survival of the conservation process of the citadel. This is due to the fact that the site is still not sustainable enough, following the site visit and the open interview. Weaknesses Instability in the region. This issue arises from the rising insecurity and drug trade that originated from the border with Afghanistan. According to Licciardi and Johnnides, before the earthquake, “tourism based on cultural heritage assets was the most important economic sector in the Kerman province. After the earthquake (…), the province has become a place where tourists are advised not to go due to volatile security and illicit trafficking” (2009, p.1). This was in particular due to the escalation of war in Afghanistan, which made the usual trafficking through Pakistan get moved to the border with Iran. Seismic Activity. This seism was due to a fault 8km south of Bam, the latest in a series of earthquakes affecting the region. Other seisms are expected, proven by the seismic activity data collected about the Bam region (see report by Eshghi and Zaré, 2003). Priorities

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To restore the structures and spaces that were being used by the population before the seism: the mosque of Arg-e Bam and the religious theatre are “still in use” (ICHHTO, 2009b, p.36). Needs There is the need for more studies related with seismic resistant features. Population engaged in preventative responses to earthquakes base themselves on their past experiences to guide their future orientation to incorporate seismic retrofitting features into the local building culture. Through time, with no reoccurrence of seism, there is a tendency to abandon the use of seismic retrofitting features (Correia and Merten, 2001, p.1). This also happened in Arg-e Bam, with almost no seismic resistant features identified, except a few by Licciardi (2007, 2009). Opportunities The recovery of Bam as an example to learn from. The World Bank developed a study regarding the “link between emergency relief, transitional period, and reconstruction (…) and how risk reduction measures were integrated in recovery plans for resilience” (Licciardi and Johnnides, 2009, p.5). The way in which recovery was addressed in Bam is becoming an international case study. Tourism. Before the seism, Arg-E Bam received a high number of tourists, comprising 100,000 visitors a year, from which 90% were Iranian (Bumbaru, 2004, p.2). It is expected that this number is accomplished again and even surpassed by international tourism, due to the repercussion of the citadel recovery plan, following site questionnaires and open interview. Self-assessment. The critical evaluation done by ICHHTO (2008) (Mokhtari, Nejati and Said, 2008) to the restoration intervention carried before the seism is an opportunity for future success. To evaluate the work carried by your own institution is a positive attitude, as it shows that people are willing to learn by their own mistakes. Comparative issues between the three sites: - The development base of each management plan (Logic Models_1); - Role conflict of national and international stakeholders developing the management plan (Logic Models_2); - Communication between stakeholders (Pattern Matching_1);

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How interdisciplinary studies were addressed in each management plan (Pattern Matching_2); How each site is addressing implementation (Pattern Matching_3); How conservation practice and management control in intervention is addressed (Pattern Matching_4); Development of methodology of intervention (Pattern Matching_5);

APPENDIX VI LOGIC MODELS

Example of developed graphic analysis

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APPENDIX VII EXAMPLE OF RESPONSE TO SURVEY QUESTIONNAIRES

Site Survey Questionnaire SURVEY QUESTIONS – Case studies The present researcher is conducting surveys concerning the conservation of earth architecture, addressing in particular three UNESCO World Heritage sites. Please only answer about the case study you are more familiar with: if you are unfamiliar with the sites, you can pass directly to the next page. Thank you. A) Chan Chan, in Peru: 1. In your opinion, what are the strengths existent in the management plan? The management plan is a comprehensive tool that allows decision makers to follow a precise course of action to respond to present conditions at the site, considering Chan Chan’s values and significance as the driving force. It also prescribes the means to consistently work towards a collectively defined vision, considering both medium and short-term objectives.

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2. In your opinion, what are the weaknesses existent in the management plan? Although the management plan is comprehensive, it needs to be updated to reflect current conditions. This is the case specifically of the proposed administrative structure, which was designed considering legislation and the institutional framework at the time. The public use component should be more explicit rather than embedded throughout the other research and conservation programmes. 3. Do you know if the management plan is being applied? i) If yes, how are the results so far? Yes, the management plan has been in implementation since its finalisation in 1998. Although initially there was only partial implementation due to limited financial resources, all projects undertaken responded to priorities established in the management plan and attempted to follow the course of action. Recent changes in the institutional framework have hindered its current implementation but, in spite of the situation, between 40 and 50% of the prescribed projects have been carried out in the past ten years. ii) If no, why not yet? 4. At present, how do you find the state of the site? The conservation challenges for such a site are tremendous, however, with increased funding, several critical actions have been implemented, such as the recovery of the perimeter walls, which aid in mitigating erosion. Similarly, new threats, such as rising water table levels, have been addressed comprehensively and in a timely manner. Emergency preparedness is consistent and the effects of the El Niño phenomenon have been mitigated. However, there are pressing issues that still need to be addressed that pose significant threats to the integrity of the site, mainly development at the surroundings and lack of management of the buffer zone. It is expected that new municipal plans will address this situation holistically and enhance cooperation between the multiple layers of authorities that influence decision making at Chan Chan.

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5. What actions have recently been undertaken? Actions to mitigate effects of rising water table levels (drainage systems), recovery of perimeter walls, and stabilisation of walls in danger of collapse. 6. What is yet to be addressed? Comprehensive management of the buffer zone, abide by prescribed course of action and intervene only in priority areas, cease archaeological excavations unless needed for conservation actions, larger public use activities.



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SURVEY QUESTIONS – Case studies - Would you prefer to keep this survey anonymous?

YES

- If no, would you agree to be quoted?

YES

NO

X

NO

- Please give your name and address?

Carolina Castellanos Cultural Heritage Consultant Circuito Cocoyoc No. 29 Fraccionamiento Lomas de Cocoyoc C.P. 62847 Atlatlahucan, Morelos Mexico Thank you very much for your time and honesty in answering the questions.

Mariana Correia, PhD researcher Department of Architecture School of the Built Environment Oxford Brookes University, UK E-mail: [email protected]

  Oxford, June 2008

X

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International Key-Expert Survey Questionnaire SURVEY QUESTIONS – international experts

These are questions concerning the conservation of earth architecture in general. It will be important to have your opinion about the following: 1. Can you refer to examples of sites or structures you believe had very positive results concerning their conservation approach? Were those positive results due to any particular situation? - There are many sites worldwide where conservation programs have achieved success. I think of Otrar in Kazakhstan, Central Asia, where the response to violent weather conditions and unstable financial conditions for ongoing maintenance were answered in a good way. The successes were in the fact that conservation was achieved with difficult conditions accounted for, and the expectation that the work would have to be performed for the mediumterm. - Basgo in Ladakh, India is a successful project and World Monument fund, despite taking the radical move of stone buttressing, the support of failing geological formations has worked. UNESCO training in which I was involved was well targeted and received. Here it is the committed involvement and traditional understanding of local populations and individuals that has raised the level of the project. There are other examples, but these I know intimately. 2. Drawing on your own experience, what is important to include for the conservation strategies to be more effective in earth architecture? Since earth building is a local and vernacular technique, I believe that the complete involvement of local populations, both as

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implementers and in consultation, is central to the success of projects. This applies to individual structures, cultural landscapes, and materials resources. There is a tendency to assume that vernacular building materials and techniques are unsophisticated. This is not so and, on many levels, over the millennia of building activity, empirical understanding allowed earth construction to become very sophisticated indeed. This applies in the way that earth structures respond to climate, ways of dealing with water, both as moisture from the ground and air, and in respect of the mechanical action of rainfall, and in respect of freeze/thaw cycles are managed by the form of construction and by the chemical performance of the material through the use of admixtures. Today, many of these chemical admixtures have disappeared or are almost forgotten, especially the use of primitive saponins and the influence that they have in the interstitial performance of clays both aeolian and water formed (think of the animal fat and lime alkaline environment admixtures in Afghanistan of the shea butter that we saw being used in Mali). We have hardly scratched the surface in our understanding and analysis of these factors. An important conservation strategy must therefore be a better understanding of the conversion of materials in different applications within the structure. Roofs are especially interesting here and I could write a book about this topic. So: Analysis and understanding of the very sophisticated end of materials technology must be the first step, without it we know very little beyond mundane soil mechanics and engineering performance. The next sophistication lies within the way buildings are adapted to an understanding of a-seismic technology, again very sophisticated techniques evolved, especially in Asia, concentric horizontal ringbeams of different organic materials and so on. This also requires rigorous research, which is still in its infancy. Mechanically the other vital research that is not done is an examination of historic repair techniques, which I have often

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observed and used in modern conservation. We tend to rely on modern engineering solutions to repair and retrofit, but ignore three millennia of historic examples gained from empirical development appropriate to local conditions and even local climate changes in the past. I could go on and on!

3. Drawing on your own experience, what type of action would you suggest addressing to ensure the preservation of earth structures by the local community, or national or international institutions? Education in the fact that earth structures within local communities all contain features of local technology that represent a rich archive of local achievement and contribution to understanding of the development of technologies by humankind. That these technologies are of universal value and matter in some way to the archive of architecture.

4. Do you feel there has been, by national and international institutions, more commitment towards awareness of the earth heritage protection? To what extent? Not really, there is a lot of egotism involved. There is a need for cultural sensitivity, even at village level. Perhaps this is starting now, but it needs to develop.

5. Do you think the earth architecture conservation theory was addressed enough, for an adequate preservation of earth structures? What is missing to be addressed? See above, and there is so much more. Painted surfaces both at a technological level and as a method of prevention of the spread of disease, (well dressing in North Africa, threshold dressing in the Terrai, lime and organic paints in central Asia). Again, we are not even 10% of the way to understanding the enormous sophistication of the evolving historic record.

6. Drawing on your own experience, what would you call adequate methodology and criteria for conservation? In depth understanding of technology, oral history, examination with an open explorative mind, leading to appropriate and sensitive reflections of historic technology in conservation intervention. Each

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village must be dealt with like a new example, we assume too much and apply universal solutions without realising local developments or local solutions to local conditions, geological, climatic, and social.

7. What are the criteria when deciding what should be conserved from what should be consolidated or not be subject to intervention? Topic of another book Mariana. Uniqueness and contribution to the international historic archive. Few people look hard enough at earth structures to even be qualified to make such judgements!

8. What are the main reasons contributing to failure during conservation practice? Arrogance, search for universal solutions, lack of analysis and study, lack of appreciation of the sophistication of techniques evolving over time, lack of communication with those few local people who remember, lack of folklorific research… lack ad nauseam!

9. What are the main weaknesses addressing conservation projects and methodological approach? Looking for one technique to solve all problems. - Would you prefer to keep this survey anonymous?

YES

- If no, would you agree to be quoted?

YES

-

NO

X

NO

Please give your name and post?

John Hurd. International conservation director, Global Heritage Fund. President ICOMOS ISC Earthen architectural Heritage. President ICOMOS Advisory Board. Consultant

X

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Thank you very much for your time and honesty in answering the questions.

APPENDIX VIII INTERNATIONAL KEY-EXPERTS QUESTIONNAIRE RESPONSES

16 coded questionnaires responses are presented. Four contributions were removed from experts that requested that their response should not be published.

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APPENDIX IX SELECTED PHOTOS OF THE VISIT TO THE 3 CASE STUDIES 1. Chan Chan site 2. Aït Ben Haddou site 3.Arg-e Bam site

Conservation in Earthen Heritage

379



380

Appendix IX

Conservation in Earthen Heritage

381

APPENDIX X SHEET DISPLAY DIAGRAMS

Addressing Research Objective 1 Addressing Research Objective 2 Addressing Research Objective 3 Addressing Research Objective 4

Conservation in Earthen Heritage

383

384

Appendix X

Conservation in Earthen Heritage

385

386

Appendix X

Conservation in Earthen Heritage

387

SHEET DISPLAY DIAGRAM 1 RESEARCH OBJECTIVE 1 (RO1) To identify reasons for failure in earthen heritage conservation Question 8 Which are the main reasons contributing to failure during conservation practice? Question 9 Which are the main weaknesses addressing conservation projects and methodological approach? SHEET DISPLAY DIAGRAM 1 Research Objective 1 – RO1

REASONS FOR FAILURE – RESPONSIBILITIES

REASONS FOR FAILURE – INTERPRETATIONS

a) Unknown definitions a) Inefficiency b) Misconceived concepts b) Lack of follow-up and maintenance

c) Mixed interpretation

c) Inadequate choices d) Lack of preparation e) Unprofessional practices

REASONS FOR FAILURE – LACK OF KNOWLEDGE

a) Lack of knowledge b) Lack of appreciation FAILURE IN PLANNING

f) Roles REASONS FOR FAILURE – POLITICS GAPS & THREATS

a) Process b) Lack of clear strategies

a) Politics c) Limited approach

a) Gaps b) Threats

REASONS FOR FAILURE – PHYSICAL CONDITION

d) Lack of action

a) Physical condition

e) Bad management

Network diagram of research objective 1

GAPS & THREATS GAPS C2

(code 2)

–

C538

(code 538) –

Effective combination between theory and practice. Q5a-i1, Q5a-i4, Q5a-i16, Q8-i12, Q2-i12 Other disciplines are advancing faster than earthen architecture that is still not recognized as a discipline of study. Q4-i5

388

Appendix X

C547

(code 547) –

C559

(code 559) –

There is still the idea that there is no value to earth; it is still associated to underdevelopment (earthen architecture can always be ‘rebuilt’). Q4-i2, Q4-i14 The lack of attention to earthen architecture, LWLVVWLOOUHÀHFWHGRQWKHW\SHRIµSUHVHUYDWLRQ policies that affect vernacular and earthen heritage places’. Q4-i2

THREATS C54

(code 54)

–

C78

(code 78)

–

C88

(code 88)

–

C104

(code 104) –

C106 C109

(code 106) – (code 109) –

C111

(code 111)

C112

(code 112) –

C113

(code 113) –

C466

(code 466) –

–

Lack of realism when preparing the project. Q8-i4, Incorrect restorations, will change drastically the balanced conditions of heritage. Q8-i14, To treat traditional earth buildings as contemporary buildings. Q8-i19, The too fast development of the tourist industry. Q9-i9, The type of contract. Q9-i11, The velocity to carry out conservation projects and interventions. Q9-i14, Q9-i17, To create a certain image on the restored asset, related to the ‘use’ that one wants to give. Q9i14, To give priority to tourism, as the main reason for heritage. Q9-i14, Prioritization of tourism created too much damage and excess, which at present, becomes GLI¿FXOWWRUHYHUW4L One of the threats faced by earthen heritage conservation is the lost of the notion for the variables that affect a site and to address possible solutions. Q2-i14, Q2-i16

Conservation in Earthen Heritage

389

REASONS FOR FAILURE – RESPONSIBILITIES INEFFICIENCY C50

(code 50)

