Growing Compact: Urban Form, Density and Sustainability 9781138680395, 9781138680401, 9781315563831, 1315563835, 1317190866, 131719084X

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“This book uses different prisms to shed new light on the multi-faceted topic of urban density. It contributes to understanding how we can make cities more compact, integrated and connected. It also helps to contextualize the land use efficiency indicator of the sustainable development goals.” – Rafael Tuts, Coordinator, Urban Planning and Design, UN-Habitat, Nairobi, Kenya “This book tackles one of the most important challenges that shape future cities: Contextualising urban densities in the face of climate change. The book provides wide discussion; looking at possible urban densities that would guide future configuration of our cities.” – Professor Hisham Elkadi, Dean, Built Environment, Salford University, UK “This book puts the ‘ability’ in sustainability, and the ‘intensity’ in density towards new forms of resplendent urbanity.” – Associate Professor Mitchell Joachim, Terreform ONE and New York University, USA “Each of the chapters in this volume provide ‘lenses’ to view the challenges of compact and dense cities. How does one build to high density and raise standards of public health and safety and well-being? This book is replete with insights and provocations that set forth a new horizon for urban design research and practice and thus provides a hopeful vision for a resilient future.” – Professor Donald Watson, EarthRise Design, USA

Growing Compact

Growing Compact: Urban Form, Density and Sustainability explores and unravels the phenomena, links and benefits between density, compactness and the sustainability of cities. It looks at the socioclimatic implications of density and takes a more holistic approach to sustainable urbanism by understanding the correlations between the social, economic and environmental dimensions of the city, and the challenges and opportunities with density. The book presents contributions from internationally well-known scholars, thinkers and practitioners whose theoretical and practical works address city planning, urban and architectural design for density and sustainability at various levels, including challenges in building resilience against climate change and natural disasters, capacity and integration for growth and adaptability, ageing, community and security, vegetation, food production, compact resource systems and regeneration. Joo Hwa Philip Bay has practised architecture and urban design since the mid-1980s, has been a company director of a large practice, and has designed and completed about half a billion dollars of projects. He was a Council Member of the Singapore Institute of Architects, and has won several design awards. He received his PhD in Technische Universiteit Delft, The Netherlands, researched and taught at the National University of Singapore, and has been an Associate Professor at the University of Western Australia and an Adjunct Associate Professor of the Curtin University Sustainable Policy (CUSP) Institute. One of his design research consultancies was to advise the Singapore JTC Corporation on new urban housing for a 35,000 expatriate population at the ‘new economy’ hub called ‘one north’. His published works include Tropical Sustainable Architecture: Social and Environmental Dimensions, and ‘Towards a Fourth Ecology’, in the Journal of Green Building. He founded and chaired the International Network for Tropical Architecture from 2004 to 2009, and has been invited to speak in many international conferences and seminars. He is on the specialist register, LandCorp Western Australia, on editorial boards for two journals, and has been referee and advisor to major conferences, member of jury for design competitions, reviewer of journal papers and examiner of PhD dissertations internationally. Steffen Lehmann is a Professor of Sustainable Architecture in the Faculty of Creative and Cultural Industries at the University of Portsmouth (UK), where he is also Director of the Cluster for Sustainable Cities, a university-wide research group with 36 researchers. Prior to this, he has been a full professor for 14 years at high-ranking universities in Australia, holding senior leadership positions ranging from Director of research centres to Head of School and Head of Discipline. For most of this time, Steffen was a tenured Chair Professor of Sustainable Design at the University of South Australia in Adelaide, where he was also Founding Director of the Centre for Sustainable Design & Behaviour, and the ChinaAustralia Centre for Sustainable Urban Development. From 2008 to 2010, based on the international significance of his research, he was appointed as chair holder of the UNESCO Chair in Sustainable Urban Development for Asia and the Pacific. Prior to becoming a full-time academic, Steffen ran for over ten years his successful architectural practice Steffen Lehmann Architekten Berlin (s_Lab) in Berlin, where he was instrumental in the design of the ‘New Berlin’. After studying at the Architectural Association School in London and completing a PhD at the TU Berlin, he worked from 1990 to 1993 with architects James Stirling in London and Arata Isozaki in Tokyo. See also www.city-futures.org.uk.

Earthscan Series on Sustainable Design Series Editor: Professor Steffen Lehmann ([email protected])

All books in this series are authored and/or edited by leading academics and practitioners in the field of sustainable design and architecture. While there has been an immense amount of theory and technology focused writing published on the topic of sustainable design, many of these books have failed to introduce readers to the wider challenge of what the re-thinking of design, production, operation and recycling of all products, buildings and cities really means. Sustainability is not a passing fashion and people are constantly searching for more information, ideas and products in this area. This book series will aim to develop a more coherent theoretical framework for how different theories of sustainable design might engage with the practice of architects, designers, urban planners and related professions. The knowledge gained from this book series will equip the readers with the tools for realising the full potential of the good intentions of sustainable design. The aim is that these books will provide a novel alignment of interdisciplinary perspectives on the problems of global consumerism, sustainable design and strategies to avoid resource waste, on the scales of products, buildings, districts and cities. The books will become essential reading for architects, industrial designers, urban designers and researchers/students in these disciplines. Potential readers for the books will also include industry and government agencies. Global relevance and the potential for use as textbooks will be essential. The book series will become a highly useful addition to the literature on sustainable design, urban development and city culture, focusing on the key topics encountered by students and scholars of urban studies, pointing towards related bibliographic material. If you have an idea for the series then please contact the series editor. Designing for Zero Waste: Consumption, Technologies and the Built Environment Edited by Steffen Lehmann and Robert Crocker December 2011 | Paperback: 978-1-84971-435-8 | Hardback: 978-1-84971-434-1 Motivating Change: Sustainable Design and Behaviour in the Built Environment Edited by Robert Crocker and Steffen Lehmann July 2013 | Paperback: 978-0-415-82978-6 | Hardback: 978-0-415-82977-9 Low Carbon Cities: Transforming Urban Systems Edited by Steffen Lehmann October 2014 | Paperback: 978-0-415-72983-3 | Hardback: 978-0-415-72982-6 Growing Compact: Urban Form, Density and Sustainability Edited by Joo Hwa Philip Bay and Steffen Lehmann July 2017 | Paperback: 978-1-138-68040-1 | Hardback: 978-1-138-68039-5

Growing Compact

Urban Form, Density and Sustainability

Edited by Joo Hwa Philip Bay and Steffen Lehmann

First published 2017 by Routledge 2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN and by Routledge 711 Third Avenue, New York, NY 10017 Routledge is an imprint of the Taylor & Francis Group, an informa business © 2017 selection and editorial matter, Joo Hwa Philip Bay and Steffen Lehmann; individual chapters, the contributors The right of Joo Hwa Philip Bay and Steffen Lehmann to be identified as the authors of the editorial material, and of the authors for their individual chapters, has been asserted in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988. All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Trademark notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library Library of Congress Cataloging-in-Publication Data Names: Bay, Joo-Hwa, editor. | Lehmann, Steffen, 1963- editor. Title: Growing compact : urban form, density and sustainability / edited by Joo Hwa Philip Bay and Steffen Lehmann. Other titles: Growing compact (Routledge (Firm)) Description: New York : Routledge, 2017. | Includes bibliographical references and index. Identifiers: LCCN 2016054704| ISBN 9781138680395 (hb : alk. paper) | ISBN 9781138680401 (pb : alk. paper) | ISBN 9781315563831 (ebook) Subjects: LCSH: Cities and towns--Growth. | Urban density. | Sustainable urban development. | City planning--Social aspects. Classification: LCC HT371 .G7117 2017 | DDC 307.76--dc23LC record available at https://lccn.loc.gov/2016054704 ISBN: 978-1-138-68039-5 (hbk) ISBN: 978-1-138-68040-1 (pbk) ISBN: 978-1-315-56383-1 (ebk) Typeset in Gill Sans and Times by Servis Filmsetting Ltd, Stockport, Cheshire

Contents

List of figures List of tables List of contributors Acknowledgements Foreword

x xiv xv xxiii xxv

DONALD WATSON

Introduction 1 Compact urban form, density and sustainability: correlations and holistic approaches

1 3

JOO HWA PHILIP BAY AND STEFFEN LEHMANN

PART I

Framing the question: unravelling the link between density, sustainability and compact cities 2 Urban lifelines to achieve climate resiliency

23 25

DONALD WATSON

3 Planning ethics and urban density: overcoming fear in Anglo-Saxon cities

38

PETER NEWMAN

4 Density, sprawl and sustainable urban development: perspectives from the Asian and Pacific region

56

PAUL JONES AND DONOVAN STOREY

5 The challenge of transforming a low-density city into a compact city: the case of the City of Perth, Australia STEFFEN LEHMANN

69

viii Contents

6 Compact city and sustainable high-density living: social-environmental holistic approach

94

JOO HWA PHILIP BAY

PART II

Quality of living and social dimensions relating to environmental sustainability

111

7 The sustainable city: a good and secure quality of life?

113

MIKE JENKS

8 Density, compact urban form and sustainability in the Netherlands

129

JEROEN MENSINK AND FRANK VAN DER HOEVEN

9 Security and density: hyper-surveillance, public safety and social sustainability

144

EMIL JONESCU

10 Dense and ageing: social sustainability of public places amidst high-density development

161

KENG HUA CHONG, KIEN TO AND MICHAEL M.J. FISCHER

11 Creating green space in the compact city: a Swedish perspective on a global issue

177

WALKER WELLS, TIGRAN HAAS AND HÉLÈNE LITTKE

PART III

Compact resource management, greening and integration with urban form 12 Green Plot Ratio and MUtopia: the integration of green infrastructure into an ecological model for cities

189 191

BOON LAY ONG, OLE FRYD, DOMINIQUE HES, TUAN DUC NGO AND LU AYE

13 Decentralized water and energy infrastructure: integration into compact urban form

204

MARTIN ANDA

14 The shape of resilience: a framework for integrating regenerative production of localised food and energy within an urban community STEVE HERSELMAN AND JOO HWA PHILIP BAY

219

Contents ix

15 Food production and density: the design of a high-rise housing development in Singapore

238

JOO HWA PHILIP BAY, OWEN LIAM CHOO WEE AND SUNJYOT SINGH

PART IV

Design systems and structural approaches impacting density and sustainability 16 Hong Kong: appearing dense, yet growing smarter

251 253

TOM VEREBES

17 Relationship between density, urban form and environmental performance

271

CHYE KIANG HENG, LAI CHOO MALONE-LEE AND JI ZHANG

18 Housing innovation for compact, resilient cities

287

CAITLIN MCGEE, LAURA WYNNE AND STEFFEN LEHMANN

19 To follow the Australian dream or to embrace urban densification: a prolonged debate?

301

SHAHED KHAN AND ANDREW CARVILLE

PART V

Policies, guidelines, methods and decision making relating to development for density and sustainability 20 Imagining optimum, not hyper, density: lessons learnt from high-density cases and a proposed framework for optimal-quality density

317 319

STEFFEN LEHMANN

21 Growing Sydney: advocacy for urban density

343

CHRIS JOHNSON

22 Re-introducing density in shrinking cities: lessons from Japanese cities

358

TADASHI MATSUMOTO

23 Density and sustainability: strange bedfellows?

371

CHRISTOPHER T. BOYKO AND RACHEL COOPER

Index

383

Figures

1.1

Relationship between urban density and CO2 emissions for 12 selected cities 1.2 Relationship between urban density and fuel consumption 1.3 A conceptual model of inter-relationships between density and sustainability 1.4 Comparative graph showing the different urban densities between Jakarta and London 1.5 Ground maps showing the difference between cities 2.1 Four types of flooding as a function of landform and urban location 2.2 Watershed management restores and improves regional and local hydrology 2.3 Lifeline systems, as a function of location and urban typology 2.4 Building designed for chronic flood and heat impacts 2.5 Reconfigured 125th Street and Park Avenue train viaduct 3.1 Urban density and transport energy in global cities 3.2 Precinct-scale urban redevelopment and outcomes of new technology infrastructure 4.1 Settlement dwellers from Papua New Guinea march in traditional ceremonial dress 4.2 Beijing to Tianjin high-speed rail 4.3 Tianjin, China, alleyways and fine grain, mixed-use development co-existing with mainstream tower development 4.4 Pulosari kampung, Bandung, Indonesia 5.1a Urban diagram by Ebenezer Howard 5.1b Frank Lloyd Wright’s Broadacre City 5.2 Perth and Peel sub-regions activity centres 5.3 Metropolitan Perth’s urban footprint in 2012 5.4a City of Perth as the ‘cosmopolitan city on the Swan River’ 5.4b Typical low-density Perth suburb 5.5 Elizabeth Quay, Perth 5.6 Typical example of a strategic urban infill development 5.7 The extent of urban sprawl over the last 30 years and a forward projection 5.8 Characteristics of compact cube versus tower and shed 5.9 Aerial view of Barcelona’s grid of mixed-use perimeter blocks

6 6 7 18 19 32 33 34 35 35 42 48 59 61 63 66 70 71 75 76 76 77 82 82 84 85 86

Figures xi

5.10 5.11 6.1 6.2 6.3 7.1 7.2 7.3 7.4 8.1 8.2 8.3 8.4 8.5 8.6 8.7 9.1 9.2 9.3 9.4 10.1 10.2 10.3 10.4 11.1 11.2 11.3 12.1 12.2 12.3 12.4 13.1 13.2 14.1 14.2

Study comparing the infrastructure cost of urban infill versus greenfield development Urban densification done well Corridor high in the sky Typical houses with front-yards and verandas Ranking of community building potentials Low-energy, mixed-use development at Jubilee Wharf in Penryn, UK Proximity of cycle hire, a taxi point, bus and rail station, in Delft, Netherlands Sustainable community, the accessibility of facilities Vauban, Freiburg Map from Second Report on Spatial Planning (1966) showing clustered dispersal Map from Fourth Report on Spatial Planning (1994) showing compact urbanization Roomburg, Leiden IJburg, Amsterdam Ypenburg, Den Haag Stadshagen, Zwolle Weidevenne, Purmerend Sign indicating MRT, LRT and Bus interchange Space between Hougang buildings offer permeable spaces Extent of City of Perth Municipality Densities by districts and subzones in Singapore Formalization of underutilized pocket spaces within HDB estates to create ageing-friendly public places SilverCOVE Senior Activity Centre Ageing-friendly public places in Tokyo Appropriating gaps between buildings along Togoshiginza shotengai. ‘Green wedges’ extend from the urban core outward for 15–40 miles Hammarby Sjöstad integrates natural functions into the urban form Birdhouse at Hammarby Sjöstad to promote biodiversity Conceptual difference between sustainable modelling and ecological modelling in MUtopia GPR and MUtopia outcomes Modelling of water and wastewater flows in an LU parcel MUtopia modelling of a precinct Demonstrating how PV is integrated on a building on the rooftop, walls, awnings, windows and window protection Typical residential smart meter architecture and applications The development of a new resilient ecology Diagrammatic conception of centralized and decentralized urban assemblages

89 89 98 99 101 118 120 122 123 132 134 136 136 138 140 142 151 152 154 155 166 167 170 171 179 181 185 194 196 198 200 212 215 220 224

xii Figures

14.3 14.4

A potential closed loop system The environmental, social and economic consideration of a closed loop network structure 14.5 Exploded diagram of the layered ordering for the decentralized resilient urban assemblage for Perth 14.6 The various scales of fractal replication of the closed loop system 14.7 Site of integration of regenerative technologies into a high-density urban community 14.8 Structure of integration of regenerative technologies into a high-density urban community 14.9 Exploded diagram of integration of regenerative technologies into a high-density urban community 15.1 Perspective and sections depicting the experimental food production R4 Apartment Project 15.2 Building setbacks for available sunlight 15.3 Sunlight PAR simulation with building designs for different crops 15.4 The resource loop and zonal use 15.5 Urban Food Production Tower 16.1 Second Development Area, Osaka, Japan: array of programmatic models 16.2 Second Development Area, Osaka, Japan: array of contextual associations 16.3 Occupy Central, 30 September 2014 16.4 Tiananmen Square, Gates of the Forbidden City, Beijing, China 17.1 Examples of the high-density urban block cases modelled and analysed 17.2 The theoretically homogenous context for simulation analysis 17.3 The interface of the integrated simulation and analysis platform built within Houdini 17.4 Linear regression analysis for FAR and the performance indicators 17.5 Relationship between gross FAR and daylight performance indicator 17.6 A design example showing two different urban block typologies 18.1 Carmel Place in New York City 18.2 The Central Park development in Sydney involved dual key apartments 19.1 Three stages of a typical suburban-scale infill development project 19.2 Another original house with established trees 19.3 Correlation between the proportion of semi-detached and unit dwellings per suburb and the proportion of dwellings occupied on a rental basis per suburb 20.1a Kowloon Walled City in Hong Kong 20.1b Bronze model of Kowloon Walled City 20.1c Aerial photo of Kowloon Walled City

226 227 229 231 232 233 235 242 244 244 246 248 258 261 265 266 274 275 278 279 280 283 294 295 308 309

312 325 325 325

Figures xiii

20.1d Kowloon Walled City in Hong Kong 20.2a and 20.2b The housing development Interlace, in western Singapore 20.3a and 20.3b The earlier housing development the Pinnacle at Duxton 20.4a and 20.4b The new Central Park development in Sydney 20.5a and 20.5b The development around False Creek in Vancouver, British Columbia 20.6 Different ways that 75 dwellings per hectare can be realized 20.7a and 20.7b Privatization of public space 20.8 Arata Isozaki’s utopian vision of a ‘City in the Sky’ 21.1 Relationship between density, open space and height on a sliding scale 21.2 Relationship between density and open space with mixed heights 21.3 Three options for Sydney’s growth 21.4 5,000 new towers at railway stations across Sydney 21.5 Sydney’s vertical growth from 1882 to now 21.6 Sydney in 2050 with super tall towers 21.7 The composition of the Sydney apartment community 21.8 Urban Living Index methodology 21.9 Urban Living Index – measures and description of measure 21.10 Urban Living Index ranking 22.1 Japanese population and age structure, 1950–2050 22.2 Size and density of densely inhabited districts of prefectural capitals 22.3 Population density and the cost of maintaining urban infrastructure in Toyama 23.1 Wharton Square Housing at Quartermile (ex Royal Infirmary), Edinburgh

325 328 329 330 332 334 337 339 346 347 348 349 350 351 352 353 354 355 359 360 365 378

Tables

2.1 2.2 2.3 2.4 6.1 7.1 9.1 17.1

Classification of natural disasters Scale of impacts of climate change Carbon reduction actions Options to respond to climate risks with urban design measures The features of Multi-Age Precincts (MAPs) developments Selected quality of life indicators Overall country density per square kilometre ranking 2011 Significant relationships between planning and geometric variables and environmental performance indicators 22.1 Elderly population in the three major metropolitan areas in Japan 22.2 Major instruments to support compact and networked urban structure 22.3 Toyama’s grant programme to concentrate development in the target areas

27 28 30 31 104 114 153 281 360 363 366

Contributors

Editors Joo Hwa Philip Bay has practised architecture and urban design since the mid-1980s, has been a company director of a large practice, and has designed and completed about half a billion dollars of projects. He was a Council Member of the Singapore Institute of Architects, and has won several design awards. He received his PhD in Technische Universiteit Delft, The Netherlands, researched and taught at the National University of Singapore, has been an Associate Professor at the University of Western Australia and an Adjunct Associate Professor of the Curtin University Sustainable Policy (CUSP) Institute. One of his design research consultancies was to advise the Singapore JTC Corporation on new urban housing for a 35,000 expatriate population at the ‘new economy’ hub called ‘one north’. His published works include Tropical Sustainable Architecture: Social and Environmental Dimensions, and ‘Towards a Fourth Ecology’, in the Journal of Green Building. He founded and chaired the International Network for Tropical Architecture from 2004 to 2009, and has been invited to speak at many international conferences and seminars. He is on the specialist register, LandCorp Western Australia, on editorial boards for two journals, and has been referee and advisor to major conferences, member of jury for design competitions, reviewer of journal papers and examiner of PhD dissertations internationally. Steffen Lehmann is a Professor of Sustainable Architecture in the Faculty of Creative and Cultural Industries at the University of Portsmouth (UK), where he is also Director of the Cluster for Sustainable Cities, a university-wide research group with 36 researchers. Prior to this, he has been a full professor for 14 years at high-ranking universities in Australia, holding senior leadership positions ranging from Director of research centres to Head of School and Head of Discipline. For most of this time, Steffen was a tenured Chair Professor of Sustainable Design at the University of South Australia in Adelaide, where he was also Founding Director of the Centre for Sustainable Design & Behaviour, and the ChinaAustralia Centre for Sustainable Urban Development. From 2008 to 2010, based on the international significance of his research, he was appointed as chair holder of the UNESCO Chair in Sustainable Urban Development for Asia and the Pacific. Prior to becoming a full-time academic, Steffen ran for over ten years his successful architectural practice Steffen Lehmann Architekten Berlin (s_Lab) in Berlin, where he was instrumental in the design of the ‘New Berlin’. After studying at the Architectural Association School in London and completing a PhD at the TU Berlin, he worked from 1990 to 1993 with

xvi Contributors

architects James Stirling in London and Arata Isozaki in Tokyo. For more information, see: www.city-futures.org.uk

Contributors Lu Aye has over 35 years of engineering experience in university teaching, research, development, demonstration and commercialization of renewable energy and energy efficiency technologies. He is a leading expert in modelling, simulation and optimization of energy systems. Martin Anda is an environmental engineer with over 30 years’ experience in the water and built environment sectors since completing a Bachelor of Engineering (Mechanical) degree in 1982 at the University of Western Australia. After several years of working with consulting engineering firms on large industrial projects, he led the design and construction of award-winning research buildings at the Environmental Technology Centre. Today, he is Academic Chair and Senior Lecturer in Environmental Engineering at Murdoch University in Western Australia where he teaches several units in water engineering and coordinates a team of postgraduate researchers in a group called Environmental Engineering & Life Systems (EELS) who are conducting a range of PhD research projects across the built environment sector. Christopher T. Boyko is a Lecturer in ImaginationLancaster at Lancaster University. With Professor Cooper, he is currently examining well-being and the built environment, and sharing in cities, as part of the UK EPSRC-funded Liveable Cities project. This research builds on previous research about urban design decision-making processes and sustainability. His general research interests include sustainability, urban design, use of digital technology in cities and well-being. Andrew Carville has been involved in urban planning and development management for the past decade, with a special interest in urban form and greyfield redevelopment. In that time, he has contributed to the delivery of more than 3,000 dwellings ranging from single homes to multi-level apartments in mixed-use developments. Andrew is a member of the Urban Development Institute of Australia’s Built Form Committee, and has a keen understanding of the realities of implementing infill development projects. He is currently undertaking PhD research into infill housing models, and the role played by developers in revitalizing failing suburbs. Keng Hua Chong is an Assistant Professor of Architecture and Sustainable Design at Singapore University of Technology and Design (SUTD), where he leads the Social Urban Research Groupe (SURGe), a research lab focusing on social architecture and urban research, and co-leads the SUTD Opportunity Lab (O-Lab). He is also the Partner of COLOURS: Collectively Ours LLP, a design consultancy specializing in collaborative place-making. Graduated with a PhD in Architecture from the National University of Singapore (NUS), he has been a visiting faculty at Massachusetts Institute of Technology (MIT) and Zhejiang University. Building on his knowledge in cultural-spatial cognition, he is currently leading various research and design projects related to ageing, public place and participatory community design across Asia. He has recently contributed to a book International Perspectives on Age-friendly City (2015), and is currently working on his upcoming book Creative Ageing Cities.

Contributors xvii

Rachel Cooper, OBE, is Professor of Design Management and Co-Director of ImaginationLancaster at Lancaster University as well as Chair of the Lancaster Institute for the Contemporary Arts. She has authored several books in the design field, including The Design Agenda (1995), The Design Experience (2003) and Designing Sustainable Cities (2009). Her research interests cover design management, design policy, design in the built environment and design against crime. Michael M.J. Fischer is Andrew W. Mellon Professor in the Humanities, Professor of Anthropology and Science and Technology Studies at Massachusetts Institute of Technology (MIT); Lecturer in Global Health and Social Medicine at the Harvard Medical School; and a Principal Investigator in the Singapore University of Technology and Design (SUTD) International Design Centre (IDC). Author of ‘Ethnography for aging societies: dignity, cultural genres, and Singapore’s imagined futures’, and articles on Singapore’s Biopolis life sciences initiative, he has authored three books on Iran, and three on social theory, including Anthropology as Cultural Critique (with George Marcus), Emergent Forms of Life and the Anthropological Voice and Anthropological Futures. Ole Fryd teaches urban design and environmental planning at the University of Melbourne. His research focuses on the integration of urban water and urban greening in the planning and design of cities. He is trained as an urban designer and completed his PhD on Water Sensitive Urban Design in 2011. Tigran Haas is the Associate Professor of Urban Planning and Urban Design, Director of Civitas Athenaeum Laboratory (CAL), Research Platform on Urban Environments and Social Life and the Director of the Graduate Program in Urbanism at the School of Architecture and the Built Environment at KTH. He has backgrounds in Architecture, Urban Planning and Design, Environmental Science and Regional Planning and Development. He has also completed Post-Doc Fellowships at MIT, Boston, UC Berkeley and University of Michigan, Ann Arbor within Urban Design and City Planning. His latest book is Emergent Urbanism: Urban Planning & Design in Times of Structural and Systemic Change (with Krister Olsson, 2014). Chye Kiang Heng is the Lum Chang Chair Professor at the School of Design and Environment (SDE), National University of Singapore, where he was the former Dean of the School (2007–2016) and the Head of Department of Architecture prior to his deanship. He teaches and researches sustainable urban history, urban design and planning and publishes widely in these areas. He has served on the boards of government agencies including the URA, HDB, CLC, JTC, BCA and advises academic institutions like SIT, CUHK and HKU. He has been appointed Visiting Professor at Hanyang University (Korea), Keio University (Japan), Southeast University and Xiamen University (China). He has served as a jury member in numerous international design competitions and on several editorial boards of international journals. He is also planning consultant to many award-winning urban planning and design projects in Asia. Steve Herselman was born and raised in South Africa. He developed an enthusiasm towards architecture and its social power through his early interactions with the socio-economic disparities that exist still persist in present-day South Africa. After graduating from the University of KwaZulu-Natal, he found employment at East Coast Architects, where for three years he directly witnessed architecture’s ability to qualitatively manifest positive

xviii Contributors

change. It left an indelible mark that prompted him to continue his studies, completing two further degrees in Architecture (Bachelor of Architecture Honours Degree from the University of Pretoria and a Master of Architecture from the University of Western Australia). Whilst at UWA he developed an interest in the establishment of autonomous urban environments, which became the bases of his thesis research topic for his independent design. The disillusion with the architecture profession’s perceived inability to adequately respond to the present and future needs of society has prompted him to continue his research into autonomous urban environments. Dominique Hes is an academic from Melbourne University in Australia. She has been asking for 20 years why after decades of people working on being ‘sustainable’, we are increasingly degrading the environment. With degrees in Botany, Engineering and Architecture, she brings a multidisciplinary perspective to the questions: Can we move beyond sustainability to abundance and thriving? And what is the role of the designer in this? Dominique is the author of Designing for Hope: Pathways to Regenerative Sustainability. Her work in the green infrastructure space focuses on the built environment creating a net ecological and social benefit through inclusion of greenery. Mike Jenks is Professor Emeritus at Oxford Brookes University, the Founder Director of the Oxford Institute for Sustainable Development, an architect and former Head of the Oxford School of Architecture. He is an authority on the sustainably city, has published widely, lectured and carried out research and consultancy nationally and internationally. Chris Johnson is the CEO of Urban Taskforce Australia, an organization that represents the property industry. In this role he has produced research papers on the structure of local government in NSW and publications on the future of our cities. He worked closely with local government as Executive Director in the NSW Department of Planning in developing the Housing Code, plans for regional cities and urban renewal generally. Before this he was NSW Government Architect for ten years, a member of the Central Sydney Planning Committee, the Heritage Council of NSW and many government committees. He has written or edited over a dozen books on urban planning, architecture and cities. He has been adjunct professor at three Sydney universities and was made a Member of the Order of Australia in 2012. Paul Jones is Associate Professor and Program Director of the Urban and Regional Planning Program, Faculty of Architecture, Design and Planning, University of Sydney. Prior to joining the University of Sydney as a full-time academic in 2011, he was an urban development and management practitioner with 25 years’ professional experience in urban management and urban development in Australia, the Pacific Islands and increasingly Asia. He has written extensively on Pacific urbanization, especially on better understanding and conceptualizing informal settlements. In 2014–2015, he was a member of the Expert Advisory Group for the joint UNESCAP and UN-Habitat report ‘The State of Asian and Pacific Cities 2015’, and in 2016 was a member of the UN-Habitat Expert Advisory Group for the Habitat 3 Report on the Asia Pacific Region. Emil Jonescu is a registered architect in Perth, Australia. He has acquired knowledge and understanding of architectural, functional and political aspects associated with surveillance and control architecture in urban contexts by combining policing experience in WA with architectural investigation and academic discourse. His interests relate to omnipotent power and relationships in the built environment, understanding urban spaces and the behaviours