-

There should be a more interdisciplinary team involvement in conservation (beside architects, also engineers, chemistry professionals, biologists, archaeologists, etc.). Q8-i3, Q8-i16, Q9-i5, Q9-i16, Q6-i5, Q6-i20, Q1-i10, Q2-i16 C70 (code 70) - Lack of communication between those deciding and those using the sites. Q8-i13, Q9-i17, Q2-i15, Q2-i16 C96 (code 96) - /DFN RI VXI¿FLHQW LQIRUPDWLRQ IRU LQIRUPHG decision-making. Q9-i2, Q9-i12, Q9-i17, C105 (code 105) - Lack of striking arguments from site coordinators to defend earthen sites from politician attacks Q9-i10, C122 (code 122) - ,QHI¿FLHQW FKRLFH IRU VLWH FRQVHUYDWLRQ coordinators of architects and technicians. Q9i17, C124 (code 124) - Lack of implementation of management plans is due to architects and technicians. Q9-i17, C126 (code 126) - Not enough care for methodology in conservation projects. Q9-i19 C127 (code 127) - Lack of control for the overall conservation project and methodological approach. Q9-i19 C128 (code 128) - Lack of involvement of specialists from the project. Q9-i19, Q9-i20 C129( code 129) - Architects do not inter-act with population when creating the plans; architects send plans to the site, and blame the population for not respecting his/hers ideas. Q9-i17, Lack of follow-up and maintenance C39 (code 39) - To address continued maintenance and its understanding; Q5b-i20, Q8-i20, Q9-i19, Q6i8, Q6-i12, Q6-i18, Q7-i12, Q7-i14, Q7-i15, Q7-i17,

390

Appendix X

C60

(code 60)

-

C63 C87

(code 63) (code 87)

-

C245

(code 245)

-

C313

(code 313)

-

Inadequate choices C21 (code 21)

-

C40

(code 40)

-

C41

(code 41)

-

C42

(code 42)

-

C48

(code 48)

-

After the conclusion of the conservation intervention is complete, maintenance has to involve local communities in daily and continuous management (it is their present and future). Q8-i8, Q6-i8, Q7-i15, Q7-i17, Q2-i9, Q2-i10, Q2-i13, Q3-i8, Q3-i14, Q3i17, Q3-i19 Lack of routine vigilance. Q8-i9, General need of monitoring and follow-up of the structure and site. Q8-i18, Q9-i2, Q9-i10, Q9-i18, Q6-i20, Q2-i3, Q2-i17, Q2-i20 After maintenance plan implementation, there is the need for follow-up and monitoring; Q8i18, Q9-i2, Q9-i10, Q9-i18, Q6-i20, Q2-i3, Q2-i17, Q2-i20 To address a careful monitoring of buildings. Q8-i18, Q9-i2, Q9-i10, Q9-i18, Q6-i20, Q1i14, Q2-i3, Q2-i17, Q2-i20 There is a tendency to apply stone conservation theory to the earthen conservation context. Q5-i8 Inadequate choice of criteria in intervention. Q8-i1, Q9-i1, Incompatible and inappropriate selection and use of materials for conservation intervention (cement mortars, structural consolidation with reinforced concrete, industrial additives, stiffening methods). Q8-i1, Q8-i4, Q8-i5, Q8i9, Q8-i14, Q8-i19, Q8-i20, Q9-i5, Inadequate and incompatible choice of technique for conservation intervention. Q8i1, Q8-i4, Q8-i9, Q8-i20 The use of synthetic materials that are not always tested through research programs. Q8i3

Conservation in Earthen Heritage

C49

(code 49)

-

C61

(code 61)

-

C62

(code 62)

-

C68

(code 68)

-

C75

(code 75)

-

Lack of preparation C51 (code 51)

-

C54

(code 54)

-

C76

(code 76)

-

C77

(code 77)

-

C126

(code 126)

-

391

The use of materials by professionals that do not always know all their properties. Q8-i3, Q8-i14, The large use of incompatible chemical products for treatments. Q8-i8, It is not advisable to use chemical products because of economical and cultural reasons. Q8-i8, Search for universal solutions (one technique to solve all problems). Q8-i13, Q9-i13 Errors in mounting the building elements (too low basements, little cure in angles, little care in water drainage, use of waterproof painting, etc.) Q8-i19, There are just a few technical schools, that prepare professionals for conservation. Q8-i3, Lack of realism when preparing the project. Q8-i4, Lack of a full project diagnosis and analysis(analysis, research, document and study), before practice. Q8-i13, Q8-i15, Q8i16, Q9-i16 If there is no preparation, even the “bestintentioned and well funded efforts are likely to fail.” Q8-i15, Not enough care for methodology of conservation projects. Q9-i19

Unprofessional practices C18

(code 18)

-

C65

(code 65)

-

There is too much improvisation in the real world. Q5-i5, The dramatic existence of incompetence/lack of professional knowledge. Q8-i9, Q8-i10, Q8-i11, Q9-i9, Q9-i17

392

Appendix X

C66

(code 66)

-

C67

(code 67)

-

C70

(code 70)

-

C83

(code 83)

-

C86

(code 86)

-

C92

(code 92)

-

C100 C124

(code 100) (code 124)

-

C126

(code 126)

-

C128

(code 128)

-

C129

(code 129)

-

Roles C118

(code 118)

-

1HHG RI VSHFLDOL]HG IRUPDWLRQ TXDOL¿HG professionals) / know-how on earthen architecture. Q5b-i19, Q8-i10, Q8-i11, Q7i13, Q1-i19, Q2-i3, Q2-i4, Q2-i9, Q2-i20 $UURJDQFH FRQVHUYDWRUV DUH RYHUFRQ¿GHQW  Q8-i13, Q9-i2, Q2-i16, Q4-i3 Lack of communication between those deciding and those using the sites. Q8-i13, Q9-i17, Q2-i15, Q2-i16 A lack of balanced approach, both technically and with community involvement. Q8-i17, 1RW UHVSRQGLQJ WR VSHFL¿F FDXVH DQG HIIHFW relationships. Q8-i18, Q9-i18 9DOXHVRIVLJQL¿FDQFHDUHRQO\UHFRJQL]HGDQG prioritized “by heritage professionals, not by a wide range of social actors”. Q9-i2, Bad craftsmanship. Q9-i5, Lack of implementation of plans is due to architects, as they do not inter-act with population when creating the plans; architects send plans to the site, and blame the population for not respecting to his/hers ideas. Q9-i17, Not enough care for methodology of conservation projects. Q9-i19 Lack of involvement of specialists from the project. Q9-i19, Q9-i20 Architects do not inter-act with population when creating the plans; architects send plans to the site, and blame the population for not respecting his/hers ideas. Q9-i17, The role of the international expert is to inspire action, provide advice and capacity building. Q9-i15, Q2-i12, Q2-i15, Q3-i16

Conservation in Earthen Heritage

C123

(code 123)

-

C129

(code 129)

-

C115

(code 115)

-

C116

(code 116)

-

C400

(code 400)

-

393

Role of architects and technicians (that are not trained with facilitator skills to handle social issues). Q9-i17, Architects do not inter-act with population when creating the plans; architects send plans to the site, and blame the population for not respecting his/hers ideas. Q9-i17, International experts cannot impose their own values to other societies. Q9-i15, Governments cannot impose their own values to other societies. Q9-i15 In several sites there is role confusion, as there is lack of responsibilities between government, stakeholders and population. Q1-i17

REASONS FOR FAILURE - INTERPRETATIONS MISCONCEIVED CONCEPTS C88 C90 C93

C101

(code 88)

– To treat traditional earth buildings as contemporary buildings. Q8-i19, (code 90) – Methodological approach to conservation projects is a more established area. Q9-i1, (code 93) – ‘Documentation, recording and management planning, it is considered an end product and not a mean to an end.’ Q9-i2, (code 101) – The fascination of researchers by earthen conservation, as the reproduction of the constructive system becomes the end of doing conservation, instead of trying just to conserve (consolidate) the original existing material. Q9-i6,

MIXED INTERPRETATION C4

(code 4)

C37

(code 37)

– Mixed interpretation between conservation and reconstruction. Q5a-i1, Q5a-i17, Q9-i6, Q2-i1, – Conservation practitioners believe they do correct conservation, for the fact they apply traditional techniques. Q5b-i1, Q5b-i17, Q8i18, Q9-i18, Q6-i8, Q1-i5, Q1-i8, Q2-i12

394

C52

Appendix X

(code 52)

– Mixture of interpretation between conservation practice, conservation project and methodological approach. Q8-i4, Q8-i5, Q8-i7, Q8-i8, Q8-i11, Q9-i3, Q9-i4, Q9-i5, Q9-i6, Q9-i7, Q9-i8, Q9-i10, Q9-i11, Q9-i13, Q9-i18, Q6-i13, Q6-i17, Q6-i18, Q7-i5

PERSPECTIVES C62

C74

C90 C120

(code 62)

– It is not advisable to use chemical products because of economical and cultural reasons. Q8-i8, (code 74) – High quantity of available data in an international level, concerning conservation and restoration. Q8-i14, (code 90) – Methodological approach to conservation intervention is a more established area. Q9-i1, (code 120) – Inexistence of methodology in conservation projects. Q9-i16,

UNKNOWN DEFINITIONS C98

C103

– 3HRSOH GR QRW NQRZ KRZ LV GH¿QHG D methodological approach for conservation intervention (they answer with other type of data or with none). Q9-i3, Q9-i4, Q9-i5, Q9i7, Q9-i8, Q9-i10, Q9-i11, Q9-i13, Q9-i19 (code 103) – 3HRSOHGRQRWNQRZWKHGH¿QLWLRQEHWZHHQWKH different plans (management / master / etc.). (Even site coordinators do not know) Q9-i9, Q9-i10 (code 98)

REASONS FOR FAILURE – LACK OF KNOWLEDGE LACK OF KNOWLEDGE AND APPRECIATION C6

(code 6)

–

Lack of knowledge on how really to intervene on the conservation of earthen architecture. Q5b-i1, Q8-i10, Q8-i12, Q7-i13,

Conservation in Earthen Heritage

C43

(code 43)

–

C48

(code 48)

–

C49

(code 49)

–

C53

(code 53)

–

C55

(code 55)

–

C56

(code 56)

–

C64

(code 64)

–

C66

(code 66)

–

C71 C72

(code 71) (code 72)

– –

C73

(code 73)

–

C69

(code 69)

–

C71

(code 71)

–

C91

(code 91)

–

395

Lack of knowledge, experience and expertise on earth conservation practice. Q8-i1, Q8-i3, Q8-i4, Q8-i6, Q8-i9, Q8-i10, Q8-i12, Q9-i5, Q9-i17 The use of synthetic materials that are not always tested through research programs. Q8-i3 The use of materials by professionals that do not always know all their properties. Q8-i3, Q8-i14, ,QVXI¿FLHQW NQRZOHGJH DQG H[SHULHQFH analysis and study in earth conservation project. Q8-i3, Q8-i13, Q8-i15, Q9-i12, Lack of knowledge concerning human resources needed. Q8-i4, /DFN RI NQRZOHGJH FRQFHUQLQJ ¿QDQFLDO resources needed. Q8-i4, Lack of knowledge in conservation management. Q8-i9, 1HHG RI VSHFLDOL]HG IRUPDWLRQ TXDOL¿HG professionals) / know-how on earthen architecture. Q5b-i19, Q8-i10, Q8-i11, Q7i13, Q1-i19, Q2-i3, Q2-i4, Q2-i9, Q2-i20 Lack of research in tradition. Q8-i13, /DFNRINQRZOHGJHFRQFHUQLQJWKHVSHFL¿FLW\ of clay behaviour, with respect to other constructive materials. Q8-i14, Lack of information concerning physicchemical compatibility of materials. Q8-i14 Lack of appreciation for the sophistication of vernacular building materials and techniques evolving over time. Q8-i13, Q2-i13, Q4-i8 Lack of folklore research (research concerning tradition). Q8-i13, µ/DFN RI XQGHUVWDQGLQJ RI VLJQL¿FDQFH¶ 4 i2,

396

Appendix X

REASONS FOR FAILURE - POLITICS POLITICS C89

(code 89)

–

C105

(code 105) –

C116

(code 116) –

C125

(code 125) –

Lack of support of decision-makers (politicians and heritage institutions). Q8-i20, Q9-i19 Lack of striking arguments from site coordinators to defend earthen sites from politician attacks. Q9-i10, Governments cannot impose their own values to other societies. Q9-i15, Conservation has to be part of the political agenda (as that will bring more resources, more interlocutors, higher care of methodology, control of the project, etc). Q9-i19

REASONS FOR FAILURE – PHYSICAL CONDITION PHYSICAL CONDITION C183

(code 183) –

C373

(code 373) –

C388

(code 388) –

C391

(code 391) –

C82

(code 82)

–

Earthen architecture is constituted by a more vulnerable material. Q6-i6, Q6-i14, Q7-i17, Q2-i10 Failure can be due to violent weather conditions. Q1-i13 Failure can be due to isolated sites, with far access. Q1-i16 Failure can be due to lack of spatial use, in case of rehabilitation and regeneration. Q1i16, Q2-i15 The approach to the building, as a unique asset, without taking into consideration environmental dynamic forces and climate change. Q8-i16,

OPPORTUNITIES

COMMUNITY AND STAKEHOLDERS INVOLVEMENT C58

(code 58)

–

If conservation practice does not involve local communities participation (+ stakeholders). Q8-i8, Q8-i13, Q8-i17, Q8-i20, Q9-i9

Conservation in Earthen Heritage

C60

(code 60)

–

C83

(code 83)

–

C102

(code 102) –

C506

(code 506) –

397

After the conclusion of the conservation intervention is complete, maintenance has to involve local communities in daily and continuous management (it is their present and future). Q8-i8, Q6-i8, Q7-i15, Q7-i17, Q2-i9, Q2-i10, Q2-i13, Q3-i8, Q3-i14, Q3-i17, Q3-i19 A lack of balanced approach, both technically and with community involvement Q8-i17, Need for a collective work (including VWDNHKROGHUV  GH¿QLQJ DQG LPSOHPHQWLQJ master / management plans. Q9-i9, Q9-i17, Q2-i9 Failure can be related with the fact that most of the times interventions are done without the knowledge and involvement of the community. Q3-i3, Q3-i8, Q3-i14, Q3-i17, Q4-i3

PLANNING PROCESS C59

(code 59)

–

C70

(code 70)

–

C80

(code 80)

–

C81

(code 81)

–

C84

(code 84)