Contributors xix

they promote, CPTED, and tactical architecture designed to proactively shape behaviours. His interests align with architecturally focused interdisciplinary research that seeks to promote and educate in the design of sustainable urban spaces through effective and proactive deterrence, densification, social inclusivity and shaping community engagement and behaviours. Shahed Khan is an Associate Professor at Department of Planning and Geography, Curtin University, Australia. At Curtin, he served as the Head of Department of Planning before becoming the Director International for the School of Built Environment. In addition to teaching Planning subjects, he also conducts international study tours highlighting intercultural learning across various planning contexts. His research interests include housing, transit-oriented development, local governance, participatory and consultative planning and cultural planning. Previously, he has researched informal housing in Asian cities. He holds degrees in Architecture and Planning and worked in the private sector before joining academia. Hélène Littke is a PhD student at the Department of Urban Planning and Environment, School of Architecture and the Built Environment at KTH. In her dissertation she focuses on contemporary conceptualizations of nature in the urban realm, the role of urban green space as public space, and connections between urban green space and well-being. She is also teaches in the Sustainable Urban Design Master program and Master program in Urbanism at KTH. Her background is in civil engineering, urban planning and geography. Lai Choo Malone-Lee is Director of the Centre for Sustainable Asian Cities at the School of Design and Environment, National University of Singapore. She is an urban specialist, with a focused research interest on issues of urban sustainability, particularly in its nexus with development and urbanization, economic growth, and city culture. She has led funded research projects on city benchmarking, densification, urban regeneration and ecological profiling, with a specific interest on their links to urban livability, well-being, and quality of life. Before academia, she worked in the Singapore government in several areas, including urban policies, strategic planning, and heritage conservation. She contributes actively to policy debates on critical urban issues through government committees and think tanks. Regionally, she is a consultant with the United Nations Economic and Social Commission for Asia and the Pacific (UN-ESCAP). She also serves as a Board Member of Singapore’s National Parks Board. Tadashi Matsumoto leads OECD’s sustainable urban development and green growth work. He is the lead author of Compact City Policies: A Comparative Assessment (2012) and Urban Green Growth in Dynamic Asia (2016), and has contributed to many other OECD reports including Cities and Climate Change (2010) and Territorial Review of Japan (2016). Before joining the OECD in 2009, he worked for the Ministry of Land, Infrastructure, Transport and Tourism in Japan from 1995. He holds a MUP (Urban Planning) from New York University and a PhD from Tokyo University (Engineering). He lectures at Tsukuba University, Japan, and SciencesPo, France. Caitlin McGee is Research Director for the Institute for Sustainable Futures, UTS, in Sydney. Her research focuses on a ‘regenerative’ vision for cities as places that could make a net positive ecological, social and economic contribution. She has a particular interest in housing and social change and has been at the forefront of some high-profile projects in

xx Contributors

this area, including the multi-award winning ‘Your Home’ guide to sustainable housing and a range of sustainable housing training programmes for the building industry. Caitlin provides strategic advice on sustainability to the property and development sectors and advises government on policy and programmes related to sustainable cities and housing. Caitlin’s background is in architecture and urban design. She is the author of a number of articles on sustainable housing for academic, industry and popular media. Jeroen Mensink trained as an architect at the Faculty of Architecture and the Built Environment at the TU Delft. He has shifted his attention to urban area development. He published the Vinex Atlas (with Jelte Boeijenga, 2008) and a book on traffic and public space Stromen en Verblijven (2013). He edited Cities Full of Space (a book by Professor Rudy Uytenhaak) and works part time for the chair Urban Area Development at the TU Delft, where he is editor (together with Agnes Franzen) of the biannual magazine Go, gebiedsontwikkeling in beweging. Besides that he runs JAM* architects and planners, a design firm based in Amsterdam. Peter Newman is Professor of Sustainability at Curtin University. He has written 17 books and over 300 papers. His books include The End of Automobile Dependence (2015), Green Urbanism in Asia (2013) and Sustainability and Cities: Overcoming Automobile Dependence, which was launched in the White House in 1999. He was a Fulbright Senior Scholar at the University of Virginia Charlottesville and was on the IPCC for their 5th Assessment Report. In 2014 he was awarded an Order of Australia for his contributions to urban design and sustainable transport. He has worked in local government as an elected councillor, in state government as an advisor to three premiers and in the Australian government on the Board of Infrastructure Australia. Tuan Duc Ngo is the leader for the development of the MUtopia Platform, a simulation and visualization system for designing and assessing sustainable precincts as well as sustainable cities. The MUtopia platform has been used in many urban development projects in Australia. He is an expert in design and manufacturing of building components and systems using high-performance materials. Boon Lay Ong is currently Head of Department of Architecture and Interior Architecture at Curtin University, Western Australia. He previously taught at Melbourne University in Australia as well as the National University of Singapore. He received his PhD on plants and place in architecture from Cambridge University in 1997 and has since sought to encourage more urban greenery and an ecological approach to architectural design in all his work. Besides a commitment to the integration of greenery in buildings, he sees the future forms of ecological architecture as deriving from an understanding of thermal aesthetics. Sunjyot Singh has been involved in a diverse range of urban and architectural research themes: from exploring the possibility of applying the Green Plot Ratio in Perth, Western Australia to writing about the emerging European housing typologies in the Australian context and investigating the correlation between urbanization and food production. The recipient of several academic awards at Curtin University, he has a keen research interest in ethically motivated responses to urban issues. He is currently finishing his master’s research on the topic of suburban sprawls and the Australian Dream, and is developing his PhD proposal on an area in design and sustainability. Donovan Storey is currently Urban Lead at Green Cities at the Global Green Growth Institute (GGGI), Seoul. Previous to his current position, he worked at the United Nations

Contributors xxi

Economic and Social Commission for Asia and the Pacific (UN-ESCAP), first as Chief of Social Policy and Population and then as Chief of the Sustainable Urban Development Section. Prior to these roles he was a researcher and academic at several universities specializing in development management, urban planning/governance and sustainable development, his most recent position being at the University of Queensland, Australia, where he retains an Adjunct role. He has undertaken research and coordinated projects related to urban planning and governance, environmental management, social inclusion, population dynamics and sustainable development. He has authored or co-authored over 30 journal articles, book chapters and books on his areas of specialization, and has drafted and substantially contributed to several key United Nations publications related to urbanization, sustainable development, population and social policy. Kien To is a Senior Research Scientist at Social Urban Research Groupe (SURGe) and Adjunct Assistant Professor at Singapore University of Technology and Design (SUTD). With strong research-teaching track record in architectural and urban design, planning and development, he has studied and published on various sustainability topics, including cultural sustainability and conservation, high density and liveability, social resilience and participation, ageing and creativity. He gains empirical knowledge through extensive research on the basis of fieldwork and collaboration with local communities across Asia. He co-founded SUTD Opportunity Lab, which promotes design for social change. Frank van der Hoeven is Director of Research of the Faculty of Architecture and the Built Environment and Associate Professor of Urban Design at TU Delft. He is responsible for the development of the research portfolio of the Faculty of Architecture and the Built Environment at TU Delft, the policy on open access publishing, and for the position of built environment in the Dutch creative industry. He conducted his PhD research in the field of underground space technology and multi-functional and intensive land-use. He is also a Board member of the Royal Netherlands Archaeological Society KNOB. Tom Verebes is the Provost of Turenscape Academy and the Director of OCEAN CN, based in Hong Kong and also within Turenscape, at the Peking University Science Park in Beijing. Currently he is Visiting Professor at University of Pennsylvania and was Director of the AA Shanghai Summer School (2007–2017). Former academic roles include: Associate Dean (Teaching & Learning) (2011–2014), Associate Professor at the University of Hong Kong (2009–2016), Co-Director of the Design Research Lab at the AA in London, where he had taught from 1996 to 2009, and Guest Professor at Akademie der Buildenden Künste ABK Stuttgart (2004–2006). Among over 150 publications, he has published Masterplanning the Adaptive City: Computational Urbanism in the Twenty-first Century (2013), a guest-edited issue of AD, titled Mass Customised Cities (2015), and Shanghai Ten Folio (2016). His work has been exhibited in over 50 venues worldwide, and he has lectured extensively in Asia, Europe, North America, Africa and the Middle East. Donald Watson is an architect and author. His publications include Climatic Building Design (1983) and Design for Flooding: Resilience to Climate Change (2011), coauthored with Michele Adams, PE. He is editor-in-chief of the McGraw Hill Time-Saver Standards Series for Architectural Design (1996, 2003) and Urban Design (2003) and principle of Earth Rise design in Connecticut, USA. Owen Liam Choo Wee has been working in the architecture field since graduating and has been involved in a wide range of projects that include a National Park Board East Coast

xxii Contributors

Park Master Planning, public housing, private housing, competition for fire stations and Lasalle Arts School, NUS SDE Zero Energy Building. Since joining Surbana International Consultants, he has been on various projects in Singapore. With his vast experience and knowledge in architecture and master planning, he has won the SIA Gold design award 2006 for his involvement in the Marina South Pier as well as BCA’s buildability award 2007 and BCA Barrier Free and Accessibility 2008 for his work for the Sengkang public housing project Coris II. He has taken on the task to drive sustainable design in Surbana since 2008. He is now Green Advocate and heads the Architectural Green Core Team in Surbana and is a registered Green Mark Professional with Singapore Building Construction Authority. His drive towards sustainability design and construction has already borne fruit with some projects obtaining higher green certifications as well as created a design guide and set minimum green targets for all projects. This drive has also resulted in more than 25,000 green homes designed in Singapore since 2008. Sustainable design has now become the next targeted growth engine in Surbana. Walker Wells is Vice President of Programs and Director of the Green Urbanism Program for Global Green USA, a national non-profit organization headquartered in Santa Monica. He works with cities, neighbourhoods and community organizations across the United States to further green building and sustainable development practices through technical guidance, stakeholder facilitation, and development of innovative polices and programs. He holds Bachelors degrees in Sociology and Environmental Studies from the University of California Santa Barbara and a Master’s of City and Regional from the California Polytechnic University San Luis Obispo. He also studied in Sweden at Lund University and the Lund Polytechnic Institute School of Architecture. He is a 2013 Fulbright Fellow with the Royal Institute of Technology Urban Planning Program in Stockholm, a 2012 Pritzker Fellow at the UCLA Institute of the Environment and Sustainability. He is coauthor of Blueprint for Greening Affordable Housing (2008), a certified urban planner and a LEED Accredited Professional. Laura Wynne is Senior Research Consultant at the Institute for Sustainable Futures, UTS. She is an urban planner with a research interest in the resilience of cities and is interested in ways in which the governance and regulation of cities impacts their built form and, in turn, how their built form influences social and environmental outcomes, such as equity and sustainability. She has contributed to a broad range of research projects providing advice to local and state government and other organizations on matters relating to transport and land-use integration, preservation of peri-urban agriculture, decentralized energy generation, regenerative development and remediation of contaminated lands. Laura has a background in both research and government, having worked for CSIRO as a Science Communicator and in local government as a sustainability engagement role. Ji Zhang is a Research Fellow at the Centre for Sustainable Asian Cities in the School of Design and Environment (SDE) and the Solar Energy Research Institute of Singapore (SERIS), National University of Singapore. Trained as architect and urban designer, his research focuses on exploring urban sustainability from both a social-psychological and a spatial-environmental perspective. His more recent research focuses on the multifaceted relationship between urban density, urban form and environmental performance, with a particular emphasis on the implications of building typology and urban morphology as performance optimization strategies in the early stage of urban planning and architectural design.

Acknowledgements

As editors, we are grateful to many people who have contributed to the development of this book, either through their direct assistance or indirect support. A big ‘Thank You’ to all the authors and reviewers who contributed to this collection of essays. We are thankful to Professor Donald Watson for contributing a thought-provoking Foreword. All authors have made significant contributions through a process of discussion and diversity of approaches. Their initial abstracts and the development of the chapters has been a shared journey, and the interdisciplinary expertise assembled in this volume helped us as editors to shape a special book on questions of urban density, bringing together a rich wealth of perspectives on the topic of compact city, urban form and sustainability. There are several people who deserve to be personally acknowledged, who otherwise might not be apparent to the reader. First, we would like to thank Professor Alexander Tzonis who was supportive of the idea for such a book. We also wish to thank present and past colleagues of Curtin University and the University of Portsmouth for their invaluable support. As editors, we hope the authors who contributed chapters will find the final book a worthy reflection of their inputs. We are particularly grateful to the academics for their generous assistance in reviewing text proposals and various draft chapters, thus lending rigour to the intensive review process. Many people, too many to name all, in research centres, government departments and industry partner organizations, have generously shared and supplied their helpful resources and insights. Special thanks go to the efficient publishing team at Routledge, who were again very helpful and supportive in the production of this volume for the Earthsan Series on Sustainable Design. We particularly wish to thank Trudy Varcianna and Fran Ford for their patience and support. We also would like to thank for apt advice and forward thinking (in alphabetical order): Rob Adams, Pal Ahluwalia, Tim Beatley, Kathy Bonus, Peter Brandon, Michael Braungart, Keith Brewis, Richard Burdett, Silvio Caputo, Edwin H.W. Chan, Nelson Chen, Klaus Daniels, Simin Davoudi, Cees De Bont, Shobhakar Dhakal, Peter Droege, Bill Dunster, Hisham Elkadi, Mark Gaterell, Jan Gehl, Herbert Girardet, Joana C. Goncalves, Tigran Haas, Catherine Harper, Peter Head, Manfred Hegger, Thomas Herzog, Richard Horden, Richard Hyde, Jasuhiro Imai, Mitchell Joachim, Ahmed Khan, Norbert M. Lechner, Jaime Lerner, Ian Lowe, Adrian McGregor, Alessandro Melis, Maxine Murray, Natalie Poole, Deo Prasad, Saffa Riffat, Tom Roper, Jan Saggers, David J. Sailor, Wasim Saman, Matt Santamouris, Charlotte Skene Caitling, Timothy Smith, Werner Sobek, Thomas Spiegelhalter, Achim Steiner, Shipra Narang Suri, Nigel Tapper, David Turnbull, Brent

xxiv Acknowledgements

Toderian, Raphael Tuts, Andy Van Den Dobbelsteen, Richard Weller, Stuart White and Nyuk Hien Wong. Finally, we thank Chay Tan and Cida de Aragon for their cheerful spirits and support that keep us going. Joo Hwa Philip Bay and Steffen Lehmann Perth and London, February 2017

Foreword Donald Watson

Growing Compact: Urban Form, Density and Sustainability provides a rich and timely inquiry into the daunting challenges of twenty-first-century human settlements. Cities across the world are stressed by unplanned growth in size, scale and populations. As cities expand, their centres and their peripheries become more dense without necessary provisions of open space, urban services or connections, adding to sprawl and congestion. Other cities are experiencing ‘de-growth’, loss of population, shrinking jobs and economy vitality. For these cities, density and in-fill can be part of positive and sustainable design. Some of these challenges are ‘age-old’ issues that traditional urban design has rightfully diagnosed and corrected. Others are new. Climate change has added unanticipated challenges of catastrophic disasters, resource loss, drought, heat waves and extreme weather. Expensive real-estate developments driven by speculation too often result in empty buildings, disruptive of local context or connections. Humanitarian issues of fairness and social and income inequality, poverty and security are raised with influx of new populations, immigrants from regions in turmoil, including ‘climate refugees’. Such are the twenty-first-century challenges of urban form, density and sustainability. They can be resolved, given time, thoughtful planning and development, and design exemplified by the innovative proposals set forth in this book. Key words in this discussion include sustainability, a concept from the 1990s United Nations Rio Earth Summit. Resilience is a more recent term, defined by the United Nations Intergovernmental Panel on Climate Change (IPCC) as an overriding global challenge in the face of extreme weather events and need to build back after disaster strikes with net carbon, renewable energy design and construction. Regenerative design and biophylic design imitate nature’s biological cycles that replenish their sources of materials and energy, producing clean water, fertile soil, food and climate moderating landscapes. These key concepts are guides to the ecological imagination that inspires the design of enduring cities and cultures. A very simple question can be asked of any design at any scale, from building to region: How does the design contribute to the health of the living environment? The answer can be stated in terms of the building users, the immediate surround, the larger metropolitan or regional context, or the air and water biosphere that protects life on the planet. A holistic answer, voiced by the authors in this volume, is to respond to each and all scales. Each and all are connected. The introductory chapter by Joo Hwa Philip Bay and Steffen Lehmann outlines solutions found in urban form and density, rightly asserting that each city has its special context and thus its uniquely local solutions. Several chapters make the point that the term ‘density’ is an ill-defined measure, that density alone is not a measure of sustainability, health, nor of its

xxvi Donald Watson

opposite, density alone does not result in an unsustainable or negative condition. The correct reading in any discussion of the value of density is that, ‘It depends’. Each of the chapters in this volume provide ‘lenses’ to view the challenges of compact and dense cities. How does one build to high density and at the same time raise standards of public health and safety and well-being? What are the upper limits of urban constructions both horizontal and vertical, before the functioning of urban life is diminished? How can higher density increase the efficiencies of urban services with flexibility to adapt to the dynamics of population demographics, economies and cultures? How are these challenges reflected in governance, planning and building regulations and incentives, laws and political institutions? The future health and vitality of our world communities, cities, and cultures depend on the answers to these questions. This book is replete with insights and provocations that set forth a new horizon for urban design research and practice and thus provides a hopeful vision for a resilient future. Donald Watson Connecticut, February 2017

Introduction

Chapter 1

Compact urban form, density and sustainability Correlations and holistic approaches Joo Hwa Philip Bay and Steffen Lehmann

Joo Hwa P. Bay and Steffen Lehmann

Summary Density and urban form are complex and challenging issues, affecting the liveability and resource-efficiency of cities in many parts of the world, from Asian cities to Australian and North American suburbs to European towns and cities. In most rapidly developing cities, economic demands are pulling the population back into the city core or pushing them out to the city fringes, causing great strain on infrastructure and living environments. Owing to the high cost of living space in the city centre and inner districts, and frequently poor design, many people are forced to live further out and commute increasingly long distances. In some cities, reliance on cars has caused suburban sprawl to extend 50 kilometres or more outwards from the city core, causing great strain on time, transport systems and energy resources, leading to even larger carbon footprints, coupled with poorer quality of living. It is worthwhile to consider different models for different geographic locations and varying climates, from low-density Australian or North American suburbs to high-density Asian cities, for instance. Whilst the benefits of transit-oriented development models are well researched and discussed (including more reliance on light railway, cycling and walking), the book explores whether there are other possible models by asking: Are there any viable models of mid-rise or high-rise high density urban villages with high levels of community and security, successful greening and comfortable living environments combined with almost no usage of air-conditioning or cars? This introductory chapter formulates a framework for various key correlations of diverse factors and strategies of planning and designing for compact cities, density and sustainability by promoting a more holistic approach. It introduces the various chapters from recognized scholars and practitioners included in this book discussing theoretical and practical work on density, urban form and sustainability at various levels, from city planning and urban design to public space and architectural design. The question is not whether or not to densify, but rather how.

Introduction: understanding urban form, density and sustainability This book is essentially about cities, their evolution of urban shape, density and how they may evolve in future. To establish the context, here are some facts on cities as recently outlined by the United Nation in the Sustainable Development Goals (the global SDGs, adopted by the UN in September 2015), especially by ‘SDG11: Sustainable Cities and Communities’:

4 Joo Hwa P. Bay and Steffen Lehmann

• •

• • • •

• • • •

•

Over half of humanity – 3.5 billion people out of 6.9 billion – lives in cities today (UN, 2015). By 2030, almost 60 per cent of the world’s population will live in urban areas; and by 2050 this will increase to 69 per cent (whereas in Europe in 2016, already more than 70 per cent of the population lived in urban areas). Some 95 per cent of urban expansion in the next decades will take place in the developing world, mainly in developing cities. One in five people still lack access to modern electricity; about 2.6 billion people in the developing world face difficulty in accessing electricity full time. Today, 828 million people live in slums and the number of people in informal housing keeps rising. The world’s cities occupy just 3 per cent of the Earth’s total land mass, but account for 60 to 80 per cent of energy consumption, 70 per cent of global waste and over 70 per cent of the world’s carbon emissions. Cities are the areas worst affected by the impact of global warming. Households consume 29 per cent of global energy and contribute to 21 per cent of resultant CO2 emissions. Rapid urbanization is exerting increasing pressure on fresh water supplies, sewage, living environment and public health. In 2002 the motor vehicle stock in OECD countries was 550 million vehicles (75 per cent of which were personal cars). A 32 per cent increase in vehicle ownership is expected by 2020. At the same time, motor vehicle kilometres are projected to increase by 40 per cent and global air travel is projected to triple in the same period. Higher density of cities can bring efficiency gains. It is expected that technological innovation will further help reduce resource and energy consumption, and thereby reduce the overall adverse environmental impact per capita of cities.

From these facts and figures it becomes obvious it is more important than ever to identify optimized urbanization models which have the potential to guide planners, architects and decision-makers in the future and help reduce the adverse impacts while improving liveability in cities. It is often said that the sustainability of a neighbourhood is directly affected by how dense a development is. Urban density and form will play a major role in this; however, we still know surprisingly little about these two influencing factors. Despite much research on density, a holistic understanding and measuring of correlations and interconnections has proven difficult. Growing Compact: Urban Form, Density and Sustainability presents contributions from well-known scholars and practitioners whose theoretical or practical work addresses density and sustainability at various levels, from city planning and urban design to public space and architectural design. It explores the phenomenon of urban form and aims to unravel the link between density, compactness and more sustainable lifestyles. It aims to take a more holistic approach to sustainability by understanding the correlations between the social and the environmental dimensions of city planning, urban design and architecture (Howard, 1902; Hall, 1988; Woodcraft et al., 2012; Magee et al., 2013; Woodcraft, 2014). Cities all over the world are going through a phase of major change; most of them are in the process of intensifying and planning for higher densities. Population growth demands are generally met with a move either to develop a more compact city form or to continue the suburban sprawl at the city’s fringe, a combination of both, or are simply left uncontrolled.

Compact urban form, density and sustainability 5

Compact city forms have been argued for some time to be more sustainable, therefore it is timely for architects, planners and urban decision-makers to better understand the relationship between urban forms, density and sustainability. Urban quality is a combination of tangible and intangible. The urban experience of ‘high, medium or low’ degrees of density will vary significantly from context to context. Urban density is of course more than just the ratio between the quantity of people or the number of homes and open space in a given area or space. While Kevin Lynch (1981) noted that we cannot establish an optimal city size, ideal urban density or ideal daytime temperature since situations and values differ, urban density is a key indicator for measuring a city’s performance and for developing urban policies (similar to other urban indicators, such as the size of urban renewal areas, accessibility of green space or air quality in cities). Alberti pointed out in regard to density: ‘What we can try to identify are certain measurable performance dimensions that can relate the spatial form of a city to human purposes and values’ (Alberti, 1996, p. 392). Key concepts of density and sustainable developments include issues of transport and compactness which would involve a discussion about the desired ‘optimal density’, mixed land uses, diversity and the use of appropriate technology, such as solar design, greening and re-naturing of cities and a reduction of the use of finite resources. Many of these discussions are in the context of developed cities (e.g., Breheny, 1995; Williams et al., 2000; Jenks et al., 1996; Hall, 2002; Jabareen, 2006; Marshall, 2008; Cooper et al., 2009; Berghauser Pont and Haupt, 2009; Lehmann, 2010, 2012a, 2017) and others explored varying understandings in the rapidly growing Asian and other developing cities (e.g., Jenks and Burgess, 2001; Ng, 2009; Kishnani, 2012). In a large scientific study, Makido and Dhakal examined the relationship between urban form and CO2 emissions from urban areas in 50 cities in Japan; they found that the passenger transportation sector in the compact cities emits less CO2 than that in more fragmented and sprawled cities (2012) (see Figures 1.1 and 1.2). The qualitative aspects of cities including health, safety, creativity, vitality and sustainability are linked to the maximum and minimum levels of density, and this discussion has been central to theories on the relationship of city life and urban form (Dovey and Pafka, 2014). This book sets out to examine various theories and definitions of urban density and sustainability, including social and environmental sustainability, and discusses related issues ranging from liveability and social capital to economic and environmental dimensions. In some instances, studies revealed a number of contradictions between the relationships of urban form, density and sustainability (Boyko and Cooper, 2017); and a strong community resistance (frequently from an activist minority) to the increase of density. But what are the risks and opportunities for increasing densities? Why is there such strong community resistance? What would motivate more willingness to change, furthering the discussions in Motivating Change (Crocker and Lehmann, 2012; Lehmann, 2012b)? This introductory chapter sets a framework for concepts of urban density and builds a backdrop for the various following chapters, which present different definitions of density and sustainability, quality of living and related problem definitions, in order to better understand and explain the complex subject by assembling diverse viewpoints and case studies. Perhaps there is not one perfectly sustainable solution in the world, but there can be more sustainable solutions interacting with each other depending on the definitions and the priorities placed for each context. There is also no perfect density and urban design, but there can be more holistic and less holistic solutions. Having higher density and more compact urban

6 Joo Hwa P. Bay and Steffen Lehmann

Figure 1.1 This graph illustrates the relationship between urban density and CO2 emissions for 12 selected cities. Source: The World Bank/World Resources Institute (2012).

Figure 1.2 This graph illustrates the relationship between urban density and fuel consumption; living in the more compact European cities requires far less fuel than in the sprawling US cities. Source: The World Bank/World Resources Institute (2012).

Compact urban form, density and sustainability 7

HOLISTIC COMPACT URBAN SOLUTIONS

DENSITY

More inclusive quality of living Mixed-use Land-use policy Community Security Productivity Regeneration and integration into community Localized energy, water and food resources Biophilia and biodiversity Infill with connectivity More inclusive and historical models Planning controls at neighbourhood scale

SUSTAINABILITY

Figure 1.3 A conceptual model of inter-relationships between density and sustainability. Source: Authors.

design does not necessarily lead to more sustainable design per se, nor to the opposite, and it always depends on the careful integration of multifarious factors; the more comprehensive the better. The framework in Figure 1.3 allows for seemingly conflicting issues to be reconciled where appropriate, and – where substantiated – clarity of differences to be realized. Upon this, the various chapters are introduced with the logic of groupings in five crossdisciplinary thematic parts where the flow of discussions is further outlined.