–

C128

(code 128) –

STRATEGIES

If conservation practice is not sustainable. Q8i6, Lack of communication between those deciding and those using the sites. Q8-i13, Q9-i17, Q2-i15, Q2-i16 There will always be multiple approaches to conservation, subjected to criticism Q8-i16, The inclusion of modern facilities in earthen buildings (e.g. bathrooms) will lead to the appearance of condensations originated by water vapour from showers. Q8-i16, Need of a consistent conservation approach. Q8-i18, Q9-i18, Q6-i17 Lack of involvement of specialists from the project. Q9-i19, Q9-i20

398

Appendix X

C44

(code 44)

–

C45

(code 45)

–

C46

(code 46)

–

C47

(code 47)

–

C57

(code 57)

–

C79

(code 79)

–

C97

(code 97)

–

C107

(code 107) –

C108

(code 108) –

C481

(code 481) –

3HRSOHGH¿QHVWUDWHJLHVWKDWDUHQRWUHVSRQVLYH (approachable). Q8-i2 3HRSOHGH¿QHVWUDWHJLHVWKDWDUHQRWDGHTXDWH to local conditions and contexts. Q8-i2 3HRSOH GH¿QH VWUDWHJLHV WKDW DUH QRW HI¿FLHQW or sustainable, in the long term. Q8-i2 3HRSOH GH¿QH VWUDWHJLHV WKDW KDYH QRW EHHQ appropriated by local practitioners. Q8-i2 ,WLVYHU\GLI¿FXOWWREHVXFFHVVIXOLQHDUWKHQ conservation practice, but we should keep trying with more expertise. Q8-i6, Economic development has to go hand-inhand with conservation or abandonment will be the result and efforts are wasted. Q8-i14, Q8-i15, Q6-i13, Q6-i15 Use of monitoring results effectively to assess courses of action. Q9-i2, The separation between objectives, priorities, procedures. Q9-i14, The different objectives, priorities, procedural approaches addressed by archaeologists, heritage managers and conservators. Q9-i14, For strategies to work, it is fundamental to integrate site experts that have a more empirical approach, with restoration or conservation theory experts, which will avoid failure. Q2-i16

METHODS C94

(code 94)

–

C95

(code 95)

–

C114

(code 114) –

Need for “systematic and holistic approaches.” Q9-i2, Q2-i2, To include in the approach, all levels and factors related to the social and natural context WKDW FDQ LQÀXHQFH WKH FRQGLWLRQV RI WKH VLWH Q9-i2, A top-down approach. Q9-i15,

Conservation in Earthen Heritage

C119

(code 119) –

C126

(code 126) –

C127

(code 127) –

399

Project programs have to be embraced from all levels (bottom-up and top-down approach). Q9-i15, Q2-i15 Not enough care for methodology of conservation projects. Q9-i19 Lack of control for the overall conservation project and methodological approach. Q9-i19

ACTIONS C8

(code 8)

–

C39

(code 39)

–

C99 C118

(code 99) – (code 118) –

During intervention, conservation practitioners should always re-address and re-evaluate, to put it to proof (to validate it). Q5b-i1, Q8-i18, Q9-i2, Q9-i18, Q6-i18 To address continued maintenance and its understanding; Q5b-i20, Q8-i20, Q9-i19, Q6i8, Q6-i12, Q6-i18, Q7-i12, Q7-i14, Q7-i15, Q7-i17, Lack of initiative (activity). Q9-i15, The role of the international expert is to inspire action, provide advice and capacity building. Q9-i15, Q2-i12, Q2-i15, Q3-i16

MANAGEMENT AND IMPLEMENTATION C64

(code 64)

–

C93

(code 93)

–

C102

(code 102) –

C110

(code 110) –

C121 C124

(code 121) – (code 124) –

Lack of knowledge in conservation management. Q8-i9, “Documentation, recording and management planning, it is considered an end product and not a mean to an end.” Q9-i2, Need for a collective work (including VWDNHKROGHUV  GH¿QLQJ DQG LPSOHPHQWLQJ master / management plans. Q9-i9, Q9-i17, Q2-i9 The disconnection between conservation and management use. Q9-i14, Lack of management plans. Q9-i17, Lack of implementation of management plans is due to architects and technicians. Q9-i17

400

Appendix X

SHEET DISPLAY DIAGRAM 2 RESEARCH OBJECTIVE 2 (RO2) To recognize criteria for intervention in earthen architecture conservation Question 6 Drawing on your own experience, what would you call adequate methodology and criteria for conservation? Question 7 Which are the criteria when deciding: what should be conserved, from what should be consolidated or not be subject to intervention? SHEET DISPLAY DIAGRAM 2 (Research Objective 2 – RO2)

INDICATORS OF QUALITY

a) Conservation principles driven process b) Value-driven process c) Interdisciplinary driven process d) Community participatory process

NEEDS

METHODOLOGY

CRITERIA

THREATS

a) Needs

a) Methodology Framework

a) Criteria Framework

a) Threats

b) Methodology key-components

b) Key-criteria

INDICATORS OF BEST PRACTICES

a) Balanced approach f) Consistency b) Capacity building g) Economic sustainability c) Collaboration h) Expertise d) Commitment i) Holistic approach e) Communication j) Long term approach

k) Respectful practice l) Social aspects m) Systematic approach

Network diagram of research objective 2.

NEEDS C201

(code 201) -

C206

(code 206) -

C220

(code 220) -

C268

(code 268) -

Action should primarily be address towards priorities. Q6-i4, Q6-i10, Q7-i16, Q2-i4, Q2-i12 7KH GH¿QLWLRQ RI FULWHULD ZLOO KHOS LGHQWLI\ what to preserve on the sites. Q6-i4, Adequate methodology has to be more clearly GH¿QHGLQHDUWKHQDUFKLWHFWXUH4L Conservation should concentrate on the survival of the different components of the structure. Q7-i5,

Conservation in Earthen Heritage

C301

(code 301) -

C551

(code 551) -

401

To better address conservation theory in the HDUWKHQ DUFKLWHFWXUH ¿HOG ZLOO KHOS GH¿QH priorities of conservation for the project of intervention. Q7-i16 ‘Criteria for evaluation of international VLJQL¿FDQFHE\WKH:RUOG+HULWDJH&HQWUHDUH not consistent with the values and the reality of earthen architecture.’ Q4-i18

METHODOLOGY

METHODOLOGY FRAMEWORK C130

(code 130) -

C131

(code 131) -

C132

(code 132) -

C133

(code 133) -

C164

(code 164) -

C208

(code 208) -

C210

(code 210) -

International experts do know the meaning of methodology for conservation. International experts do not really know the meaning of methodology for conservation (they answer with other data). Q6-i3, Q6-i4, Q6-i5, Q6-i6, Q6-i7, Q6-i8, Q6-i9, Q6-i10, Q6-i11, Q6-i13, Q6-i16, Q6-i17, Q6-i18, Q6i19, The methodology for monumental buildings has been more developed. Q6-i1, Q6-i1, Q6i2, Q6-i12, Q6-i14, Q6-i18, Q6-i20, Not clear understanding of the differences between methodology and criteria for intervention. Q6-i2, Q6-i3, Q6-i4, Q6-i5, Q6i6, Q6-i7, Q6-i8, Q6-i9, Q6-i10, Q6-i11, Q6i13, Q6-i14, Q6-i15, Q6-i16, Q6-i17, Q6-i18, Q6-i19, Q6-i20, Q7-i5, The same methodology is followed in all type of structures (any conservation process shares the same underlying principles). Q6-i2, Q6-i6, Q6-i12, Adequate methodology varies from case to case. Q6-i5, Q6-i13, Q6-i20, Methodology should adapt to the building WHFKQLTXH DQG LWV XQLTXHQHVV VSHFL¿FLWLHV  Q6-i6, Q6-i9, Q6-i11,

402

Appendix X

C213

(code 213) -

C214

(code 214) -

C234

(code 234) -

C134

(code 134) -

C135

(code 135) -

C136

(code 136) -

C137

(code 137) -

C138

(code 138) -

C139 C140

(code 139) (code 140) -

C141

(code 141) -

C142

(code 142) -

C143

(code 143) -

C144

(code 144) -

C145

(code 145) -

C146

(code 146) -

To consider integrating lab research. Q6-i7, Q2-i5, Q2-i7 Adequate methodology is associated with integrating practical research practical tests). Q6-i7, To consider preventive conservation. Q6-i17, Q6-i18, Q2-i9, Q3-i4, Q3-i6 To address historical building/site studies; Q6i1, Q6-i12, Q6-i13, Q6-i14, Q6-i15, To address context study of the surroundings; Q6-i1, Q6-i2, Q6-i12, Q6-i13, To address socio-cultural study; Q6-i1, Q6i15, To address functional (use) study; Q6-i1, Q1i16, Q2-i3, Q2-i15 To address detailed metric survey; Q6-i1, Q6i14, To address archaeological excavation; Q6-i1, 7R DGGUHVV VWUDWL¿FDWLRQ VWXG\ RI KLVWRULFDO architectonic levels; Q6-i1, Q7-i8, Q2-i6 Study and test of materials (including laboratory analysis); Q6-i1, Q6-i19, Q2-i5, Q2-i7, Q3-i3 Study of the constructive techniques(the way it is used); Q6-i1, Q6-i19, To address the analysis of the condition/ deterioration: material pathologies; Q6-i1, Q6-i2, Q6-i12, Q6-i14, Q6-i18, Q2-i6, Q2-i9, Q2-i10 Study of the condition/deterioration: structural pathologies; Q6-i1, Q6-i2, Q6-i12, Q6-i14, Q6-i18, To address other studies (local know-how); Q6-i1, Q6-i8, Q6-i14, Q6-i19, Q7-i15, 7RDGGUHVVVSHFL¿FLQGHSWKDQDO\VLVIRUHDFK case; Q6-i1, Q6-i13, Q2-i9

Conservation in Earthen Heritage

C165

(code 165) -

C171 C172

(code 171) (code 172) -

C173

(code 173) -

C204

(code 204) -

C229

(code 229) -

C230

(code 230) -

C231

(code 231) -

C237

(code 237) -

C242

(code 242) -

C243

(code 243) -

C244

(code 244) -

C245

(code 245) -

403

7RVWXG\WKHVLJQL¿FDQFHRIWKHVWUXFWXUHDQG site; Q6-i2, Q6-i4, Q6-i11, Q6-i12, Q6-i18, Q6-i20, Q1-i18, Q3-i2, Q3-i4 To address registration; Q6-i14, Collection of preliminary documentation for better understanding; Q6-i1, Q6-i2, Q6-i12, Q6-i14, Q6-i15, Q6-i20, Q1-i18, To address monitoring conditions of equilibrium; Q6-i14, Technical diagnosis of the site/object (following the condition analysis); Q6-i4, 7R FROOHFW WKH FRPPXQLW\ VLJQL¿FDQFH IRU WKH site. Q6-i15, Q7-i10, Q7-i15, Q7-i17, Q7-i20 To collect government policies for the site. Q6-i15, To collect all the information concerning availability of funding. Q6-i15, Q6-i17, ,GHQWL¿FDWLRQ RI FRQGLWLRQV LQWULQVLF DQG extrinsic) affecting the site; Q6-i18, Q1-i18, Planning through programmes (after collecting and analysing the documentation). Q6-i20, Q1-i18, Addressing implementation after planning; Q6-i20, Q1-i18, Q2-i9 After implementation of conservation approach, to include a maintenance plan; Q6i20, Q2-i3, Q2-i20, Q3-i2, Q3-i20 After maintenance plan implementation, there is the need for follow-up and monitoring; Q8i18, Q9-i2, Q9-i10, Q9-i18, Q6-i20, Q2-i3, Q2-i17, Q2-i20

404

Appendix X

CRITERIA

CRITERIA FRAMEWORK C195

(code 195) -

C207

(code 207) -

C211

(code 211) -

C221

(code 221) -

C223

(code 223) -

C273

(code 273) -

C277

(code 277) -

C285

(code 285) -

C304

(code 304) -

On the conservation process, fundamental and objective principles (criteria) should be LGHQWL¿HGVRZHFDQDGHTXDWHO\UHVSRQGWRLW Q6-i2, Q7-i18, There is no universal rule (criteria varies GHSHQGLQJ RQ WKH VLWH ± LW LV VSHFL¿F WR HDFK site). Q6-i4, Q6-i9, Q6-i13, Q7-i1, Q7-i2, Q7i4, Q7-i10, Q7-i16, Criteria is the same, independently of the type of heritage material (it can vary on the scale level). Q6-i6, Q7-i18, An adequate criterion has to be more clearly GH¿QHGLQWKHHDUWKHQDUFKLWHFWXUH¿HOG4L The most important criteria for earthen architecture conservation is to protect it from men (90% of the damage comes from men). Q6-i10, Q6-i11, Some of the criteria is related with the preservation of the historical site to keep it equal to how it was, as much as possible; Q7i6, 'HFLVLRQVWREHWDNHQFDQGH¿QHFULWHULD4 i1, Q7-i18, Q7-i20, “An objective process for conservation GHFLVLRQV EHJLQV ZLWK WKH LGHQWL¿FDWLRQ RI criteria for evaluation.” Q7-i18, Criteria for intervention should be based on indicators of qualitative order. Q7-i16

KEY-CRITERIA C39

(code 39)

-

To address continued maintenance and its understanding; Q5b-i20, Q8-i20, Q9-i19, Q6i8, Q6-i12, Q6-i18, Q7-i12, Q7-i14, Q7-i15, Q7-i17,

Conservation in Earthen Heritage

C153

(code 153) -

C154

(code 154) -

C155

(code 155) -

C156

(code 156) -

C157

(code 157) -

C158

(code 158) -

C159

(code 159) -

C160 C161

(code 160) (code 161) -

C162

(code 162) -

C163

(code 163) -

C166

(code 166) -

C170

(code 170) -

C205

(code 205) -

C224

(code 224) -

C226

(code 226) -

405

To address compatibility and availability of materials; Q6-i1, Q6-i12, Q6-i14, Q7-i1, Q6i15, Q7-i17, To address structural integrity and compatibility; Q6-i1, Q7-i1, Q7-i6, Q7-i9, To address functional/use compatibility; Q6i1, Q7-i1, Q7-i12 To address authenticity conservation of the historical and material document; Q6-i1, Q7i1, Q7-i6, Q7-i8, Q7-i13, Q7-i16, To address minimum intervention; Q6-i1, Q6i9, Q6-i10, Q6-i14, To address reversibility of the intervention (retreatability); Q6-i1, Q6-i12, Q6-i14, To address differentiation in the intervention; Q6-i1, To address actuality expressiveness; Q6-i1, To address durability of the intervention; Q6i1, To address environmental sustainability; Q6i1, Q3-i11 To address economical sustainability; Q6-i1, Q2-i2, Q2-i8, Q2-i15, Q3-i11, Q3-i14, Q4-i14 To address consideration for maintenance capabilities; Q6-i8, Q6-i12, Q7-i15, Q7-i17, To address Respect for the patina (of time); Q6-i14, Q7-i19, 6WDWHPHQW RI VLJQL¿FDQFHYDOXHV GULYHQ SURFHVV YDOXHV FDQ GH¿QH FULWHULD  4L Q6-i4, Q6-i18, Q7-i2, Q7-i9, Q7-i12, Q7-i17, Q7-i18, Q7-i20, Q1-i18, To consider conditions of the site (pathologies); Q6-i10, Q6-i18, Q7-i6, Q7-i9, Q7-i12, Q7i18, Q1-i18, Q2-i10, Q2-i12, Q2-i13 To address a deep understanding of the historical technology; Q6-i13,