Correlations of multiple dimensions: a holistic framework Quality of life now and into the future is embraced by almost all literature on sustainable futures including the Brundtland Commission (1987), and these are related to the optimized governing and management of social, economic and environmental factors, be it in the developing or the developed cities. Efforts in maintaining community, social security and social capital in dealing with density is very important, but if done on its own, may not be as successful in achieving higher overall sustainability. Emphasis in lowering energy consumption and using materials with fewer propensities to pollution will lessen the impact on the environment. There is a wealth of research and knowledge to understand how this can be done better; some of these are discussed at length, for example in Low Carbon Cities, with a more holistic approach (Lehmann, 2015). Engineers and scientists discuss the benefits of regenerative methods for energy, water, food, waste and various resources, while architects and urban designers (with inputs from sociologists) design for a better quality of living and community engagement. How much more effective

8 Joo Hwa P. Bay and Steffen Lehmann

would it be if these various dimensions could be correlated and integrated with principles of vegetation and biodiversity and compact urban design for more effective and richer connectivity, with a better understanding of the social dimensions and their implications (Hamin and Gurran, 2009; James, 2015). The correlation and integration of multiple dimensions (listed in Figure 1.3) with a more holistic view is important, and lessons can be learnt from parametric models and rich historical examples in traditional history, as well as more recent developments of cities, relating density with sustainability and improved productivity more successfully.

Research questions on density, urban form and sustainability With this mindset, the following research questions emerged: • •

•

• • •

How do issues of liveability and social sustainability intersect with challenges created by higher compactness and density in the city? How can aspects of energy and resource management, greening and food production be integrated within compact city solutions? Can some of the regenerative aspects be fused with a more compact urban form and community living in the city? What design systems, technologies and construction approaches are appropriate to deal with the demands of density and sustainability in both social and environmental dimensions? What could help to support the decision-making process for such complex demands for density and sustainability, which can be conflicting and at other times complementary? Which frameworks, governance and evaluative methods are used to think about different challenges that can also help in the process of making policies, guidelines and decisions? Consequently, what is the link between density and sustainable urban form?

Most cities have no choice than to densify. Density decisions can positively influence the degree of sustainability of a city to reduce waste and support transport demands; however, they can also have a negative impact if not done optimally, with ramifications on the environmental, economic and social dimensions. This densification if not managed carefully often results in either informal expansions or drastic changes in planning policies for subdivisions and infills in suburbs at the fringes of the city. In future we will have to focus not just on the city core, but also on the suburbs for a more comprehensive approach to densification.

Risk and opportunity of designing for resilience We must always think carefully about how we use the limited space available. What are the urban lifelines to achieve climate resiliency, and what are the risks if such measures are not incorporated into the city planning and design? Natural weather events can become hazards as a result of human actions. Donald Watson, in Chapter 2, discusses new urban design principles that combine sustainability with emerging concepts of ‘resilience’ to have less impact on geological, hydrological and meteorological conditions, thus reducing the risk of higher damage from hazards. He cites the kinds of risks and opportunities reflected in discussions by Atkins (2012) and Brecht et al. (2013). There are various kinds of impending disasters that could be avoided or minimized. Building on flood plains means less natural landscape to absorb and limit flooding leading to increased risk of greater damages from flood hazards. Urban canyon and heat island

Compact urban form, density and sustainability 9

effects not only increase the impact on climate change, but also increase the risks of harm to human health. An imbalanced use of available water for consumption and aquifying the land increases the risk of drought and destruction of good soil. There are opportunities for post-disaster cities and rapidly growing cities to plan for increased resilience through better understanding potential hazards ecosystems that regulate the supply and quality of water, air and soil in urban design (Watson et al., 2003; Watson and Adams, 2011).

Ethical questions and human barriers for density increase: doing density well Cities will need to manage density increase well. Is there something such as good or bad density? What are some of the fears relating to planning for urban densities, and the myths that need to be demolished? In Chapter 3, Peter Newman discusses incidences where higher density can positively contribute towards more sustainable developments, the fear of density in the Anglo-Saxon cities with resistance to redeveloping low density cities for higher density, and attempts to dismantle some of these fears. There are perceptions that high-density housing is bad for health and creates social problems such as lowering land values, and creating slums; removing trees, reducing opportunities for places for children to play, for growing food and collecting rainwater; consuming more energy, producing more greenhouse gas; not being necessary because renewable energy and electric vehicles will mean we can drive as much as we like; destroying the heritage buildings of our suburbs; wasting the materials and embedded energy in suburban housing and not being good for the economy. There can also be a misconception that nobody likes high-density housing; and that the high-density problem is caused by population growth, this should be stopped in cities and people relocated to rural areas. Against these fears are the arguments that high-density housing can provide opportunities to use population growth as a positive impetus to create new and exciting housing options; to offer more architectural diversity in an urban townscape; to enable more affordable housing; to encourage new distributed small-scale green technologies; for more community and creativity; for diversified economic growth through agglomeration economics, local economic benefits, reduced avoidable costs and lessened external costs; for biophilic urbanism; for cultural diversity; and to support the building of connected city fabric with urban rails and transit-oriented developments, lowering the dependency on cars.

Densification or sprawl? Qualitative density versus endless mobility Urban sprawl and low-density developments frequently come with hidden costs and disadvantages, ranging from car dependency to loss of agricultural space and the risk of social isolation. What are the problems of sprawls and the opportunity for denser sustainable urban development? What are the different approaches to densification for many cities with existing city fabrics? What are the problems with infill and are there opportunities for more sustainable solutions?

Developing cities, sprawl and densification Can density also play a role in achieving more sustainable, inclusive, safe and resilient cities in the developing regions?

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Paul Jones and Donovan Storey, in Chapter 4, examine the cost-benefit trends relating to urban density versus sprawl, their policy, consequences and contribution to sustainability in the Asian and Pacific regions, which are experiencing rapid growth in economy and population. There is a large proportion of slums and unequal distribution of wealth, with inadequate shelters, security, clean water and sanitation. The diverse underlying social and cultural norms and values dictate the levels of acceptable density, urban structures and forms. There is much debate around the most effective and desirable urban form to suit varying city and regional scales. The conventional notion of urban implies distinct separation of urban and rural entities, and economic and social functions, but this is not so clear-cut in the complex and ambiguous developing regions, which defy the applicability of traditional planning concepts and techniques. The administrative urban areas and the sprawl need to be seen as a wider agglomeration with blurred boundaries; and often functional regions exceed the administrative boundaries, making it difficult to account for the urban density. New functional and territorial instruments are needed to supplement administrative constructs to deal with the complexity and ambiguity; offering more lateral and integrated approaches to multi-level and collaborative governance that more readily reflect the ever-changing urban milieu, towards more sustainable urban developments for such rapidly developing regions, with increasing patterns of informal settlements and urbanism.

Developed cities, low-density suburbs and infill densification What are the problems of suburban sprawl for developed cities? What are the benefits and inevitable need for denitrification in the city towards a more sustainable future? What are some of the challenges to achieve a higher-density compact city? In describing the challenges of transforming a low-density city into a compact city (Chapter 5), Steffen Lehmann is using the City of Perth as a case study to discuss the underlying dimensions of such a transformation of car-dependent suburbs, by looking at the design of low-carbon green precincts and their urban systems. The reuse and intensification of brownfield development is currently the main focus for most cities in Europe and the United States. For Australian cities, there is a need to precisely explain the benefits that can flow from density done well. Automobile dependent low-density and dispersed cities are always less sustainable compared to higher density cities with lower car traffic (Gehl, 1987), there is still a significant emotional resistance to the densification of the 1960s Great Australian Dream: the misunderstanding that the car-dependent city is an expression of freedom where by everyone can enjoy driving from place to place conveniently. Density perceptions are difficult to change and efforts to modify existing urban densities are frequently met with strong resistance. But the inevitable need to densify can only happen with community support. The chapter frames the key arguments for the many benefits of a more sustainable compact city.

Social-environmental dimensions Will environmental sustainability alone ensure the quality of living when humans are social beings? How are social and environmental dimensions inter-related in high-density living contexts? The concepts of socio-climatic, beyond bio-climatic (Bay, 2011), and the relationships of social dimensions such as community, social capital and sense of security with environmental

Compact urban form, density and sustainability 11

dimensions in sustainability (Bay and Ong, 2006) are explored, in Chapter 6, by Joo Hwa Philip Bay. Sustainable design rating systems for developments started mainly with environmental engineering criteria, and they are only beginning to include more social dimensions. Bay suggested a methodology to rank community-building potentials of a range of open spaces in high-rise, high-density residential environments including public roof gardens, sky decks, common corridors and privately owned front-yard/forecourt of the apartment that are open to frequent casual encounters with neighbours; and showed how the front-yard/forecourt out-performed the public open spaces by a factor of 3.5 to 5 times in community-building potentials. In Chapter 6, Bay also examines what people want for their housing units and their environment. Are informed buyers and users finding it difficult to get what they want from the housing supply? He also discusses the fear for density perpetuated by failed models of high-rise, high-density developments in the past, and showed the anti-thesis in successful recent models. There is a need for understanding real potentials with higher density and what people are willing to trade off in privacy for greater sense of belonging and security, and other benefits by living in the city. In conclusion, he discusses a methodology of ranking what people truly value in various housing design features so as to fill the many gaps in the current real-estate valuation system; and what decision-makers of the city can do to help bridge the gap between what people want and what is to be designed and made available for a more social-environmentally sustainable future.

Urban design innovation towards community, security and quality of life What are the aspects of security relating to density and sustainability, and whose quality of life is affected? What are the patterns of thinking about housing communities in the historical process? What is the impact of ageing and how can this be managed as sustainable communities?

Secure quality of life Will density ensure a better sense of security and a better quality of life? Or is there a conflict? Is the CCTV a solution or a threat to quality of life? Mike Jenks, in Chapter 7, argues that there is a close association between the goals of a compact and high-density city and the indicators of quality of life, and that the reduction of inequalities through cooperation and inclusion are central to the compact and sustainable city ideal, contributing towards more secure and safe cities, ensuring a better quality of life. The discussion about security should go beyond the usual fear of crime, security of food, water and energy, protection from poverty and economic inequalities, the impact of climate change and increasing acts of terrorism. With population increase, there is greater competition for food, energy, water and land for more urban development, with a corresponding reduction of agricultural land. Inequality and imbalanced distribution of wealth can lead to increase in crime rates, negative impacts on mental, physical and social well-being, and can lead also to social and political unrests, with further negative impacts. Compact city planning and design must be done in such a way to avoid overcrowding and inefficient traffic, be as crime free as possible, save energy and secure land for agricultural purposes. Planning and designs of neighbourhoods should

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encourage community ownership, involvement in food production and making more local contribution in regards to housing, businesses and shops. Often higher density is associated with over-crowding, a drop in health and higher crime rates. Are there conflicts between feeling safe and having higher density? Will there be a push for more surveillance cameras resulting in a policed-state mentality? In Chapter 9, Emil Jonescu discusses the possible problems of hyper-surveillance, public safety and social sustainability in high-density environments. The harmful impact of privatization of public space and too much surveillance with CCTV cameras is discussed in detail, and the message is that it is not socially sustainable. Planning and design for more diversified ethnicity in communities and passive surveillance are arguably more feasible with higher populations in the vicinity. An implied surveillance would exist through the perception that crime is less likely to occur in the presence of many, and the relationship between urban spaces, compactness and population can provide safer and more socially sustainable public spaces, avoiding the need for the omnipotent CCTV systems. Not having a clear understanding of how passive surveillance can work, and not having clear governance to provide adequate security can lead to unsustainable developments, and perpetuate the fear of density. A comparison of Singapore and Perth urban designs offers an understanding of the pros and cons with regards to urban strategies for security, and provides a better understanding of possible urban block and street designs with higher density.

Safeguarding open space with the Randstad It is commonly believed that public open landscapes are important green spaces to balance the hard structures in the city, and that open spaces are quintessential for community usage and quality of life. How successful is the execution of compact city development in safeguarding open landscape spaces? The Netherlands has always maintained a sustainable approach to planning and designing the whole country based on the Randstad, satellite compact city model, linked with railway and bicycle transportation. Maintaining open landscape spaces while increasing density in the city cores and managing suburban sprawl has always been a goal. Jeroen Mensink and Frank van der Hoeven discuss, in Chapter 8, a comparative analysis of the post-war planning period to current developments in order to demonstrate how the wish to preserve open landscapes has had impact on the shape and form of urban areas in the Netherlands. While there is an attempt to maintain a fairly strict delineation and boundary of the open landscape spaces, seeing them as different from the city, there is now great pressure to build into existing ‘Green Heart’ areas, owing to population growth. There is also an increase in car use that congests the highways despite the success and good intention of the original Randstad and Green Heart policies.

Public places, ageing and social sustainability What are the needs of the ageing population besides a reasonable place to live and good health care? How can public places be planned, designed and managed to sustain the social well-being of an ageing community in dense context? In Chapter 10, Keng Hua Chong, Kien To and Michael M.J. Fischer use comparative case studies of policies and practices concerning public places for senior citizens in Singapore and Japan and discuss these with the concepts of social sustainability, ageing-friendly and

Compact urban form, density and sustainability 13

‘ageing in community’ (citing Blanchard, 2013) rather than merely ‘ageing in place’. While amenities are initially provided as top-down provisions in the Singapore cases, such as fitness corners, play areas, adaptation of use of underutilized void decks, community gardens and high-level public places, a better approach was to promote the concept of collaborative place-making with the senior communities, so that there are more bottom-up initiatives and sense of ownership. The context of Japan is different from Singapore, as public places are in the form of public roads transformed into Hokoten (pedestrian paradise), appropriating open spaces and gaps between buildings, transforming Roji (alleyway) into shared community event-spaces, where many shops and eateries expand into and visitors and residents can socialize in. Well-publicized maps and tours of historical assets in the community serve as an educational tool about community interests and rights over those shared spaces. Many of these public places are designed by the senior citizens with their own initiatives: local, ground-up and small-scale, with great impacts on the social living qualities. The key to social sustainability for the senior citizens is to provide strategic physical ‘urban acupuncture’ that allows for changes to take effect over time, with the ownership and participation of the residents, and allowing them to express the voice of the community.

Greening, regeneration, density and urban resilience With compact living, will there be a lack of greenery to balance the harsh impact of buildings? Can this be integrated more holistically with food production in the city? What localized regenerative approaches can be taken for the supply of energy, water and food, and how can they be integrated with the compact urban forms? Would it be possible to grow food in the high-rise living environments in sufficient volume?

Creating green in compact environments To what extent is biophilic urbanism embraced in current policies and practices in various dense cities? Is there a way to measure and regulate the proportion of greenery in a development? Is there a way to visualize and predict the impact of greenery in the planning and design processes? Walker Wells, Tigran Haas and Helene Littke, in Chapter 11, trace the changing thoughts and challenges in the planning and design of green spaces in Stockholm: from the Crown safeguarding green open spaces, to new generation urban infill projects addressing dynamics between density and green spaces. One of the challenges facing Stockholm is the effective integration of multi-functional open spaces into contemporary spatial and economic models of denser developments. One attitude noted in a case on the provision of urban gardens was more for the purpose of aesthetic, recreation or mobility, which was initiated more from formal urban consideration rather than ecological concerns. However, there is a move towards a more holistic concern for sustainable developments. Land tenure, measures and mechanisms for creating green spaces are discussed, including the idea of a Green Area Factor, and Green Neighbourhood Rating Systems. In Chapter 12, Boon Lay Ong, Ole Fryd, Dominique Hes, Tuan Duc Ngo and Lu Aye discuss the concept and application of the Green Plot Ratio (Ong, 2002) into a Precinct Information Management tool to investigate the effects of urban greenery in cities as part of densification strategies called MUtopia. They define sustainable infrastructure as concerning energy, water supply and waste management, and green infrastructure as dealing with

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health, biodiversity and air quality; and that the system integrates both sets of infrastructural concerns and can ideally show overlaps in certain contexts. One example of the MUtopia modelling of a precinct shows the level of GPR and the impact on energy, water and social value, and property prices with indicative figures. This integration of greenery into an evaluative tool for urban design can promote design and aesthetics as an expression of human biophilic and ecological behaviour.

Localized regenerative resources and integration Most existing energy, water and waste management systems are large municipal centralized systems that serve very large geographical areas of development with long and expensive infrastructures, which are not as readily adaptable to changing needs as more localized and decentralized systems. Centralized systems are also difficult to manage and recover in times of natural disasters. What are the current viable eco-technologies that can be used to support compact urban form as localized and regenerative systems? Can they also be integrated into urban design and community spaces in a dense context, functionally and aesthetically? In Chapter 13, Martin Anda discusses a few state-of-the-art localized systems that can be integrated into compact and dense urban forms. These eco-technologies include closed cycle water supply systems, waste water minimization and recycling systems, solid waste and resource recovery systems, alternative energy supply systems, and monitoring, control and feedback systems for integrated management. Several case studies of each system are discussed critically in relation to their success and suitability as decentralized systems. The man-made tends to contain nature and dominate humans, when it is supposed to serve, and large radial centralized system with immense inflexibility tends to set more limits for humans and dominate nature. A framework of development with multiple smaller and nimble decentralized and integrated systems can promote a more rhizomic and organic pattern of greater adaptability and connectivity; thus is a model for better resilience. Steve Herselman and Joo Hwa Philip Bay, in Chapter 14, discuss this framework with the concept of the Third Ecology in the Shape of Community (Chermayeff and Tzonis, 1971) where man, smarter information, the man-made and natural are more inclusive, integrated and creative, and a closed cycle system of food production, energy, water and waste management is integrated with dense community living. The systemic integration of technologies with social and cultural dimensions in the urban settings is demonstrated with an example of symbiotic urban design. This decentralized system not only provides diversity of economic and social engagements, but also allows more autonomous control and ownership for the community, promoting more inclusive sustainability.

Food production and high-density living As the population in a city with limited land increases, the pressure to use agricultural land for developments increases. There is increasing discourse on food security and vertical farming. Is it possible to grow food effectively in dense city environments, and can this work in the high-rise context? Will they produce sufficient food for a population? In Singapore, there is hardly any land left for agricultural use, and the population will continue to increase with more high-rise developments. In Chapter 15, Joo Hwa Philip Bay, Owen Liam Choo Wee and Sunjyot Singh discuss two theoretical models of high-rise food production. One is a design for a high-rise residential development called the R4 Apartment

Compact urban form, density and sustainability 15

Project and the other the Food Tower Project, both integrating food production processes in the high-rise environment in closed loop energy and resource systems. Discussed are the technicalities of sunlight, types of food including matching available sunlight intensity and hours with types of vegetables, and the physical configuration of the high-rise designs. Available spaces for aquaponics fish and vegetable production systems on residential balconies, and communal sky decks are also considered. Renewable energy sources for additional 24 hours grow lighting, vertical transportation, water collection and waste management are also integrated. The potential volume of food that can be produced with the Food Tower Project on a land area of 1 hectare is sufficient to feed above 11,000 persons per year; and this is equivalent to a 400-times yield compared to traditional farming on the same area of land. The potential is significant, but there are obstacles to the full implementation of such projects.

Enabling models, guidelines and policies What are some successful and failed models of urban densification? What are some parametric models that can be guidelines? What are the issues for policy-making?

Smarter densification What is a Smart City, and how smart or dumb can a dense city be? Tom Verebes discusses Hong Kong’s brand of density and compactness, and how smart it is in Chapter 16. The notion of urban smartness is challenged as meaning attenuated efficiency and augmented cybernetic control. Hong Kong’s distinctive identity to its urbanism lies in its intelligence to harness, regulate and manage its complexity, and to have plasticity to anticipate an adaptive and not prescriptive future. There is a migration from hard infrastructure to the more organic soft nature of the city. Hong Kong is discussed with four lenses – the parametric nature, the adaptive and evolutionary nature, distinctive urbanism, and dense urbanism as the Smart City – and the verdict is that its adaptability and unfinished nature qualify it as not dumb, but smart. For Hong Kong to be a Smart City there needs to be a balance of a top-down civic government and a bottom-up hacker culture of haptic innovative communication and democratic ideas.

Density, urban form and environmental performance The relationship between density, urban form and environmental performance is multifaceted and complex by nature. Design and urban form matter in the exploration of planning strategies aiming at achieving higher-built density without compromising environmental quality of urban development. What methodological process can be employed to evaluate the performance of different design options in the early stage of the urban planning process? Chye Kiang Heng, Lai Choo Malone-Lee and Ji Zhang discuss (in Chapter 17) a methodological framework and digital simulation approach that can support urban planners and architects to make informed design decisions that could lead to a more sustainable urban environment. The study is focused on the meso-scale urban analysis so as to fill the gap between the macro-level regional and city-scale studies and the micro-scale of buildings. The meso-scale, which is at the urban street block and neighbourhood level, is highly relevant to the early stages of urban planning, urban design and architectural design processes.

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The relationship of urban forms for higher-density living and spatial quality are studied. The environmental quality of urban open space and the environmental quality of building facades (with implications on the interior user comfort, perception and on energy consumption) are correlated and analysed.

Compact city, housing innovation and challenges What are some of the difficulties in promoting the compact city to the government, the developers and the people? What are some of the innovations in housing and urban designs to accomplish higher density while maintaining if not improving the quality of living?

Innovative housing infill typologies to densify inner- and middle-ring suburbs Caitlin McGee, Laura Wynne and Steffen Lehmann explore in Chapter 18 new trends for co-housing and lifestyles that suit well emerging urban infill typologies. Changing household demographics in the inner- and middle-ring suburbs require innovative medium-density housing types we have previously not seen; and ‘density done well’ requires integrated planning as well as new approaches to housing. While the growth of cities seems a continuous fight against sprawl, densification could be done more convincingly by offering more diverse housing and by using modular prefabrication that allows for accelerated and appropriate urban infill.

Perception of low-density development and the challenges faced to introduce higher density Shahed Khan and Andrew Carville, in Chapter 19, discuss the entrenched Great Australian Dream for a picturesque and bucolic lifestyle away from the dense and congested urban environments of Britain. The sprawling urban morphology Perth, one of the lowest densities in the world, has been virtually mandated by government health and planning policies, market forces, cheap fringe land and a fervent belief in the lifestyle (see also Chapter 5). Against this backdrop is the challenge of introducing and promoting higher-density living and the compact city model. This structural change cannot truly unfold without housing options being readily available.

Optimal-quality density In Chapter 20, entitled ‘Imagining optimum, not hyper, density’, Steffen Lehmann describes the lessons learnt from high-density cases such as in Hong Kong, Singapore, Sydney and Vancouver to propose a possible framework for optimal-quality density. High-density areas are sometimes thought of as unhealthy areas to live (and the case of ‘Kowloon Wall City’ is discussed). However, walkable neighbourhoods can also support social interaction and physical activity while decreasing obesity rates and social isolation. In the discussed case cities, the real-estate market is booming and densification follows economic rules: here, consolidation occurs according to economic principles of concentration and intensification, where the value of real-estate property is mainly determined by its location, the land value and its development potential (plot ratio). Under these conditions, increasing densities are not an

Compact urban form, density and sustainability 17

option, but a must – driven by the real-estate market and rules of supply/demand. It is in the realm of the architects and urban designers to deliver high-quality solutions. Well-designed, higher-density living is essential to a contemporary urban vision of our cities and – if done to a high standard – can enable benefits such as increased diversity, opportunity, sustainability, productivity and affordability.

Advocate and intermediary for the government, the developer and the people Governments are sensitive to community apprehension about change and must temper the need for a more compact city with community concerns. Chris Johnson, in Chapter 21, brings the experience of the Urban Taskforce acting as the advocacy in the effort to shift Sydney’s ever-growing city shape towards a more urban environment with increased densities to balance the predominantly suburban existing environment. What would a New Sydney look like for the younger generation and one that is a multicultural and diverse community? The Urban Taskforce envisaged and demonstrated a sliding scale of developments from low to high density, from low-rise to high-rise buildings and to then locate these in appropriate sites and suburbs, with the higher-density buildings closer to the railway stations and commercial centres. Slowly community and government attitudes are swinging towards new paradigms.

Food for thought: are promises kept? While the title of this book is Growing Compact, could there be wisdom for Shrinking Compact? While the discourse hopes to reveal the connections between density and sustainability, could there be contradictions and insurmountable conflicts?

Shrinking compact Tadashi Matsumoto, in Chapter 22, shares the phenomena of shrinking populations in developed Japanese cities and the challenges to re-plan and re-design as more compact cities to attract more people back to the city with various government incentives. Japanese cities face unprecedented challenges. Population decline, combined with continued urban expansion, has reduced population density and made it less viable to maintain the levels of public services that there used to be in cities. Ageing of urban population also calls for alternative mobility options to private vehicles and a more walkable environment in cities for the elderly. The Japanese example of the City of Toyama illustrates that compact city policies may be relevant not only in the context of managing growing urban population but also in a shrinking and an ageing population, with tailored solutions depending on different demographic trends underlined. It also illustrates the role of compact city policies for improving quality of life of the elderly, and women’s working and child-raising environment in cities, particularly in the Japanese context.

Density and sustainability — strange bedfellows? Christopher T. Boyko and Rachel Cooper, in Chapter 23, ask if density and sustainability are strange bedfellows. Are people well informed of what it means for the design of the built environment when urban density is increased, and do they understand the nuances of the

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implications? How do the reasons of increasing densities conflict with one or more of the social, environmental and economic pillars of sustainability, and will city leaders be more confused? The issues in trying to develop a widely used definition of density and sustainability are discussed and the notions of ‘good’ density and sustainability as universal truths are challenged. Original survey research by the authors shows that people do not know enough about densities in cities, and are not receiving coherent messages about increasing densities sustainably. What designers, planners and policy-makers need to do to ensure that cities can be sustainable in terms of density is discussed in the conclusion.

Other viable solutions and questions for further research Cities vary widely and have a diversity of density characteristics (for instance, see Figure 1.4). It is obvious that there is also a multiplicity of density concepts in existence – to discuss, assess and measure urban density — and not only one single understanding. The understandings derived from London, for instance, may not be readily applicable to Jakarta, and vice versa. However, some principles can be considered for exploration in diverse contexts with further multi-disciplinary studies and international collaborations to realize effective applicability. It is hoped that the presented volume of essays is helpful for both sides in the densification debate. The book showcases new research and addresses relevant questions in regard to urban density, and it is highly likely that this exciting field of research will gain further momentum over the years to come. The presented examples of ongoing research from experts in the field will enable architects and planners to build new strategies for our urban futures. Hence, the editors hope that this introductory chapter (and this book) offers a viable framework to better relate the various possible solutions as well as further questions relating to the compact city, urban form, density and sustainability discussed in the ensuing 22 chapters with evidence from cities around the world, and that the book as a whole will unfold new insights and detail valuable solutions for future policy-making, implementation and further research.

Figure 1.4 This comparative graph shows the different urban densities between Jakarta and London. Source: A. Bertaud and S. Malpezzi (2014).

Compact urban form, density and sustainability 19

Figure 1.5 These ground maps show the difference between cities which are fine-grained and have evolved organically over time (such as Tunis or Rome) and planned cities (such as Paris or New York). Source: Geoff Boeing (2016).