406

Appendix X

C262 C263

(code 262) (code 263) -

C265

(code 265) -

C266

(code 266) -

C274

(code 274) -

C276 C281 C282

(code 276) (code 281) (code 282) -

C283

(code 283) -

C286 C287

(code 286) (code 287) -

C288 C289 C303

(code 288) (code 289) (code 303) -

C305

(code 305) -

To address compatibility of techniques; Q7-i1, To address authenticity conservation of the traditional uniqueness of the object; Q7-i1, Q7-i3, Q7-i13, Q7-i18, 7R DGGUHVV VLJQL¿FDQFH LQ WKH FRPPXQLW\ Q7-i3, Q7-i15, Q7-i17, Q7-i20, To address emergency conservation for the survival of the structure/site (and to set the site in a minimum risk situation); Q7-i5, Q7i6, Q7-i8, Q7-i9, Q2-i9 To try to preserve as much as possible; Q7-i8, Q7-i14, To address context and place; Q7-i1, Q7-i10, To address knowledge of the object; Q7-i12, To address resources availability. Q7-i12, Q1i18, Q1-i19, Q2-i3 To address continued use requirements in the case of living architecture; Q7-i6, Q7-i12, Q7i15, Q1-i16, Q1-i19, Q2-i15 To address accessibility; Q7-i18, To include the Educational value; Q7-i18, Q2i11, Q2-i15, Q2-i18, Q3-i2, Q3-i5, Q3-i9, Q3-i19 To address life safety; Q7-i18, To address threats; Q7-i18, To address balance between historical and aesthetical aspects; Q7-i16 To address aesthetical aspects; Q7-i16

INDICATORS OF BEST PRACTICES BALANCED APPROACH C360

(code 360) -

To address the balance between conservation, management and local sustainable development. Q1-i9, Q2-i2, Q2-i8, Q2-i9, Q3i11

Conservation in Earthen Heritage

C377

(code 377) -

C486

(code 486) -

407

To develop archaeology exploration and conservation work in a parallel level. Q1-i14 Conservation strategies should have a balance approach integrating environment, cultural values, and identity. Q2-i19, Q3-i9, Q3-i19

CAPACITY BUILDING C118

(code 118) -

C444

(code 444) -

C476

(code 476) -

C531

(code 531) -

The role of the international expert is to inspire action, provide advice and capacity building. Q9-i15, Q2-i12, Q2-i15, Q3-i16 To include capacity building as part of a conservation project. Q2-i12, Q2-i15, Q3-i16 The role of experts is to engage capacity building at the grassroots level. Q2-i15, Q3-i16 It is important to better know earthen building techniques and its characteristics to know how to address its preservation. Q4-i1

COLLABORATION C102

(code 102) -

C246

(code 246) -

C247

(code 247) -

C401

(code 401) -

C479

(code 479) -

C544

(code 544) -

Need for a collective work (including VWDNHKROGHUV  GH¿QLQJ DQG LPSOHPHQWLQJ master / management plans. Q9-i9, Q9-i17, Q2-i9 There must be a closer collaboration between national / regional / or local stakeholders. Q6i20, Q1-i5, Q1-i14, Q1-i19, Q1-i20, Q2-i9, Q2-i15, Q3-i18 There must be a closer collaboration between authorities, community and conservators. Q6i20, Q7-i15, Q7-i17, Q7-i20, In several sites there are chaotic results, as there is lack of collaboration between government, stakeholders and population. Q1i17, Q2-i15 Experts should collaborate more among themselves and join efforts. Q2-i16 It is missing a ‘stronger coordination of efforts at the international level’. Q4-i12

408

C550

Appendix X

(code 550) -

There is more involvement, as it can be notice through several universities engagement in research. Q4-i15

COMMITMENT C375

(code 375) -

C549

(code 549) -

Committed involvement of the conservators. Q1-i1, Q1-13, Q1-i19, Q2-i16 There is more involvement, as can be notice by CRATerre commitment. Q4-i15

COMMUNICATION C70

(code 70)

-

C343

(code 343) -

Lack of communication between those deciding and those using the sites. Q8-i13, Q9-i17, Q2-i15, Q2-i16 To implement communication between stakeholders. Q1-i5, Q2-i9, Q2-i15

CONSISTENCY C84

(code 84)

-

C235

(code 235) -

C240

(code 240) -

C409

(code 409) -

C413

(code 413) -

C414

(code 414) -

C415

(code 415) -

C416

(code 416) -

Need of a consistent conservation approach. Q8-i18, Q9-i18, Q6-i17 Intervention has to be consistent with the original fabric. Q6-i17, Consistent approach concerning the program and the personnel is a key to success. Q6-i18 To have consistency during the overall approach (planning, treatment phases, condition of fabric, decision-makers, personnel working on the site and reality of the material availability). Q1-i18, Q2-i8 Involvement and consistency of the decisionmakers. Q1-i18, Q2-i20 Consistency with conservation treatments. Q1-i18, Consistency with personnel working on the site. Q1-i18, Consistency addressing planning process. Q1i18,

Conservation in Earthen Heritage

409

ECONOMICAL SUSTAINABILITY C79

(code 79)

-

C163

(code 163) -

C236

(code 236) -

C282

(code 282) -

C326

(code 326) -

C358

(code 358) -

C378

(code 378) -

C425

(code 425) -

C505

(code 505) -

C509

(code 509) -

Economic development has to go hand-inhand with conservation or abandonment will be the result and efforts are wasted. Q8-i14, Q8-i15, Q6-i13, Q6-i15, To address economical sustainability; Q6-i1, Q2-i2, Q2-i8, Q2-i15, Q3-i11, Q3-i14, Q4-i14 7KH LGHQWL¿FDWLRQ RI DOO YDOXHVVXFK DV architectural, spiritual, emotional, religious, economic, etc.) is fundamental for a successful approach in earthen architecture. Q6-i18 To address resources availability. Q7-i12, Q1i18, Q1-i19, Q2-i3 Financial resources provided from different institutions. Q1-i3, Q1-i4, Q1-i10 )RUDVXFFHVVIXOPDQDJHPHQWSODQGH¿QLWLRQ it is important to have an assessment of all the ORFDOVRFLRHFRQRPLFDOSUR¿WVWDUJHWHGWRWKH community (historic preservation can be one of those). Q1-i9, Q2-i15, Q2-i17, Q3-i2, Q3i11, &DUHIXOO\ XVH RI WKH ¿QDQFLDO UHVRXUFHV 4 i14 Correct heritage interventions create a new market and development initiatives, concerning earth houses and production materials. Q1-i19, Q2-i12, Q2-i15 When the economy of the earthen cities depends on historical tourism, community can be involved in conservation. Q3-i3, Q3-i11 There should be a balance between education and economy addressing preservation of earthen heritage. Q3-i5

EXPERTISE C314

(code 314) -

To have high technical expertise. Q1-i1, Q1i3, Q1-i19

410

C419

Appendix X

(code 419) -

If there is the need to demolish, the decisionPDNHUVVKRXOGKDYHVFLHQWL¿FNQRZOHGJHDQG expertise for a correct approach. Q1-i19

HOLISTIC APPROACH C181

(code 181) -

C182

(code 182) -

C203

(code 203) -

C227

(code 227) -

C306

(code 306) -

To have an integrative approach to earthen architecture, with no predominance of some aspects over others. Q6-i14, Earthen architecture is like an organism, with components and relations that have to be analysed and understood. Q6-i14, Conservation plan methodology should have an approach from the most simple to the most sophisticated. Q6-i4, To examine with open mind, which leads to DSSURSULDWHDQGVHQVLWLYHUHÀHFWLRQV4L Each intervention project has to consider VHYHUDOVSHFL¿FIDFWRUVWKDWDUHUHODWHGDQGFDQ affect the site/structure. Q7-i16

LONG TERM APPROACH C320

(code 320) -

C363

(code 363) -

C364

(code 364) -

C366

(code 366) -

To have long tem impact in conservation practices in the region. Q1-i2, Q1-i4, Q1-i18, Q2-i2 To address long term collaboration. Q1-i10, Q1-i17, Q2-i15, Q2-i17, Q3-i18 To address long term intervention. Q1-i10, Q2-i2, Q2-i17 Long term cultural continuum. Q1-i10, Q2-i2, Q2-i17, Q3-i9, Q4-i13

RESPECTFUL PRACTICE C168

(code 168) -

C294

(code 294) -

C315

(code 315) -

Understanding that any intervention should be approached with humility and respect. Q6-i12 One of the best intervention method approaches is to use the same material and technique respecting the original fabric. Q7i15, Q7-i17 To ensure respect for conservation criteria and standards. Q1-i1, Q3-i17

Conservation in Earthen Heritage

411

SOCIAL ASPECTS C480

(code 480) -

C504

(code 504) -

C515

(code 515) -

C546

(code 546) -

To try to reach a balance between technical vision and social approach. Q2-i16 (DUWKHQ FRQVHUYDWLRQ VKRXOG EHQH¿W VRFLDOV groups. Q3-i2, Q3-i11 To ensure preservation of earthen structures, there should be a balance of social and economical development with health and sustainability. Q3-i11, Q3-i14, Q4-i14 Attention should be redirect to the balance between anthropological approach / social LVVXHVDQGVFLHQWL¿FUHVHDUFK4L4L

SYSTEMATIC APPROACH C94

(code 94)

-

C492

(code 492) -

Need for “systematic and holistic approaches.” Q9-i2, Q2-i2 To include systematic evaluation/assessment of implemented approach. Q2-i17

INDICATORS OF QUALITY

CONSERVATION PRINCIPLES-DRIVEN PROCESS C152

(code 152) -

Criteria for conservation should follow established principles recognized by conservation theory. Q6-i1, Q6-i12, Q7-i16,

VALUE-DRIVEN PROCESS C165

(code 165) -

C205

(code 205) -

7RVWXG\WKHVLJQL¿FDQFHRIWKHVWUXFWXUHDQG site; Q6-i2, Q6-i4, Q6-i11, Q6-i12, Q6-i18, Q6-i20, Q1-i18, Q3-i2, Q3-i4 6WDWHPHQW RI VLJQL¿FDQFHYDOXHV GULYHQ SURFHVV YDOXHV FDQ GH¿QH FULWHULD  4L Q6-i4, Q6-i18, Q7-i2, Q7-i9, Q7-i12, Q7-i17, Q7-i18, Q7-i20, Q1-i18,

412

Appendix X

C269

(code 269) -

C508

(code 508) -

Values driven processes are known preponderantly by academic professionals, VSHFL¿FDOO\ DUFKLWHFWV :KHQ SHRSOH DUH QRW familiar with it, they give importance to the historical or structural survival criteria. Q7-i3, Q7-i5, Q7-i6, Sites should be more valorised, in order for them to be more respected by populations living around it. Q3-i4, Q3-i19, Q4-i1

INTERDISCIPLINARY PROCESS C50

(code 50)

-

C248

(code 248) -

There should be a more interdisciplinary team involvement in conservation (beside architects, also engineers, chemistry professionals, biologists, archaeologists, etc.). Q8-i3, Q8-i16, Q9-i5, Q9-i16, Q6-i5, Q6-i20, Q1-i10, Q2-i16 To address interdisciplinary collaboration. Q6-i20, Q1-i10, Q2-i15, Q2-i16

COMMUNITY PARTICIPATORY PROCESS C58

(code 58)

-

C352

(code 352) -

C354

(code 354) -

To involve local communities’ participation and stakeholders. Q8-i8, Q8-i13, Q8-i17, Q8i20, Q9-i9, Q6-i8, Q6-i15, Q1-i8, Q1-i9, Q1i10, Q1-i17, Q1-i19, Q1-i20, Q2-i9, Q2-i10, Q2-i11, Q2-i13, Q2-i15, Q2-i16, Q3-i8, Q3i9, Q3-i14, Q3-i17, Q3-i19, Q4-i3 To include participation of local communities. Q1-i8, Q1-i9, Q1-i10, Q1-i11, Q1-i13, Q1-i17, Q1-i19, Q2-i4, Q2-i8, Q2-i9, Q2-i11, Q2-i13, Q2-i15, Q2-i16, Q3-i8, Q3-i14, Q3-i17 Implementation of a participatory management planning process. Q1-i9, Q1-i17, Q2-i4, Q2i9, Q2-i11, Q2-i13, Q2-i15, Q2-i16, Q3-i17

Conservation in Earthen Heritage

C357

(code 357) -

413

7KHGH¿QLWLRQRIPDQDJHPHQWSODQVKDVWREH done with the participation of the community Q1-i9, Q2-i11, Q2-i13, Q2-i16, Q3-i2, Q3-i3, Q3-i17

THREATS C6

(code 6)

-

C183

(code 183) -

C185

(code 185) -

C212

(code 212) -

C225

(code 225) -

C255

(code 255) -

C256

(code 256) -

C258

(code 258) -

C259

(code 259) -

Lack of knowledge on how really to intervene on the conservation of earthen architecture. Q5b-i1, Q8-i10, Q8-i12, Q7-i13 Earthen architecture is constituted by a more vulnerable material. Q6-i6, Q6-i14, Q7-i17, Q2-i10 Archaeological excavations should avoid exposing historical materials. Q6-i14, If earthen architecture is unprotected and exposed for a long time to the weather, it becomes more vulnerable. Q6-i6, Q2-i10 A lot of the earthen heritage is being destroyed and substituted. Q6-i11, Conservation professionals can sometimes act incorrectly professionally. Q6-i3, Conservation professionals cannot always count with an interdisciplinary technical support. Q6-i3, Company technicians have little or almost no knowledge of conservation concepts or conservation methodologies. Q6-i3, Building companies consider the conservation work as a contract with dead-lines and costs and not with conceptual responsibilities required by conservation intervention. Q6-i3,

414

Appendix X

C260

(code 260) -

C261

(code 261) -

C284

(code 284) -

Building companies do not have specialists in conservation working fulltime for them; FRQVHUYDWLRQVSHFLDOLVWVDUHKLUHGIRUVSHFL¿F consultation and often their contribution is not taken into account. Q6-i3, Some of the conservation interventions are based in political decisions, which bring short completion dates and lack of conservation expertise. Q6-i3, Lack of interest to conserve earth structures. Q7-i13,

Conservation in Earthen Heritage

415

SHEET DISPLAY DIAGRAM 3 RESEARCH OBJECTIVE 3 (RO3) To identify reasons for failure in earthen heritage conservation Question 5a Do you think earthen architecture conservation theory was addressed enough for an adequate preservation of earthen architecture? Question 5b What is missing (in earthen architecture conservation theory) to be addressed? SHEET DISPLAY DIAGRAM 3 Research Objective 3 – RO3

PRIORITIES CONSERVATION THEORY LACK OF CLARITY

CONSERVATION THEORY CONCEPTUAL APPROACH

a) Unclear concepts

a) Degrees for intervention

b) Conservation framework

b) Conservation principles

c) Need of discussion

c) Specific principles within earthen heritage framework

a) Priorities

d) Recommendations d) Charters e) Conservation theorists f) Conservation literature

ASSESSMENT OF SIGNIFICANCE GAPS AND NEEDS

THREATS

a) Values a) Gaps

a) Threats b) Levels of significance

b) Needs

GAPS & NEEDS GAPS C1

(code 1)

-

C3

(code 3)

-

C15

(code 15)

-

C26

(code 26)

-

Earthen architecture theory of conservation is not enough addressed and it is still under construction. Q5-i1, Q5-i4, Q5-i9, Q5-i10, Q5-i17, Inconsistency between what is advocated and what is proposed. Q5-i1, Q5-i18, Site leaders and managers do not know, in general, which approach to undertake to preserve earthen sites. Q5-i4, Theory of Conservation should be based on the critical analysis of its own history, which still did not happen. Q5-i10

416

C36

Appendix X

(code 36)

-

Lack of connection between research and practice. Q5-i3, Q5-i7, Q5-i13, Q5-i18

C2

(code 2)

-

C13

(code 13)

-

C23

(code 23)

-

C27

(code 27)

-

C29

(code 29)

-

C34

(code 34)

-

Effective combination between theory and practice. Q5a-i1, Q5a-i4, Q5a-i16, Q2-i12 Earthen architecture still needs to develop precise policies. Q5-i2, (DUWKHQDUFKLWHFWXUHKDVDVSHFL¿FµGLVFLSOLQH¶ still does not exist. Q5-i9, Q5-i10, History of earthen architecture was still not written, but there is several isolated papers/ publications. Q5-i10, Missing to be more developed: concepts, criteria, practices; procedures, comprehensive approaches. Q5-i11, Q5-i14, Q5-i18, There should be more discussion about ‘minimum intervention’. Q5-i17,

NEEDS

CONSERVATION THEORY UNCLEARNESS UNCLEAR CONCEPTS C20

(code 20)

-

C191

(code 191) -

C200

(code 200) -

C25

(code 25)

C233

(code 233) -

-

&RQVHUYDWLRQWKHRU\LVFRQIXVHGZLWKVFLHQWL¿F lab tests or research (especially by engineers or material specialists) Q5-i3, Q5-i7, Q5-i13, Q5-i15, Q5-i18 Confusion between concepts like maintenance, reintegration, integration and reconstruction. Q6-i14, Mixed notion of terminology in conservation theory. Q6-i2, Q6-i4, Q6-i5, Q6-i16, There is no earthen architecture conservation theory. Q5-i10, Q5-i14, There is subjectivity related with some terminology (what is adequate for one person, might not be for another). Q6-i16,

CONSERVATION FRAMEWORK C14

(code 14)

-

Earthen architecture theory of conservation should be developed. Q5-i4

Conservation in Earthen Heritage

C32

(code 32)

-

C33

(code 33)

-

C310

(code 310) -

417

Conservation theory should be unique, with ZLGHSULQFLSOHVWR¿WDOOWKHVFDOHVPDWHULDOV and types of built heritage. Q5-i14, &RQVHUYDWLRQ WKHRU\ ZDV VXI¿FLHQWO\ addressed. Q5-i16, &RQVHUYDWLRQLQWHUYHQWLRQVKRXOGEHPRUHÀH[LEOH with earth material than with stone. Q7-i17,

NEED OF DISCUSSION C301

(code 301) -

C11

(code 11)

-

To better address conservation theory in the HDUWKHQ DUFKLWHFWXUH ¿HOG ZLOO KHOS GH¿QH priorities of conservation for the project of intervention. Q7-i16 Existing conservation theory cannot coherently be applied to earth. Q5-i2, Q5-i17

RECOMMENDATIONS AND GUIDELINES C209

(code 209) -

There is no international recommendations for earthen architecture (besides general conservation charters). Q6-i5, Q6-i9,

ASSESSMENT OF SIGNIFICANCE VALUES C170

(code 170) -

C197

(code 197) -

C198

(code 198) -

C265

(code 265) -

C290

(code 290) -

C322

(code 322) -

There should be a respect for the patina (of time); Q6-i14, Q7-i19, Q2-i6, Values can be balanced and prioritized to GH¿QHFOHDUFRXUVHVRIDFWLRQ4L4L Q6-i18, 9DOXHVFDQGH¿QHFRXUVHVRIDFWLRQLQH[LVWLQJ situations and towards a sustainable vision. Q6-i2, 7R DGGUHVV VLJQL¿FDQFH LQ WKH FRPPXQLW\ Q7-i3, Q7-i15, Q7-i17, Q7-i20, Q4-i3 Use of other terms, as ‘spirit’ or ‘soul’, instead RIµYDOXH¶ZKHQDSSURDFKLQJWKHVLJQL¿FDQFH of the object; Q7-i6, Q7-i19, 7RDGGUHVVWKHSUHVHUYDWLRQRIVLJQL¿FDQFHDQG meaning at all levels. Q1-i2, Q2-i18, Q3-i2

418

Appendix X

C407

(code 407) -

C440

(code 440) -

C537

(code 537) -

C555

(code 555) -

9DOXHV DUH LGHQWL¿HG WKURXJK D ORJLFDO evaluation process. Q1-i18, Reconstruction eliminates the patina of time and the beauty and spontaneity of restoration. Q2-i6 There is more ‘recognition and understanding of the importance and awareness’ for the HDUWKHQKHULWDJHVLJQL¿FDQFHDQGIUDJLOLW\4 i12, Q4-i18, Q4-i19 Credit isn’t given to population to discern their own values in what concerns heritage. Q4-i3

LEVELS OF SIGNIFICANCE C236

(code 236) -

C291

(code 291) -

7KH LGHQWL¿FDWLRQ RI DOO YDOXHV VXFK DV architectural, spiritual, emotional, religious, economic, etc.) is fundamental for a successful approach in earthen architecture. Q6-i18, Conserving a structure should not just mean to conserve the material, but should also mean to conserve the other values associated with it (time, historicity, etc.); Q7-i19, Q7-i17

CONSERVATION THEORY CONCEPTUAL APPROACH DEGREES FOR INTERVENTION C292

(code 292) -

C295

(code 295) -

C311

(code 310) -

7KHUHLVQRVHQVHUHWUR¿WWLQJHDUWKVWUXFWXUHV when the original historical buildings are in great part substituted by new components which are in a certain sense creating IDOVL¿FDWLRQV DQG UHFRQVWUXFWLRQV 4L Q2-i1, Q2-i6 In terms of materials for consolidation, it is possible to make discreet improvements using modern materials. Q7-i15 Reconstruction process is part of the authenticity of earthen architecture and decorated earth walls. Q7-i17

Conservation in Earthen Heritage

C348

(code 348) -

C389

(code 389) -

C527

(code 527) -

419

There are several examples of repair with reconstruction in earthen architecture, but very little examples of conservation and restoration. Q1-i6 To relate intervention, with restoration and conservation. Q1-i6, Q1-i16 Consolidation should be done with lime water, ethyl silicate, or earth with lime tighten in layers against the wall, if the crust is lost. Q3-i6

CONSERVATION PRINCIPLES C152

(code 152) -

Criteria for conservation should follow established principles recognized by conservation theory. Q6-i1, Q6-i12, Q7-i16,

AUTHENTICITY C156

(code 156) -

C297

(code 297) -

C309

(code 309) -

To address authenticity conservation of the historical and material document; Q6-i1, Q7i1, Q7-i6, Q7-i8, Q7-i13, Q7-i16, If ancient walls cannot be conserved in the traditional way by maintenance (re-plastering), because they would loose authenticity, then the murals have to be stabilize as they are. Q7-i15 How to know, how far one can interfere to repair a problem, before loosing authenticity of the material. Q7-i15, Q7-i17,

INTEGRITY C154

(code 154) -

C192

(code 192) -

Structural integrity (and compatibility); Q6i1, Q7-i1, Q7-i6, Q7-i9, To survive, traditional building systems need to recuperate their integrity in conservation. Q6-i14,

MINIMUM INTERVENTION C157

(code 157) -

To address minimum intervention; Q6-i1, Q6i9, Q6-i10, Q6-i14,

420

Appendix X

C222

(code 222) -

C267

(code 267) -

C270

(code 270) -

C271

(code 271) -

Conservation should follow Paul Philippot’s concept: “maximum understanding and minimum intervention.” Q6-i9, Q6-i10, Q6i17, &RQVHUYDWLRQLQWHUYHQWLRQVKRXOG¿UVWDGGUHVV foundation and roof, and then repair of cracks and the other structural problems. Q7-i5, To slow the degradation of a site can be enough to conserve the value of the fabric and its age. Q7-i6, Conservation intervention do not always mean a vast project; it can also imply just to stop or reduce the process of degradation. Q7-i6,

UNITY C280

(code 280) -

It is important to re-establish the unity of the heritage object. Q6-i14, Q7-i11,

SPECIFIC PRINCIPLES WITHIN EARTHEN HERITAGE FRAMEWORK COMPATIBILITY C153

(code 153) -

C154

(code 154) -

C155 C189

(code 155) (code 189) -

C262

(code 262) -

Compatibility and availability of materials; Q6-i1, Q6-i12, Q6-i14, Q7-i1, Q6-i15, Q7-i17, (Structural integrity) and compatibility; Q6i1, Q7-i1, Q7-i6, Q7-i9, Functional/use compatibility; Q6-i1, Q7-i1, The compatibility of traditional materials is a key piece to understand components and relations in earthen architecture. Q6-i8, Q6i14, Q7-i17, Compatibility of techniques; Q7-i1,

CONTINUITY C361

(code 361) -

C366

(code 366) -

The continuity of the local earthen building culture in new housing. Q1-i9 Long term cultural continuum. Q1-i10, Q2-i2, Q2-i17, Q3-i9, Q4-i13

Conservation in Earthen Heritage

421

UNIQUENESS C210

(code 210) -

C263

(code 263) -

Methodology should adapt to the building WHFKQLTXH DQG LWV XQLTXHQHVV VSHFL¿FLWLHV  Q6-i6, Q6-i9, Q6-i11, Authenticity conservation of the traditional uniqueness of the object; Q7-i1, Q7-i3, Q7i13, Q7-i18

CHARTERS C279

(code 279) -

&ULWHULD FDQ EH GH¿QHG E\ LQWHUQDWLRQDO charters, but charters are also frequently reviewed; Q7-i10

CONSERVATION THEORISTS C222

(code 222) -

C300

(code 300) -

Conservation should follow Paul Philippot’s concept: “maximum understanding and minimum intervention.” Q6-i9, Q6-i10, Q6i17, It is fundamental for conservation theory &HVDUL %UDQGL UHÀHFWLRQV FRQFHUQLQJ WKH balance between the historical and the aesthetic aspects. Q7-i16

CONSERVATION LITERATURE C74

(code 74)

-

High quantity of available data in an international level, concerning conservation and restoration. Q8-i14,

-

Conservation theory was just partially addressed and needs to go further. Q5-i2, Q5i8, Q5-i19 7RVWXG\WKHVLJQL¿FDQFHRIWKHVWUXFWXUHDQG site; Q6-i2, Q6-i4, Q6-i11, Q6-i12, Q6-i18, Q6-i20, Q1-i18, Q3-i2, Q3-i4

PRIORITIES C9

(code 9)

C165

(code 165) -

422

Appendix X

C390

(code 390) -

C521

(code 521) -

The conservator before the intervention, should have a clear understanding of the differences between conservation, restoration, consolidation, rebuilding. Q1-i6, Q1-i16, Q2i1 It is very important to develop guidelines in conservation of earthen heritage. Q3-i18

THREATS C10

(code 10)

-

C16

(code 16)

-

C22

(code 22)

-

C305

(code 305) -

C552

(code 552) -

/DFN RI NQRZOHGJH RI ZKDW LV KRZ LV GH¿QHG  conservation theory. Q5a-i2, Q5a-i3, Q5a-i7, Q5a-i8, Q5a-i11, Q5a-i12, Q5a-i13, Q5a-i15, Q5a-i18, Q5a-i19, Qa5-i20, Q6-i5 7KHUH DUH GLI¿FXOWLHV WR PDWHULDOLVH LQWR SUDFWLFH conservation charter principles. Q5-i4, There is a tendency to apply stone conservation intervention approach to the earthen conservation context (when the material is very different). Q5-i8, To address the aesthetical aspects of the intervention; Q7-i16, Q3-i6 An Authenticity criterion has often a ‘low score’ or is ignored in many of the earthen sites (especially archaeological sites and city centres), as it is not perceived through the earthen architecture perspective. Q4-i18

Conservation in Earthen Heritage

423

SHEET DISPLAY DIAGRAM 4 RESEARCH OBJECTIVE 4 (RO4) To provide strategies concerning earthen architecture conservation Question 1 Can you refer examples of sites or structures you believe had very positive results concerning their conservation approach? Were those positive results due to any particular situation? Question 2 Drawing on your own experience, what is important to include for the conservation strategies to be more effective in earthen architecture? Question 3 Drawing on your own experience, which type of actions would you suggest addressing, to ensure the preservation of earth structures by the local community, or the national or international institutions? Question 4 Do you feel there has been, by national and international institutions, more commitment towards awareness of the earth heritage protection? To what extend? SHEET DISPLAY DIAGRAM 4 Research Objective 4 - RO4

PRIORITIES AND OBJECTIVES

a) Priorities b) Objectives ACTORS

a) Community

(+Priorities-RO3)

d) Heritage institutions e) Team coordinator f) Stakeholders

a) Environment and context aspects b) Historical substance

PLANNING

GAPS AND NEEDS

a) Gaps

FAILURE

a) Planning

a) Failure of strategies

b) Strategic issues RESEARCH OBJECTIVE 2

c) Best practice conservation cases

b) Conservators and experts c) Government

OPPORTUNITIES

CONSERVATION THEORY SIGNIFICANCE

d) More international engagement

a) Strategies addressing conservat. theory significance

e) Resources

EDUCATION, AWARENESS & RESEARCH

a) Awareness b) Education c) Inventories & terminology THREATS

d) Publications & Dissemination

a) Threats

e) Research

Network diagram of research objective 4

(RO1)