20 Joo Hwa P. Bay and Steffen Lehmann

References Alberti, M. (1996) ‘Measuring urban sustainability’, Environ Impact Assess Rev 1996, vol. 16, pp. 381–424 Atkins (2012) Future Proofing Cities: Risks and Opportunities for Inclusive Urban Growth in Developing Countries, Atkins and UK Department for International Development (UK AID), Epsom, Surrey, UK, www.atkinsglobal.com Bay, J.H. (2011) ‘Towards a fourth ecology: Social and environmental sustainability with architecture and urban design’, Journal of Green Buildings, vol. 5, no. 4, pp. 176–197 Bay, J.H. and Ong, B.L. (eds) (2006) Tropical Sustainable Architecture: Social and Environmental Dimensions, Elseiver Science, Architectural Press, London Berghauser Pont, M. and Haupt, P. (2009) Space, Density and Urban Form, thesis TU-Delft, NAi Publishers, Rotterdam Bertaud, A. and Malpezzi, S. (2014) The Spatial Distribution of Population in 57 World Cities (Draft Paper), University of Wisconsin-Madison Blanchard, J.M. (ed.) (2013) Aging in Community, Second Journey, Chapel Hill, NC Bokyo, C. and Cooper, R. (2017) ‘Density and sustainability: Strange bedfellows?’ in J.H.P. Bay and S. Lehmann (eds), Growing Compact: Urban Form, Density and Sustainability, Routledge, London and New York Brecht, H., Deichmann, E. and Wang, H.G. (2013) A Global Urban Risk Index, Policy Research Working Paper 6505, The World Bank, East Asia and Pacific Region Development Research Group Urban and Disaster Risk Management Department, Washington DC, www-wds.worldbank.org/ external/default/WDSContentServer Breheny, M. (1995) ‘The compact city and transport energy consumption’, Transactions of Institute of British Geographers, vol. 20, pp. 81–101 Brundtland Commission (1987) Our Common Future, Annex to Report of the World Commission on Environment and Development (WCED), United Nations, Geneva/Oslo Chermayeff, S. and Tzonis, A. (1971) Shape of Community: Realization of Human Potential, Penguin Books, London Cooper, R., Graeme, E. and Boyko, C. (eds) (2009) Designing Sustainable Cities, Wiley-Blackwell, London Crocker, R. and Lehmann, S. (eds) (2012) Motivating Change: Sustainable Design and Behaviour in the Built Environment, Routledge, London and New York Dovey, K. and Pafka, E. (2014) ‘The urban density assemblage: Modelling multiple measures’, Urban Design International, vol. 19, no. 1, pp. 66–76 Gehl, J. (1987/2011) Life between Buildings: Using Public Space, Danish Architectural Press, Copenhagen/Island Press, London Hall, P. (1988) Cities of Tomorrow: An Intellectual History of Urban Planning and Design in the Twentieth Century, Blackwell, Oxford and New York Hall, P. (2002) Urban and Regional Planning (4th edn), Routledge, London and New York Hamin, E. and Gurran, N. (2009) ‘Urban form and climate change: Balancing adaptation and mitigation in the US and Australia’, Habitat International, vol. 33, pp. 238–245 Howard, E. (1902) Garden Cities of Tomorrow, Faber & Faber, London Jabareen, Y. (2006) ‘Sustainable urban forms: Their typologies, models and concepts’, Journal of Planning Education and Research, vol. 26, pp. 38–52 James, P. (2015) Urban Sustainability in Theory and Practice: Circle of Sustainability, Routledge, Oxon and New York Jenks, M. and Burgess, R. (eds) (2001) Compact Cities: Sustainable Urban Forms for Developing Countries. Routledge, London Jenks, M., Burton, E. and Williams, K. (eds) (1996) The Compact City: A Sustainable Urban Form? E. & F.N. Spon, London and New York

Compact urban form, density and sustainability 21 Kishnani, N. (2012) Greening Asia: Emerging Principles for Sustainable Architecture, BCI Asia, Singapore Lehmann, S. (2010) The Principles of Green Urbanism: Transforming the City for Sustainability, Routledge, London Lehmann, S. (2012a) Beyond Urbanism, Samplepublisher, London Lehmann, S. (2012b) ‘The metabolism of the city: Optimizing urban material flow through principles of zero waste and sustainable consumption’, in S. Lehmann and R. Cocker (eds) Designing for Zero Waste: Consumption, Technologies and the Built Environment, Routledge, London and New York, pp. 309–343 Lehmann, S. (ed.) (2015) Low Carbon Cities: Transforming Urban Systems, Routledge, Oxon and New York Lehmann, S. (2017) ‘What is density?’ in Wiley-Blackwell Encyclopedia of Urban and Regional Studies, Wiley, Oxford, www.wileyiran.com/ProductDetails.aspx?pisbn10=1118568451 Lynch, K. (1981) Good City Form, MIT Press, Cambridge, MA Magee, L., Scerri, A., James, P., Thom, J.A., Padgham, L., Hickmott, S. et al. (2013) ‘Reframing social sustainability reporting: Towards an engaged approach’, Environment, Development and Sustainability, vol. 15, pp. 225–243 Makido, Y. and Dhakal, S. (2012) ‘Relationship between urban form and CO2 emissions: Evidence from fifty Japanese cities’, Urban Climate, vol. 2, pp. 55–67 Marshall, J.D. (2008) ‘Energy-efficient urban form’, Environmental Science and Technology, vol. 42, no. 9, pp. 3133–3137 Ng, E. (ed.) (2009) Designing High-Density Cities for Social and Environmental Sustainability. Routledge, London Ong, B.L. (2002) ‘Green plot ratio: An ecological measure for architecture and urban planning’, Journal of Landscape and Urban Planning, vol. 965, pp. 1–15 The World Bank (2012) ‘Cities and climate change: An urban agenda’, report, Washington DC United Nations (2015) The Sustainable Development Goals (SDGs), Geneva, www.un.org/ sustainabledevelopment/sustainable-development-goals/ Watson, D. and Adams, M. (2011) Design for Flooding: Architecture, Landscape and Urban Design for Resilience to Climate Change, John Wiley & Sons, Hoboken Watson, D., Plattus, A. and Shibley, R. (2003) Time-Saver Standards for Urban Design, McGraw Hill, New York Williams, K., Burton, E. and Jenks, M. (2000) Achieving Sustainable Urban Form, E & FN Spon, London and New York Woodcraft, S. (2014) ‘Understanding and measuring social sustainability’, Journal of Urban Regeneration and Renewal, vol. 8, no. 2, pp. 133–144 Woodcraft, S., with Hackett, T. and Caistor-Arendar, L. (2012) Design for Social Sustainability, Social Life, London

Part I

Framing the question Unravelling the link between density, sustainability and compact cities

Chapter 2

Urban lifelines to achieve climate resiliency Donald Watson

Summary This chapter proposes a set of urban design principles – defined as ‘urban lifelines’ – to respond to the climate challenges of the twenty-first century. Increased density, if unplanned, can result in greater congestion, pollution and gird-locked cities. With urban lifelines, compact and connected multi-use nodes can support the ecosystem functions of water, food, energy and waste recycling and provide mobility and safe harbour for resilience to climate change. Resilience to climate change includes protection of populations from natural disasters, such as hurricanes, tsunamis and earthquakes. It also includes mitigation and adaptation measures for longer-term risks of global warming and sea-level rise through actions that reduce carbon emissions. Human settlements, land consumption and megacities have changed the geological, hydrological and meteorological conditions of regions and localities. Building on flood plains has removed the effectiveness of the natural landscape to absorb and limit flooding. The heat island effect has raised ambient air temperatures around cities. Urban canyons retain air pollution to levels harmful to human health. Wasteful water consumption has depleted local aquifers, accelerating drought and soil loss. Severe weather attributed to global climate change has disrupted cities and regions at rates and scales not previously imagined. The harm is due in part to urban design, or lack of it. Cities have located or expanded into areas exposed to natural hazards, earthquakeprone zones and floodplains. As cities grow in size and density, the risk to life safety and health increases. This creates a single challenge for urban design for the twenty-first century.

New urban design principles are needed to respond to climate change Cities evolve from the planned and unplanned confluence of commerce, population, resources, governance and culture. Where cities develop slowly over decades and centuries, city growth can evolve patterns scaled to their natural surrounds. Where development occurs rapidly – for example, the explosion of new megacities of the late twentieth century or rapid rebuilding following a natural disaster – vital connections to natural and cultural conditions are often disrupted or lost, outpacing the best of plans. System designs to handle traffic, water, waste and other city services are overwhelmed. Urban design principles define the form of cities. Some principles are cultural, defining formal elements of style, scale and character of the public realm. Some principles

26 Donald Watson

are functional, reflecting requirements of transport, infrastructure and construction. The theory and practice of urban design represent the collective mix of these principles and standards that support the beauty, health, safety and liveability of civic life (Watson et al., 2003). The geologic and hydrologic history of a place is written in its natural landscape of mountains, valleys, watercourses, soil and vegetation, the result of millions of years of adaptation to a specific regime of climate and weather. The indigenous and vernacular architecture of a region has traditionally reflected a practical response to climate and local resources. The wisdom of place and bioclimatic design is often lost or ignored in industrialized architecture. In the best instances, buildings represent ingenious strategies of ‘design with climate’, to utilize the resource of the natural climate by siting, orientation and construction (Watson and Labs, 1983). In the 1990s, concepts of sustainability emerged from the United Nations Rio Earth Summit. Sustainable design principles extended the mandate of urban and architectural design, setting goals for energy and resource conservation through building codes and incentive programmes in cities across the world (Van der Heijden, 2014). In the present century, climate disruption is evident in global weather trends, warming and pollution of the atmosphere and oceans, extreme weather events, altered vegetative zones, storm and precipitation patterns, and sea-level rise. Climate change mitigation defines actions to reduce or eliminate global greenhouse gases (GHG) that contribute to global warming. Climate adaptation defines actions to build capacities to survive and thrive in changing climate and resource conditions. Addressing climate change involves new design principles and practices to plan and manage human settlements (adaptive measures), while reducing GHG by energy conservation, renewable resource and new ‘low carbon’ technologies (mitigation measures) (UNEP, 2015).

Natural weather events become hazards as a result of human actions By 2050 the urban population is estimated to be 6.3 billion worldwide, nearly doubling the 3.5 billion urban dwellers in 2010. More than 60 per cent of the area projected to be urban by mid-century has yet to be built. Much of the growth is expected in small and medium-sized cities, while the number of megacities also grows apace (Convention on Biological Diversity, 2012). Living in cities can result in living increasingly at risk. A total of 370 million people currently live in cities in earthquake-prone areas; 310 million live in cities with a high probability of tropical cyclones. If present urbanization trends continue unabated in vulnerable locations, the population at risk of earthquakes and cyclones will more than double by 2050 (Brecht et al., 2013, p. 37). Natural hazards – storms, floods, wildfires, tornadoes, earthquakes – result from naturally occurring processes. They pose the risk of disaster depending upon the location, construction and management of human settlements. Secondary impacts, accidents and disruptions may result from natural disasters: a ruptured gas line in an earthquake, a building fire in an electric storm, or a power outage after a wind storm. All have to be assessed by urban designers, engineers and architects in meeting the life safety and public health requirements in design of building and urban infrastructure. The Center for Research on the Epidemiology of Disasters (CRED, 2015) defines a disaster as, ‘a situation or event which overwhelms local capacity, necessitating a request to a

Urban lifelines to achieve climate resiliency 27 Table 2.1 Classification of natural disasters

Source: compiled from Guha-Sapir et al. (2015).

national or international level for external assistance; [or] an unforeseen and often sudden event that causes great damage, destruction, and human suffering’. Table 2.1 indicates the range and types of declared natural disasters since the 1900s documented by CRED. They are listed under the disciplines that support the science and design measures to respond to the hazards. CRED data (EM-DAT) does not record the chronic risks that may result from longer-trend global warming, snowmelt, precipitation and drought, or sea-level rise. These represent possible future conditions and hazards that may result from incremental climate change. Risks may include nuisance flooding, extreme heat that exacerbates urban heat island, air and water pollution, and increase in insect-borne disease vectors. Both ‘heat’ and ‘flood’ are among the most critical liabilities to be considered in resilient design of buildings, infrastructure and urban lifeline systems. Watson and Adams (2011) provide an analysis of environmental risks that are influenced by urban design at regional, city and local building scales. In all cases, effective measures require design measures beyond the single building scale. Resiliency has to be achieved at urban design and regional scales (Table 2.2).

28 Donald Watson Table 2.2 Scale of impacts of climate change. Variables indicate the scale of design required to address the associated risks (Region, Infrastructure, Landscape, Building)

Source: Watson and Adams (2011).

Mitigation and adaptation are necessary and mutually supporting strategies Cities produce 70 per cent of anthropogenic global carbon dioxide emissions. The 50 largest cities together emit 2,600 megatons of carbon dioxide (NASA Earth Observatory, 2015). Existing buildings’ average energy use accounts for 45 per cent of urban carbon emissions (C40 Cities/ARUP, 2015). Urban design can reduce greenhouse gas emissions and natural hazard risks. Lall and Decihmann (2009) make the case that economic vitality is required to support the investment in resilient urban design, but that investment can be sustained by well-managed cities along with increase in population and density. The average productivity of cities increases from 4 to 20 per cent with each doubling of the metropolitan population. Creating economic opportunities of scale and diversity of means and capacities provide the resources to reduce urban vulnerabilities. Junghams and Dorsch (2015) detail a broad range of the increasing range of financing innovations that support low-carbon and climate-resilient development.