(RO2)

b) Needs (+Gaps -RO1) (+Needs-RO2) (+Gaps&NeedsRO3)

RESEARCH OBJECTIVE 1

RESEARCH OBJECTIVE 3 (RO3)

f) Sustainability g) Use

ANTHROPOLOGICAL CONSERVATION

SCIENTIFICAL CONSERVATION

PREVENTIVE CONSERVATION

a) Anthropological approach b) Craftsmanship c) Cultural and social aspects d) Empirical approach e) Know-how & intangible knowledge f) Tradition

a) Consolidants

a) Maintenance

b) Diagnosis

b) Monitoring and follow-up

c) Physical approach d) Physical condition e) Treatments

c) Continuous management d) Preventive approach

424

Appendix X

ACTORS COMMUNITY C60

(code 60)

-

C174

(code 174) -

C219

(code 219) -

C246

(code 246) -

Q3-i18 C447

(code 447) -

C506

(code 506) -

C525

(code 525) -

After the conclusion of the conservation intervention is complete, maintenance has to involve local communities in daily and continuous management (it is their present and future). Q8-i8, Q6-i8, Q7-i15, Q7-i17, Q2-i9, Q2-i10, Q2-i13, Q3-i8, Q3-i14, Q3-i17, Q3-i19 To give priority to community involvement. Q6-i8, Q6-i14, Q6-i15, Q6-i19, Q6-i20, Q7i15, Q7-i17, Q1-i8, Q1-i9, Q1-i10, Q3-i2, Q3i3, Q3-i8, Q3-i14, Q3-i17, Q3-i19, Q4-i3 There is a deep link (engagement) between earthen heritage and the communities that built it. Q6-i8, There must be a closer collaboration (relation) between national / regional / or local stakeholders. Q6-i20, Q1-i5, Q1-i14, Q1-i19, Q1-i20, Q2-i9, Q2-i15, The complete involvement of the population is central for the success of projects addressing ‘individual structures, cultural landscapes, and material resources’. Q2-i13 Failure can be related with the fact that most of the time interventions are done without the knowledge and involvement of the community. Q3-i3, Q3-i8, Q3-i14, Q3-i17, Q4-i3 To improve the quality of live of the populations will contribute for the preservation of earthen heritage. Q3-i14

CONSERVATORS AND EXPERTS C118

(code 118) -

The role of the international expert is to inspire action, provide advice and capacity building. Q9-i15, Q2-i12, Q2-i15, Q3-i16

Conservation in Earthen Heritage

C249

(code 249) -

C250

(code 250) -

C251

(code 251) -

C252

(code 252) -

C253

(code 253) -

C254

(code 254) -

C255

(code 255) -

C257

(code 257) -

C258

(code 258) -

C402

(code 402) -

C476

(code 476) -

C477

(code 477) -

C478

(code 478) -

C517

(code 517) -

425

There are three different types of actors working in heritage conservation: conservation academics, conservation professionals and company technicians. Q6-i3, Conservation academics are very theoretical. Q6-i3, For conservation academics intervention is a research project. Q6-i3, &RQVHUYDWLRQ DFDGHPLFV KDYH GLI¿FXOWLHV dealing with the practice. Q6-i3, Conservation professionals work in conservation practice, as well as architecture. Q6-i3, Conservation professionals are used to deal with execution of projects. Q6-i3, Conservation professionals can sometimes act incorrectly professionally. Q6-i3, Company technicians answer the call for the execution of conservation works. Q6-i3, Company technicians have little or almost no knowledge of conservation theory. Q6-i3, The expert’s role is to help the population UHJDLQFRQ¿GHQFHWR¿QGZD\VWRPDQDJHDQG conserve their sites, on their own. Q1-i17, Q2i15, Q3-i17, Q3-i19 The role of experts is to engage capacity building at the grassroots level. Q2-i15, Q3-i16 The role of experts is to give advice at top level (politicians, stakeholders, governments, etc.). Q2-i15 ‘Experts have a tendency to have a technocrat vision of the problems’. Q2-i16 Experts should teach local population to develop ‘management techniques and tour guiding’. Q3-i17

426

C522

Appendix X

(code 522) -

7RGH¿QHDIURQWLHUEHWZHHQH[SHUWVDQGORFDO communities will break the chain of local tradition. Q3-i14

GOVERNMENT C396

(code 396) -

C397

(code 397) -

C399

(code 399) -

C404

(code 404) -

C405

(code 405) -

Inscription of a site in the National Heritage List, or World Heritage List will increase the role of the government (Ministry of Culture). Q1-i17 If the responsibility is passed to the government, than the local population feels it is not its duty to conserve the site anymore. Q1-i17 Government does not realize the important role played by local population in what concerns conservation, management and maintenance. Q1-i17, Q2-i15, Q4-i3 To try not to have sites under the custody of any governmental organization to give more responsibility to the local populations. Q1-i17, Government should empower local communities (e.g. supports local associations in charge of conservation), instead of trying to take over conservation responsibility. Q1-i17, Q3-i3, Q3-i8, Q4-i3

HERITAGE INSTITUTIONS C325

(code 325) -

C326

(code 326) -

C332

(code 332) -

C424

(code 424) -

To involve different operational institutions. Q1-i3, Q1-i4 7R KDYH ¿QDQFLDO UHVRXUFHV SURYLGHG IURP different institutions. Q1-i3, Q1-i4, Q1-i10 To have contribution and collaboration between institutions. Q1-i3, Q1-i4, Q2-i15, Q3-i4, Q3-i18 To involve national associations dedicated to earth building. Q1-i19,

Conservation in Earthen Heritage

C507

(code 507) -

C553

(code 553) -

C560

(code 560) -

427

There should be more awareness directed to local community, national and international institutions. Q3-i4, Q3-i8, Q4-i1, Q4-i13 It is always the same institutions and ‘privileged’ groups doing conservation on ZLGH LQWHUYHQWLRQ SURMHFWV VR LW LV GLI¿FXOW to really know how much improved is the awareness for earthen architecture. Q4-i16 There is more involvement, as it can be notice through the engagement on this area of so many institutions interested to preserve earthen architecture. Q4-i16

STAKEHOLDERS C487

(code 487) -

C489

(code 489) -

Stakeholders can be represented by local associations, ministers representatives, police, local authorities, etc.). Q2-i17 To include a Management Committee consisted by the major stakeholders. Q2-i17

GAPS & NEEDS GAPS C328

(code 328) -

C538

(code 538) -

C344

(code 344) -

C355

(code 355) -

I do not have enough knowledge concerning conservation intervention and management. Q1-i3, Q1-i7 Other disciplines are advancing faster than earthen architecture that is still not recognized as a discipline of study. Q4-i5 Most of the cases mentioned, as positive cases, are isolated cases, not mentioned by other experts. There is rare consensus concerning undoubted positive case studies. Q1-i1, Q1-i4, Q1-i5, Q1-i6, Q1-i8, Q1-i9, Q1-i13, Q1-i15, Q1-i16, Q1-i17, Q1-i18, Q1-i20 Need for skilled professionals in conservation and management. Q1-i9, Q1-i14, Q2-i9

428

C559

Appendix X

(code 559) -

The lack of attention to earthen architecture, LWLVVWLOOUHÀHFWHGRQWKHW\SHRIµSUHVHUYDWLRQ policies that affect vernacular and earthen heritage places’. Q4-i2

C102

(code 102) -

C137

(code 137) -

C162

(code 162) -

C432

(code 432) -

C436

(code 436) -

C441

(code 441) -

C445

(code 445) -

C491

(code 491) -

C498

(code 498) -

Need for a collective work (including VWDNHKROGHUV  GH¿QLQJ DQG LPSOHPHQWLQJ master / management plans. Q9-i9, Q9-i17, Q2-i9 To address functional (use) study; Q6-i1, Q1i16, Q2-i3, Q2-i15 To address environmental sustainability; Q6i1, Q3-i11 To involve and valorise society. Q2-i2, Q2-i3, Q2-i10, Q2-i15, Q3-i3 To contribute for the development of regional programmes. Q2-i4 To include social development. Q2-i11, Q2i16, Q3-i2, Q3-i9, Q3-i11 To respect all forms of earthen building knowledge. Q2-i12 It is important to assess earthen revived skills in sites, where ancient skills were lost. Q2-i17 There should be greater assessment of ‘where the international community stands’ on which approach to take (anthropological or physical). Q2-i18

NEEDS

PRIORITIES & OBJECTIVES PRIORITIES C175

(code 175) -

C201

(code 201) -

It is equally important the conservation of material heritage and of intangible knowledge. Q6-i13, Q6-i14, Q6-i19, Q7-i17, Q3-i2 Action should primarily be address towards priorities. Q6-i4, Q6-i10, Q7-i16, Q2-i4, Q2-i12

Conservation in Earthen Heritage

C266

(code 266) -

C321

(code 321) -

C412

(code 412) -

C430 C435

(code 430) (code 435) -

C474

(code 474) -

C475

(code 475) -

C514

(code 514) -

C520

(code 520) -

429

To address emergency conservation for the survival of the structure/site (and to set the site in a minimum risk situation); Q7-i5, Q7i6, Q7-i8, Q7-i9, Q2-i9 Positive conservation approach: interventions to be prioritized. Q1-i2, To have a continual updating of priorities. Q1i18, To address factors rather than effects. Q2-i2, To establish action plans addressing priorities. Q2-i4, Q2-i12 It is fundamental not just to save earthen monuments but also the earthen traditional fabric, part of the cultural landscape. Q2-i15 It is important to address laws that integrate earthen architecture. Q2-i15 To declare in general, earthen architecture as world heritage, to avoid a fast destruction of this heritage. Q3-i10, Q3-i13 It is important to address a clear understanding development of inventories and terminologies GH¿QLWLRQV DQG WD[RQRPLHV  4L 4L Q3-i18

OBJECTIVES C2

(code 2)

-

C485

(code 485) -

C501

(code 501) -

Effective combination between theory and practice. Q5a-i1, Q5a-i4, Q5a-i16, Q8-i12, Q2i12 Conservation strategies should integrate WKH EHVW WHFKQLFDO VFLHQWL¿F DQG PDWHULDO knowledge. Q2-i19 Conservation strategies should address the LGHQWL¿FDWLRQDQGSULRULWLVDWLRQRIRSHUDWLRQDO research. Q2-i18, Q3-i9

430

Appendix X

OPPORTUNITIES

ENVIRONMENT AND CONTEXT ASPECTS C135

(code 135)

-

C179

(code 179)

-

To address context study of the surroundings; Q6-i1, Q6-i2, Q6-i12, Q6-i13, To take into consideration in conservation, the regional scale and environmental geographic conditions. Q6-i13, Q6-i14, Q6-i18,

HISTORICAL SUBSTANCE C167

(code 167)

-

C176

(code 176)

-

C226

(code 226)

-

Understanding that any intervention becomes part of the history of the object Q6-i12, It is important to conserve earth historical buildings. Q6-i14, To address deep understanding of the historical technology; Q6-i13,

BEST PRACTICE CONSERVATION CASES C7

(code 7)

-

C319

(code 319)

-

C329

(code 329)

-

C333

(code 333)

-

C334

(code 334)

-

C335

(code 335)

-

There are very few examples of good conservation intervention. Q5b-i1, Q1-i1, Q1i6 To become an example, in order for a similar approach to be followed in other sites. Q1-i2, Q1-i4, Q1-i19 Get to know positive conservation projects through visits. Q1-i1, Q1-i5, Q1-i6, Q1-i14, Q1-i17, Q1-i19 (statistics: 30%) It is important to have on each country, conservation interventions that are considered references (models) to be followed by other sites. Q1-i4 We get to know positive conservation projects through conferences. Q1-i3, Q1-i11 (statistics: 10%) Positive cases are mentioned relating to their own work or their organization’s work. Q1i2, Q1-i4, Q1-i5, Q1-i8, Q1-i9, Q1-i10, Q1i12, Q1-i13, Q1-i15, Q1-i16, Q1-i18, Q1-i20, (statistics: 60%)

Conservation in Earthen Heritage

C368

(code 368)

-

C384

(code 384)

-

C510

(code 510)

-

C312 C317 C323 C324

(code 312) (code 317) (code 323) (code 324)

-

C330 C331 C336

(code 330) (code 331) (code 336)

-

C337

(code 337)

-

C340

(code 340)

-

C345

(code 345)

-

C346 C350

(code 346) (code 350)

-

C351 C353

(code 351) (code 353)

-

C359 C362 C365

(code 359) (code 362) (code 365)

-

431

Experts refer to positive cases, as having very sound conservation approaches; in spite of not having completely implemented projects (this means that they refer to the project and not to the intervention or practice). Q1-i2, Q1-i12 Awards for best intervention (like Aga Khan Award) can become a sign of recognition for best practices. Q1-i15 The most preserved buildings are not located in wealthy countries with high education standards. Q3-i5 Muralla del Albaicin in Granada, Spain. Q1-i1 Chan Chan, Peru. Q1-i2, Q1-i12, Arg-e Bam, Iran. Q1-i3, Q1-i8 Huaca de La Luna, Peru. Q1-i3, Q1-i11, Q1i14, Chogha Zanbil, Iran. Q1-i4, Merv, Turkmenistan. Q1-i4 Buddist Temple II of Krasnaya Rechka, in Kyrgyzstan. Q1-i5, Buddist monastery of Fayaz Tepa, in Uzbekistan. Q1-i5, Casa Baldussi, settimo San Pietro, Sardinia, in Italy. Q1-i5, Muralla de Don Gonzalo in Granada, Spain. Q1-i6 Castillo de la Peza, in Granada, Spain. Q1-i6 Archaeological site of Tayma, in Saudi Arabia. Q1-i8 Nizhua Castle, in Oman. Q1-i8 6HYHUDO$IULFDQ VLWHV EHQH¿WLQJ IURP$IULFD 209 programme. Q1-i9 Joya de Ceren, El Salvador. Q1-i12 Mari, in Syria. Q1-i10 Navrongo, in Ghana. Q1-i10

432

Appendix X

C367 C369 C370 C371 C383

(code 367) (code 369) (code 370) (code 371) (code 383)

-

C385 C392 C393

(code 385) (code 392) (code 393)

-

C408

(code 408)

-

C417

(code 408)

-

Mopti Mosque, in Mali. Q1-i10, Q1-i19, Larabanga, in Africa. Q1-i10 Otrar, in Kazakhstran. Q1-i13 Basgo, Ladakh, in India. Q1-i13 Shibam Urban Development Project, in Yemen. Q1-i15 Casa do Tatuapé, in São Paulo, Brazil. Q1-i16 Nankani village, in north of Ghana. Q1-i17 Kassena village, in south of Burkina Faso. Q1-i17 Shunet el Zabib at Abydos, upper Nile, in Egypt. Q1-i17 Abomey palace, in Benin. Q1-i20

MORE INTERNATIONAL ENGAGEMENT C535

(code 535)

-

C536

(code 536)

-

C540

(code 540)

-

C541

(code 541)

-

C542

(code 542)

-

C549

(code 549)

-

There is more involvement, as it can be notice through UNESCO initiatives (Africa 2009, Programme Terre 2007-2017). Q4-i9, Q4-i15, Q4-i17, Q4-i20 There is more involvement, as it can be notice by the Getty Conservation Institute initiatives (Terra initiative, Terra 2008 event in Mali). Q4-i19, Q4-i20 There is more interest in earthen architecture, due to the continuation of the international Terra Conferences since the last 20 years. Q4i9 There is more interest in earthen architecture, due to regional networking actions that support regional programmes. Q4-i9, Q4-i12 There is more involvement, as it can be notice through Aga Khan Programme. Q4-i10 There is more involvement, as it can be notice by CRATerre commitment. Q4-i15

Conservation in Earthen Heritage

C552

(code 552)

-

C554

(code 554)

-

433

There is more involvement, as it can be notice through the engagement on this area of so many institutions interested to preserve earthen architecture. Q4-i16 There is more involvement, as it can be notice by the engagement of some governments (Iran, Mali, etc). Q4-i17

RESOURCES C379

(code 379)

-

C403

(code 403)

-

C186

(code 186)

-

C187

(code 187)

-

C188

(code 188)

-

C228

(code 228)

-

C296

(code 296)

-

To be aware of tourism as a resource of funding. Q1-i14, Q3-i3 To rely on local resources (with no external ¿QDQFLDOIXQGV 4L4L There are several technical resources to ‘excavate under the soil’ without affecting the equilibrium conditions of the earthen heritage sites (e.g. well of visit or archaeological window). Q6-i14, Tourism should be taken into consideration on earthen archaeological sites. Q6-i14, The practice of rebury earthen archaeological structures can become more frequent in the near future if other types of procedural approaches are taken into consideration. Q6-i14, To explore local developments and local solutions to local conditions and contexts. Q6-i13, In Peru, there has been a 33-year track record using chemicals, such us ethyl silicate, consolidating ancient polychrome earth murals in relief. Q7-i15

SUSTAINABILITY C162

(code 162)

-

C163

(code 163)

-

To address environmental sustainability; Q6i1, Q3-i11 To address economical sustainability; Q6-i1, Q2-i2, Q2-i8, Q2-i15, Q3-i11, Q3-i14, Q4-i14

434

Appendix X

C539

(code 539)

-

C548

(code 548)

-

C561

(code 561)

-

C137

(code 137)

-

C190

(code 190)

-

C193

(code 193)

-

C272

(code 272)

-

C283

(code 283)

-

C316

(code 316)

-

C470

(code 470)

-

C472

(code 472)

-

There is more interest in earthen architecture, due to the need of pursuing sustainable development (the green building movement). Q4-i8, Q4-i15 To address the ecological qualities of earthen architecture; Q4-i2, Q4-i14 There is more involvement, as it can be notice through the interest for earthen vernacular architecture, in order to direct passive solar design for climate control. Q4-i15

USE To address functional (use) study; Q6-i1, Q1i16, Q2-i3, Q2-i15 To take into consideration the reuse of the earthen structures. Q6-i14, Q2-i15, Q1-i16 In earthen conservation, the reuse of traditional building systems should follow ethical principles. Q6-i14, Conservation interventions should concentrate on keeping the site in use for as long as possible. Q7-i6, Q7-i12, To address continued use requirements in the case of living architecture; Q7-i6, Q7-i12, Q7i15, Q1-i16, Q1-i19, Q2-i15 Conservation intervention in a monument GRHVQRWKDYHWRUHTXLUHDVSHFL¿FXVHEXWMXVW to be museum by itself. Q1-i1 Earthen structures have to be adapted for life in the 21st century. If not, they run the risk of being abandoned by their inhabitants. Q2-i15 It should be considered the ‘concept of adaptive reuse for abandoned mansions’. Q2-i15

Conservation in Earthen Heritage

435

PLANNING PLANNING C172

(code 172) -

C242

(code 242) -

C318

(code 318) -

C381

(code 381) -

Collection of preliminary documentation for better understanding; Q6-i1, Q6-i2, Q6-i12, Q6-i14, Q6-i15, Q6-i20, Q1-i18, Planning through programmes (after collecting and analysing the documentation). Q6-i20, Q1-i18, To have a methodological approach to comprehensive conservation management planning. Q1-i2, Q2-i17 To plan conservation for different time phases. Q1-i14, Q2-i10

STRATEGIC ISSUES C195

(code 195) -

C202

(code 202) -

C238

(code 238) -

C239

(code 239) -

C275

(code 275) -

C499

(code 499) -

On the conservation process, fundamental and objective principles (criteria) should be LGHQWL¿HG VR ZH FDQ DGHTXDWHO\ UHVSRQG WR them. Q6-i2, Q7-i18, To consider the establishment of realistic conservation plans, with available resources. Q6-i4, Q6-i10, Q2-i9 It is fundamental to develop a strategy, which will result in compromises, and will affect the protection of the values. Q6-i18, Prioritization requires the development of an objective process for making the compromises, which has to be well achieved and implemented. Q6-i18, At the present time, the tendency of contemporary approach to heritage conservation is to save as much as possible the original fabric; Q7-i8, ‘A strategy must recognize the role of each discipline’ and how each interrelates’. Q2-i18

436

C558

Appendix X

(code 558) -

‘A better recognition of the nature of earthen materials and systems would help’ in the long term conservation approach. Q4-i18

CRITERIA See SHEET DISPLAY DIAGRAM 2 (RO2 – Research Objective 2)

CONSERVATION THEORY SIGNIFICANCE

STRATEGIES ADDRESSING CONSERVATION THEORY SIGNIFICANCE C28

(code 28)

-

C31

(code 31)

-

C35

(code 35)

-

C38

(code 38)

-

C481

(code 481) -

To develop earthen architecture theory RI FRQVHUYDWLRQ ZLOO FRQ¿UP HDUWKHQ architecture, as a discipline. Q5-i10, Conservation theory is the base for procedures, framed by property and requirements for material vulnerability, regionally adapted. Q5-i14, Conserving earthen architecture means conserving the know-how which can regularly repair or even rebuild the wall. Q5-i17, Earthen architecture theory of conservation should be developed taking into consideration VSHFL¿FLW\RIHDUWKHQDUFKLWHFWXUH4L4 i17, For strategies to work, it is fundamental to integrate site experts that have a more empirical approach, with restoration or conservation theory experts, which will avoid failure. Q2-i16

See SHEET DISPLAY DIAGRAM 3 (RO3 – Research Objective 3)

FAILURE

FAILURE OF STRATEGIES C184

(code 184) -

Strategies for archaeological exploration should be re-evaluated. Q6-i14,

Conservation in Earthen Heritage

C356

(code 356) -

C437

(code 437) -

C438

(code 438) -

C482

(code 482) -

437

The positive results in conservation practice are originated from international programmes and implemented strategies. Q1-i9 Conservators do not understand the meaning of conservation strategies. Q2-i5, Q2-i6, Q2i7, Q2-i8, Q2-i10, Q2-i11, Q2-i13, Q2-i14, (40%) Conservators mix conservation strategy with methodology approach. Q2-i5, Q2-i6, Q2-i7, Q2-i8, Q2-i9, Q2-i10, Q2-i11, Q2-i13, Q2-i14 (45%) It is fundamental to integrate disaster preparedness strategies in earthen architecture conservation, as it will respond to natural occurring phenomenon. Q2-i16

See SHEET DISPLAY DIAGRAM 1 (RO1 – Research Objective 1)

PREVENTIVE CONSERVATION MAINTENANCE C39

(code 39)

-

C166

(code 166) -

C218

(code 218) -

C241

(code 241) -

C372

(code 372) -

To address continued maintenance and its understanding; Q5b-i20, Q8-i20, Q9-i19, Q6i8, Q6-i12, Q6-i18, Q7-i12, Q7-i14, Q7-i15, Q7-i17, To consider maintenance capabilities; Q6-i8, Q6-i12, Q7-i15, Q7-i17, Q1-i19, Q2-i3, Q3i2, Q3-i6, Q3-i8, Q3-i17, Q3-i19, Q3-i20 To keep doing what has been done for centuries maintaining the buildings. Q6-i8, Integration of conservation with a continuing preventive maintenance or conservation program. Q6-i18, Q7-i15, Q7-i17, To address on-going maintenance. Q1-i13, Q1-i14, Q1-i19, Q2-i3, q2-I17, Q2-i20, Q3i2, Q3-i20

438

Appendix X

C387

(code 387) -

C422

(code 422) -

The daily use of the space helps to keep good maintenance. Q1-i16, Q2-i15 Maintenance should be addressed by local populations. Q1-i17, Q1-i19, Q3-i8, Q3-i17, Q3-i19

MONITORING AND FOLLOW-UP C87

(code 87)

-

C245

(code 245) -

C313

(code 313) -

C382

(code 382) -

C488

(code 488) -

General need of monitoring and follow-up of the structure and site. Q8-i18, Q9-i2, Q9-i10, Q9-i18, Q6-i20, Q2-i3, Q2-i17, Q2-i20 After maintenance plan implementation, there is the need for follow-up and monitoring; Q8i18, Q9-i2, Q9-i10, Q9-i18, Q6-i20, Q2-i3, Q2-i17, Q2-i20 To address a careful monitoring of buildings. Q8-i18, Q9-i2, Q9-i10, Q9-i18, Q6-i20, Q1i14, Q2-i3, Q2-i17, Q2-i20 To have international and national expert’s follow-up of the intervention. Q1-i14, Q2-i20, Q3-i20 Population can be trained to monitor and report changes of the site, which is of vital importance o the survival of living sites. Q2i17,

CONTINUOUS MANAGEMENT C199

(code 199) -

C243

(code 243) -

C293

(code 293) -

Change in heritage conservation and management, should be anticipated leading to a more proactive attitude, rather than reactive. Q6-i2, Addressing implementation after planning; Q6-i20, Q1-i18, Q2-i9 $VVHVVPHQW RI YDOXH DQG VLJQL¿FDQFH WR WKH community should be the basis for decisionmaking/criteria, when addressing the conservation of a site or structure. Q7-i15, Q7-i17, Q7-i20,

Conservation in Earthen Heritage

C302

(code 302) -

C307

(code 307) -

C308

(code 308) -

C327

(code 327) -

C354

(code 354) -

C426

(code 426) -

C427

(code 427) -

C490

(code 490) -

C427

(code 427) -

C519

(code 519) -

439

The decision concerning which parts of the object should be conserved, should be under the responsibility of the responsible/ coordinator of the works. Q7-i16 Criteria in intervention is addressed during the management planning process (management meetings). Q7-i17 Some experts divide conservation criteria between values based decision and material intervention. Q7-i17, Q7-i18, Q7-i20 To have a conservation expert leader managing the conservation site can be positive. Q1-i3, Q1-i19 Implementation of a participatory management planning process. Q1-i9, Q1-i17, Q2-i4, Q2i9, Q2-i11, Q2-i13, Q2-i15, Q2-i16, Q3-i17 I have limited knowledge concerning conservation intervention and management. Q1-i11, Q1-i18, Positive results are originated from good management plans and their implementation. Q1-i19, The Management Committee should ‘meet regularly and implement the Management Plan based on a shared long term vision’. Q2i17 Positive results are originated from good management plans and their implementation. Q1-i19, After the implementation of the conservation project, local populations should be in charge of the all site (in terms of management, maintenance, tourism control, etc.). Q3-i17

PREVENTIVE APPROACH C234

(code 234) -

To consider preventive conservation. Q6-i17, Q6-i18, Q2-i9, Q3-i4, Q3-i6

440

Appendix X

C244

(code 244) -

C338 C339

(code 338) (code 339) -

C420

(code 420) -

C431 C484

(code 430) (code 484) -

C528

(code 528) -

After implementation of conservation approach, to include a maintenance plan; Q6i20, Q2-i3, Q2-i20, Q3-i2, Q3-i20 To protect the site with shelter coating. Q1-i5 To protect the ‘stupa’ with an earth brick domed structure. Q1-i5 To involve population in training, addressing preventive maintenance. Q1-i19, Q2-i3, Q2i4, Q2-i9, Q2-i11, Q2-i17, Q2-i18, Q2-i20, Q3-i2, Q3-i4, Q3-i6, Q3-i8, Q3-i9, Q3-i17, Q3-i19, Q3-i20 To include precautionary principles. Q2-i2, Users and population should take into consideration preventive conservation addressing disaster events that can affect the site. Q2-i16, Q3-i4 The preservation of the top of the monumental earthen wall, does not imply to rebuild, it can be address discretely with earth, lime earth, DQG LI QHFHVVDU\ OLPH ZLWK YHJHWDEOH ¿EUHV Q3-i6

ANTHROPOLOGICAL CONSERVATION ANTHROPOLOGICAL APPROACH C493

(code 493) -

C494

(code 494) -

Addressing earthen conservation there are presently two approaches, a more anthropological approach and a more causeeffect phenomenon approach. Q2-i18 The anthropological conservation approach addressing earthen conservation will help WR EHWWHU LGHQWLI\ YDOXHV DQG VLJQL¿FDQFH WR protect and preserve. Q2-i18, Q3-i19

Conservation in Earthen Heritage

C495

(code 495) -

441

The anthropological conservation approach that addresses traditional methods and materials, as well as craftsmanship, has been a more academic approach. Q2-i18, Q3-i9

CRAFTSMANSHIP C342

(code 342) -

C439

(code 439) -

To address employment and rehabilitation of traditional craftsmanship. Q1-i5, Q1-i8, Q1i10, Q1-i11, Q2-i5, Q2-i8, Q2-i12 Practice should have a balance between empirical knowledge, lab work and traditional craftsmanship. Q2-i5

CULTURAL AND SOCIAL ASPECTS C147

(code 147) -

C148

(code 148) -

C149

(code 149) -

The methodological approach for vernacular buildings and sites should take in consideration other factors, such as cultural and social aspects Q6-i1, Q6-i13, The methodological approach in less developed countries should take in consideration cultural and social aspects. Q6-i1, In vernacular architecture, the cultural and VRFLDO HQYLURQPHQW VKRXOG LQÀXHQFH WKH profound knowledge for the place. Q6-i1,

EMPIRICAL APPROACH C439

(code 439) -

C448

(code 448) -

C456

(code 456) -

C462

(code 462) -

Practice should have a balance between empirical knowledge, lab work and traditional craftsmanship. Q2-i5 Empirical understanding allowed earthen construction to become very sophisticated. Q2-i13, Q3-i13, Q4-i8 Conservators/experts should have a better understanding and analysis of empirical knowledge. Q2-i13, Q3-i13 More research should be addressed to empirical development, appropriate to local conditions. Q2-i13

442

C523

Appendix X

(code 523) -

Building culture and timeless empirical experience are still alive in several of the local communities, from regions with existent heritage. Q3-i14, Q4-i1

KNOW-HOW AND INTANGIBLE KNOWLEDGE C66

(code 66)

-

C169

(code 169) -

C175

(code 175) -

C177

(code 177) -

1HHG RI VSHFLDOL]HG IRUPDWLRQ TXDOL¿HG professionals) / know-how on earthen architecture. Q5b-i19, Q8-i10, Q8-i11, Q7i13, Q1-i19, Q2-i3, Q2-i4, Q2-i9, Q2-i20 To give priority to local building knowledge. Q6-i8, Q6-i13, Q6-i14, Q6-i19, Q7-i15, Q2i12 It is equally important the conservation of material heritage and intangible knowledge. Q6-i13, Q6-i14, Q6-i19, Q7-i17, Q3-i2 It is important to recuperate and to value the know-how that originated earth historical buildings (oral history). Q6-i8, Q6-i13, Q6i14, Q6-i19, Q7-i15, Q7-i17,

TRADITION C341

(code 341) -

C376

(code 376) -

C394

(code 394) -

C495

(code 495) -

C530

(code 530) -

To address a proper use of traditional materials in repair. Q1-i5 To address the understanding for traditional knowledge of local populations. Q1-i13, Q1i14, Q1-i17, Q2-i12, Q3-i13 Traditional processes should be maintained with no external interference. Q1-i17 The anthropological conservation approach that addresses traditional methods and materials, as well as craftsmanship, has been a more academic approach. Q2-i18, Q3-i9 Local tradition applied in local communities kept sites alive for centuries. Q3-i14

Conservation in Earthen Heritage

C194

(code 194) -

C263

(code 263) -

443

In earthen conservation, there are multiple technical resources based in the use of traditional materials and building systems. Q6-i14, To address authenticity conservation of the traditional uniqueness of the object; Q7-i1, Q7-i3, Q7-i13, Q7-i18,

PHYSICAL CONSERVATION CONSOLIDANTS C62

(code 62)

-

C299

(code 299) -

C298

(code 298) -

It is not advisable to use chemical products because of economical and cultural reasons. Q8-i8, The right chemical consolidants are the ones that respect the porosity of the original fabric, even if that means as a consequence, alterations to its composition. Q7-i15 To stabilize ancient earth murals in relief, chemical consolidants have to be applied. Q7i15

DIAGNOSIS C76

(code 76)

-

C204

(code 204) -

Lack of a full project diagnosis and analysis (analysis, research, document and study), before practice. Q8-i13, Q8-i15, Q8-i16, Q9i16 Technical diagnosis of the site/object (following the condition analysis); Q6-i4,

PHYSICAL APPROACH C461

(code 461) -

C496

(code 496) -

Conservators tend to rely on modern HQJLQHHULQJVROXWLRQVWRUHSDLUDQGUHWUR¿WDQG ignore historic examples. Q2-i13, Q4-i8 The physical conservation approach (also known as cause-effect phenomenon approach) has not advanced much, in what concerns the LGHQWL¿FDWLRQRIYDOXHVDQGVLJQL¿FDQFH4 i18

444

Appendix X

C497

(code 497) -

C529

(code 529) -

When comparing the anthropological conservation approach with the physical conservation approach (also known as causeeffect phenomenon approach), the second ZHLJKWV PRUH SHUKDSV EHFDXVH WKH ¿UVW µLV more academic and appeals to a broader VHJPHQWRIWKH¿HOG¶ 4L Conservation in vernacular architecture should be done in a more pragmatically way, if needed through unwrap repair of some parts. Q3-i6

PHYSICAL CONDITION C143

(code 143) -

C183

(code 183) -

C224

(code 224) -

C237

(code 237) -

C373

(code 373) -

C443

(code 443) -

C483

(code 482) -

To address the analysis of the condition/ deterioration: material pathologies; Q6-i1, Q6-i2, Q6-i12, Q6-i14, Q6-i18, Q2-i6, Q2-i9, Q2-i10 Earthen architecture is constituted by a more vulnerable material. Q6-i6, Q6-i14, Q7-i17, Q2-i10 To consider conditions of the site (pathologies); Q6-i10, Q6-i18, Q7-i6, Q7-i9, Q7-i12, Q7i18, Q1-i18, Q2-i10, Q2-i12, Q2-i13 ,GHQWL¿FDWLRQ RI FRQGLWLRQV LQWULQVLF DQG extrinsic) that affect the site; Q6-i18, Q1-i18, Failure can be due to violent weather conditions. Q1-i13 To address appropriate responses within local conditions. Q2-i12, Q2-i13, Q2-i15 Management plans should include variables and disaster events that can affect the site. Q2i14, Q2-i16,

TREATMENTS C406

(code 406) -

To address attention to adequate conservation treatments has n impact on the values of the site. Q1-i18

Conservation in Earthen Heritage

C410

(code 410) -

C411

(code 411) -

445

To develop a general treatment approach. Q1i18 7R GHYHORS VSHFL¿F FRQVHUYDWLRQ WUHDWPHQW VSHFL¿FDWLRQV WKDW ZHUH ¿HOG WHVWHG EHIRUH EHLQJ¿QDOLVHG4L

EDUCATION, AWARENESS & RESEARCH AWARENESS C471

(code 471) -

C473

(code 473) -

C503

(code 503) -

C507

(code 507) -

C532

(code 532) -

C533

(code 533) -

C534

(code 534) -

To raise more public awareness to value earthen architecture (from different perspectives: climatic, landscape, etc.). Q2-i15, Q3-i15, Q3-i1, Q3-i2, Q3-i4, Q3-i9, Q3-i10, Q3-I17, Q3-i18, Q4-i1, Q4-i13, Q4-i14 (50%) Awareness should be raised for the utility and appropriateness of the local earthen building technology. Q2-i15, Q3-i13, Q3-i14, Q4-i13, Q4-i14 There should be more public publicity / brandy / dissemination directed to the importance of earthen architecture. Q2-i18, Q3-i15, Q3-i1, Q3-i2, Q3-i4, Q4-i1 There should be more awareness directed to local community, national and international institutions. Q3-i4, Q3-i8, Q4-i1, Q4-i13 To address awareness for earthen architecture values, where it is possible to revive earthen techniques. Q4-i1, Q4-i14 There has not been awareness for earthen heritage protection. Q4-i3, Q4-i4, Q4-i6, Q4i11, Q4-i13, Q4-i14 (30%) There has been some awareness for earthen heritage protection (especially among international institutions), but there is still a lot more to be done. Q4-i2, Q4-i5, Q4-i8, Q4i9, Q4-i10, Q4-i12, Q4-i15, Q4-i16, Q4-i17, Q4-i18, Q4-i19, Q4-i20 (60%)

446

C553

Appendix X

(code 553) -

It is always the same institutions and ‘privileged’ groups doing conservation on ZLGH LQWHUYHQWLRQ SURMHFWV VR LW LV GLI¿FXOW to really know how much improved is the awareness for earthen architecture. Q4-i16

EDUCATION C17

(code 17)

-

C287

(code 287) -

C420

(code 420) -

C433

(code 433) -

C442

(code 442) -

C500

(code 500) -

C509

(code 509) -

It is needed post-graduate courses devoted to conservation of earthen structures at international and national levels. Q5b-i5, Q5b-i19, Q2-i15, Q2-i18, Q3-i5, Q3-i9 To address the educational value; Q7-i18, Q3i2, Q3-i5, Q3-i9, Q2-i11, Q2-i15, Q2-i18, Q3i19 (35%) To involve population in training, addressing preventive maintenance. Q1-i19, Q2-i3, Q2i4, Q2-i9, Q2-i11, Q2-i17, Q2-i18, Q2-i20, Q3-i2, Q3-i4, Q3-i6, Q3-i8, Q3-i9, Q3-i17, Q3-i19, Q3-i20 (60%) To include earthen architecture knowledge in conservation training courses (addressed to masons and architects). Q2-i4, Q2-i11, Q2i15, Q2-i18, Q3-i1, Q3-i5, Q3-i9, Q3-i13, Q3i17, Q3-i19, Q5a-i5 (50%) To include educational programmes. Q2-i11, Q2-i15, Q2-i18, Q3-i2, Q3-i5, Q3-i9, Q3-i13, Q3-i17, Q3-i19 (45%) For more awareness and preparation ‘all the levels of education’ must include earthen conservation education. Q2-i18, Q3-i3, Q3i4, Q3-i9, Q3-i13 There should be a balance between education and economy addressing preservation of earthen heritage. Q3-i5

INVENTORIES AND TERMINOLOGIES C434

(code 434) -

To contribute for national inventories. Q2-i4, Q3-i17, Q3-i18

Conservation in Earthen Heritage

C518

(code 518) -

C520

(code 520) -

447

To promote the sites through inventory, inscription, promotion. Q2-i4, Q3-i17, Q3-i18 It is important to address a clear understanding development of inventories and terminologies GH¿QLWLRQV DQG WD[RQRPLHV  4L 4L Q3-i18

PUBLICATIONS AND DISSEMINATION C19

(code 16)

-

C24

(code 24)

-

C502

(code 502) -

Too little publications / manuals on earthen building conservation. (There is too much research on building types). Q5b-i5, Q5b-i6, Q2-i18 A lot of research and intellectual production have been developed during the last 10 years. Q5-i9, To address ‘the most effective dissemination of information’. Q2-i18, Q3-i1, Q3-i2, Q3-i3, Q3-i4

RESEARCH C69

(code 69)

-

C140

(code 140) -

C141

(code 141) -

C146

(code 146) -

C213

(code 213) -

C215

(code 215) -

There is a lack of appreciation/research for the sophistication of vernacular building materials and techniques evolving over time. Q8-i13, Q2-i13, Q4-i8 7R DGGUHVV VWUDWL¿FDWLRQ VWXG\ RI KLVWRULFDO architectonic levels; Q6-i1, Q7-i8, Q2-i6 Study and test of materials (including laboratory analysis); Q6-i1, Q6-i19, Q2-i5, Q2-i7, Q3-i3 7RDGGUHVVVSHFL¿FLQGHSWKDQDO\VLVIRUHDFK case; Q6-i1, Q6-i13, Q2-i9 To consider integrating lab research. Q6-i7, Q2-i5, Q2-i7 It is fundamental to integrate tests to analyse and optimise the resistance against abrasion, because of erosion. Q6-i7,

448

Appendix X

C216

(code 216) -

C217

(code 217) -

C446

(code 446) -

C449

(code 449) -

C450

(code 450) -

C451

(code 451) -

C452

(code 452) -

C453

(code 453) -

C454

(code 454) -

C455

(code 455) -

It is fundamental to integrate tests to analyse and optimise the resistance against running water, because of rain erosion. Q6-i7, It is fundamental to integrate tests of soaking, fermentation and adding of stabilized additives, to reduce shrinkage. Q6-i7 To address continued research. Q2-i12, Q2i13, Q2-i18, Q3-i9 There should be more research addressed to how the earth structures respond to climate. Q2-i13, Q2-i16 There should be more research addressed to how the water affects earth structures and the way of dealing with it (concerning moisture from the ground and in the air, mechanical action of rainfall, the cycles of freeze/thaw, etc.). Q2-i13, Q2-i16 There should be more research addressed to the cycles of freeze/thaw and how the form of construction deals with it. Q2-i13 There should be more research addressed to the chemical performance of the material. Q2i13 Nowadays many of the chemical admixtures disappeared or are almost forgotten. There is a need for more research into this matter. Q2i13 There should be more research addressed to the use of primitive saponins and their LQÀXHQFH LQ WKH LQWHUVWLWLDO SHUIRUPDQFH RI clays, both Aeolian and water formed (e.g. animal fact and lime admixtures applied in Afghanistan and the shea butter applied in Mali). Q2-i13 To address better understanding and analysis of the conversion of materials in different applications within the structure. Q2-i13

Conservation in Earthen Heritage

C457

(code 457) -

C458

(code 458) -

C459

(code 459) -

C460

(code 460) -

C463

(code 463) -

C467

(code 467) -

C543

(code 543) -

449

Research has a tendency to concentrate in soil mechanics and engineering performance. Q2i13, Q2-i14 There should be more research addressing the understanding of a-seismic technology (e.g. concentric horizontal ring beams of different organic materials). Q2-i13 Earthen architecture research should be more rigorous. As it stands now, it is still in its early years. Q2-i13 There should be a deeper research of ‘historic repair techniques’ in order to apply them in modern conservation intervention (historical heritage is a source of information). Q2-i13, Q4-i8 More research should be addressed to the impact of local climate change in earthen structures (in the past and present). Q2-i13, Q2-i16 $Q HQRUPRXV DPRXQW RI ¿QDQFLQJ LV invested in punctual research, with no overall application. Q2-i14 The results are very punctual and due to individual efforts or academic / theoretical research and not institutional or governmental efforts. Q4-i11

THREATS

LACK OF HOLISTIC APPROACH C464

(code 464) -

C465

(code 465) -

It is important to have the whole understanding of the material behaviour, as part of building systems. Q2-i14 One of the threats faced by earthen heritage FRQVHUYDWLRQ LV WKH VSHFL¿F VFDOHV DSSURDFK and the possible lost of the entire perspective approach. Q2-i14, Q2-i16

450

Appendix X

C466

(code 466) -

C468

(code 468) -

C469

(code 469) -

One of the threats faced by earthen heritage conservation is the lost of the notion for the variables that affect a site and to address possible solutions. Q2-i14, Q2-i16 For some sites, there is a lot of investment addressing clay performance research, but it is forgotten the clay relation with the whole building system. Q2-i14 Earthen structures and sites were always built and designed as a complex system. Each variable looses its sense, if perception of the whole system is not considered. Q2-i14, Q2-i16

THREATS C470

(code 470) -

C513

(code 513) -

C547

(code 547) -

Earthen structures have to be adapted for life in the 21st century. If not, they run the risk of being abandoned by their inhabitants. Q2-i15 To (avoid) impose technologies not related with local culture. Q3-i8 There is still the idea that there is no value to earth; it is still associated to underdevelopment (earthen architecture can always be ‘rebuilt’). Q4-i2, Q4-i14