Urban lifelines to achieve climate resiliency 29

The requirements of sustainable development – living by means of investments that conserve resources and the capacity to assure an enduring future – are changing, well beyond what was considered ‘sustainable’ when the concept first emerged in the early 1990s. Ignoring future temperature increases impelled by global warming could mean that a building designed using historic weather data for any given location will become unaffordable or unusable. They will require more energy to cool and experience longer periods of overheating when their HVAC systems do not meet the comfort conditions required for safe and healthy occupancy. Climate change mitigation and adaptation require that regions, cities and buildings operate with less energy and less carbon emissions. At the same time, urban design has to provide the means and measures for healthy functioning of environmental systems, water, waste, vegetation and soil that tempers climate extremes and provides natural resource benefits. Elmqvist et al. (2013) provide a summary of urban risks to biodiversity and ecosystem services, due to population increase and urban sprawl and congestion: 1.

2.

3.

4. 5.

Urban areas are expanding faster than urban populations. If current trends continue, between 2000 and 2030 urban land cover is expected to triple, while urban populations are expected to nearly double. Urban areas modify their local and regional climate through the urban heat island effect and by altering precipitation patterns, which together have significant impacts on local and regional net primary production, biodiversity and ecosystem functions. Urban expansion will heavily draw on natural resources, including water, on a global scale, and will often consume prime agricultural land, with effects on biodiversity and ecosystem services elsewhere. Urban land expansion is occurring rapidly in areas adjacent to biodiversity hotspots, and faster in low-elevation, biodiversity-rich coastal zones than in other areas. Future urban expansion will mainly occur in regions of limited economic and institutional capacity, which will constrain management of biodiversity and ecosystem services. (p. 722)

Erickson and Tempest (2015) proposes the term ‘carbon lock in’ to describe the energy demand and carbon emissions inherited by continued use of old building stock and infrastructure. Energy consumption and carbon emissions are ‘locked in’ unless and until the buildings and systems are replaced or upgraded to higher standard. To make up for this burden, remodelling and new construction has to ‘overshoot’ the targets for energy and carbon-impact reduction. The urban design standards to which cities are rebuilt will determine future sustainability and resiliency. Rebuilding as buildings are remodelled and replaced – whether part of economic growth or recovery from natural disaster – must be implemented to higher standards of energy and resource conservation, essentially net carbon design, to make up for prior intensity of urban energy use.

Urban design offers many innovative options for climate-resilient design Design, construction and maintenance of cities provides options for cost-effective and actionable benefits to achieve efficiencies in water and waste, rainwater harvesting, grey water reuse, recycling, pollution control, solar power systems, solar-oriented neighbourhoods, slum upgrade programmes to minimize resource use (Table 2.3). Haase (2015) makes the case that shrinking cities have unique needs and opportunities to plan for climate change. Some cities around the globe, including the developing world, are

30 Donald Watson Table 2.3 Carbon reduction actions. Actions that have proven easy to implement, those more challenging to implement, and requiring investment to overcome institutional constraints

Source: adapted from Atkins (2012, p. 99).

experiencing population and economic decline. Some, such as New Orleans post-Katrina, have experienced dramatic changes in demographics as a result of natural hazards. With the same challenge to adapt to climate change, but less economic resources, cities in decline have options that are not readily available with growing cities. Opportunities include restoration of vacant lands and waterways, adaptive reuse and construction materials recycling, community gardens, micro-scaled services and local economic enterprises. C40/ARUP (2015) provides a global status report of planning measures to reduce greenhouse gas emission impacts of these natural hazard risks on cities. It includes summaries of actions that have been undertaken and those proposed between 2011 and 2015 by cities in the C40 programme in community-scale development, buildings, outdoor lighting, mass transit, private transport, water, food and agriculture, finance and economic development. Table 2.4 depicts how each natural hazard has multiple mitigation adaptation actions. This demonstrates that multiple, mutually supporting measures can respond in whole or part to each hazard (C40 Cities/ARUP, 2015).

Urban lifelines to achieve climate resiliency 31 Table 2.4 Options to respond to climate risks with urban design measures

Source: adapted from C40/ARUP (2015, pp. 40–41).

Of over 400 ‘urban abatement’ actions considered in the C40 Cities report, 60 per cent are influenced and in some cases directly implemented by architects and urban designers – for example, improved special planning, walking and bicycling, enhanced transit, commercial and residential design. Many major cities have developed along sea coasts or waterways. Almost all large metropolitan areas are exposed to risk of coastal or riverine (inland) flooding. Flood risk threatens more people than any other natural catastrophe (Swiss Re, 2013). Figure 2.1 represents combined hazards that result from coastal storms from landfall to inland and upland topographies. Flooding takes a natural course from mountain range to sea,

32 Donald Watson

Figure 2.1 Four types of flooding as a function of landform and urban location. Source: © Donald Watson.

due to landform, streams and rivers, and coastal bathymetry. Storms bring natural benefits of replenishment of fresh water, renewal of vegetation, flushing of marshes and estuaries that support biodiversity, agriculture and mariculture. Benefits are often accounted for as ‘ecological services’ (Elmqvist et al., 2013). Any and all elements of the built environment have to maintain and improve upon the hydrological functions of the local ecology. Land forms, vegetation, marshes and wetlands that evolve along watercourses become part of an established ecology, absorbing water in flood conditions, returning water to soil in dry conditions. The combined measures of watershed management and green infrastructure present the most viable set of actions to be considered for resilient design (Figure 2.2).

Lifeline systems establish urban design strategies for climate resilience Design of lifeline systems – green space, water, food, waste, mobility and safe shelter – replicates the biological systems of water, vegetation, food and biodiversity that protects the life, health and safety of cities. Ecosystems regulate the supply and quality of water, air and soil. Urban parks and vegetation reduce the urban heat island effect. Urban green spaces contribute to climate regulation by reflecting and absorbing solar radiation, filtering dust, storing carbon, serving as windbreaks, improving air quality (by oxygen emission and moistening) and enhancing cooling by evaporation, shading and air exchange (Convention on Biological Diversity, 2012, p. 11).

Urban lifelines to achieve climate resiliency 33

Figure 2.2 Watershed management restores and improves regional and local hydrology. Source: © Donald Watson.

Each region of the globe has its own ‘climate risk profile’. For many regions, ‘multi-hazards’ exist in combination or have a causal connection where one conditions creates another – for example, fire, drought, flood, mudslides. Within regions, each city will have its own profile of risks as a result of location (coastal, riverine, upland), along with its exposure to natural climate and weather hazards. Lifeline systems provide continuity and connection in cities. They may be woven into existing urban fabric, along rights-of-way, utilities, roads or drainage systems. They are by definition ‘system enablers’, that is, they function like biological systems that provide nutrients and remove wastes from natural systems. They can be separate systems, but their economy and efficacy is multiplied by providing mutually supporting services (Figure 2.3).

34 Donald Watson

Figure 2.3 Lifeline systems, as a function of location and urban typology. Source: © Donald Watson.

Lifeline system functions may combine: Greenspace walkways, pocket parks, playgrounds, wildlife, trees, plants, soil protection Water stream daylighting, cleansing, water fountain cooling zones, urban wildlife ponds Food local community gardens, farmers markets, other community market venues Energy protected utility and communication lines, district energy conduits, solar/ wind structures Waste combined urban services, efficient waste collection, recycling and removal Mobility urban transit options, bikeways, pedestrian scaled vehicles, flexible use, emergency service lanes Refuge community shelters and safe zones, emergency communication, evacuation and materials staging. To meet the challenges of climate change, lifeline systems are complemented by building designs that provide on-site ecosystem services, green roofs, water collection, waste recycling and biological diversity of sun and shade, warm and cool zones and energy storage, suited to conditions within their site. It is possible to retrofit existing buildings and design new buildings, continuing the tradition of bioclimatic design to establish sustainability and resiliency at the building scale (Figure 2.4).

Urban lifelines to achieve climate resiliency 35

Figure 2.4 Building designed for chronic flood and heat impacts. Source: © Donald Watson.

Summary Compact development combined with urban lifelines – connected development of separate, smaller centres or nodes – can relieve points of urban congestion and risk. A multi-modal urban pattern works when transit systems permit mobility across distances. Manhattan – with its combination of subway, bus, pedestrian and bikeways – represents a multi-modal grid that can relieve the inherent congestion of the central city.

Figure 2.5 Reconfigured 125th Street and Park Avenue train viaduct. Soil channel below air rights development with linear park on roof. Prof. Roy Strickland and students of University of Michigan Master of Urban Design Program. By kind permission © University of Michigan.

36 Donald Watson

Urban lifeline systems provide a framework for ecosystem corridors and resilient community infrastructure and refuge. Compact design around multi-use community nodes can make cities more liveable, healthy and safe (Figure 2.5). The viability of world cities relies upon ecosystem services that preserve and enhance the health, safety, productivity and liveability of cities and serve climate moderation goals of reduced energy and GHG emissions. Urban designers are presented the challenge and opportunity to resolve the competing needs of increased density and sustainable resources by the range of measures represented in resilient urban lifeline systems.

References Atkins (2012) Future Proofing Cities: Risks and Opportunities for Inclusive Urban Growth in Developing Countries, Atkins and UK Department for International Development (UK AID), Epsom, Surrey, UK, www.atkinsglobal.com Brecht, H., Deichmann, E. and Wang, H.G. (2013) A Global Urban Risk Index, Policy Research Working Paper 6505, The World Bank, East Asia and Pacific Region Development Research Group Urban and Disaster Risk Management Department, Washington, DC, www-wds.worldbank.org/ external/default/WDSContentServer C40 Cities/ARUP (2015) Climate Action in Megacities 3.0: Networking Works, There Is No Global Solution without Location Action, C40 Cities Climate Leadership Group, C40/ ARUP, London, www.C40.org Convention on Biological Diversity (2012) Cities and Biodiversity Outlook, Secretariat of the Convention on Biological Diversity, Montreal, www.cbd.int/authorities/cbo1.shtml CRED (2015) EM-DAT database, Center for Research on the Epidemiology of Disasters, Brussels, www.emdat.be/database Elmqvist, T., Fragkias, M., Goodness, J., Güneralp, B., Marcotullio, P.J., McDonald, R.I., et al. (eds) (2013) Urbanization, Biodiversity and Ecosystem Services Challenges and Opportunities: A Global Assessment, Springer Open Access, Berlin, www.springer.com/us/book/9789400770874 Erickson, P. and Tempest, K. (2015) ‘Keeping cities green: Avoiding carbon lock-in due to urban development’, SEI Working Paper 2015–11, Stockholm Environment Institute – U.S. Center, Somerville, MA and Stockholm, www.researchgate.net/publication/282706222 Guha-Sapir, D., Hoyois, P. and Below, R. (2015) Annual Disaster Statistical Review 2014: The Numbers and Trends, Centre for Research on the Epidemiology of Disasters, Brussels, www.cred.be/sites/ default/files/ADSR_2014.pdf Haase, D. (2015) ‘Shrinking cities, biodiversity and ecosystem services’, in Elmqvist, T., Fragkias, M., Goodness, J., Güneralp, B., Marcotullio, P.J., McDonald, R.I., et al. (eds), Urbanization, Biodiversity and Ecosystem Services Challenges and Opportunities: A Global Assessment, Springer Open Access, Berlin, pp. 253–274 Junghans, L. and Dorsh, L. (2015) ‘Finding the finance: Financing climate compatible development in cities’, Germanwatch, Bonn, www.germanwatch.org/en/11246 Lall, S.V. and Deichmann, U. (2009) ‘Density and disasters: Economics of urban hazard risk’, World Bank Policy Research Working Paper 5161, The World Bank, Washington DC, http://econ. worldbank.org NASA Earth Observatory (2015) http//earthobservatory.nasa.gov/IOTD/view.php?id=86970 Swiss Re (2013) Mind The Risk: A Global Ranking of Cities Under Threat From Natural Disasters, Swiss Reinsurance Company Ltd., Zurich, www.swissre.com/media UNEP (2015) Climate Change Mitigation and Adaptation, United Nations Environment Programme, Nairobi, www.unep.org/climatechange/mitigation Van der Heijden, J. (2014) Governance for Urban Sustainability and Resilience: Responding to Climate Change and the Relevance of the Built Environment, Edward Elgar, Cheltenham, UK

Urban lifelines to achieve climate resiliency 37 Watson, D. and Adams, M. (2011) Design for Flooding: Architecture, Landscape and Urban Design for Resilience to Climate Change, John Wiley & Sons, Hoboken Watson, D. and Labs, K. (1983) Building Climatic Design: Energy Efficient Building Principles and Practices, McGraw-Hill, New York Watson, D., Plattus, A. and Shibley, R. (2003) Time-Saver Standards for Urban Design, McGraw Hill, New York

Chapter 3

Planning ethics and urban density Overcoming fear in Anglo-Saxon cities Peter Newman

Summary Planning and density is highly contested, especially in Anglo-Saxon new world cities. The chapter sets out ten fears about density and ten opportunities with density based on the planning evidence available. It suggests that the planning ethics associated with density is mostly about overcoming the fear and grasping the opportunities.

Introduction Urban density is one of the most divisive issues in urban planning, especially in AngloSaxon cities where there has developed a fear of density that has driven much of town planning for several hundred years (King, 1978; Newman and Hogan, 1981; Williams, 1985). The industrial cities of the eighteenth and nineteenth centuries in England gave birth to a town planning profession committed to reducing density at all costs. The motto of the British Town and Country Planning Association was ‘nothing gained by overcrowding’ and hence it set out regulations and strategies to create a low-density city, especially in the Anglo-Saxon new world. The belief in low density as solving many planning problems was exported to all the English-speaking colonies and has been a major source of planning law and practice throughout the twentieth century (King, 1978). Meanwhile cities in the rest of the non-English speaking world got on with building densely (Newman and Kenworthy, 1999). In the twenty-first century there is a new urban phenomenon emerging with densities in the Anglo-Saxon cities of the world redeveloping at higher densities with an associated commitment to a much more urban lifestyle (Newman and Kenworthy, 2011, 2015). This appears to be associated with the reduction in automobile-oriented lifestyles and the demand for less automobile dependence in urban planning. The associated increase in urbanism means an increase in density is becoming a cultural as well as economic phenomenon. There is some resistance in the urban planning profession to this phenomenon so this chapter is written to set out the planning evidence that can support higher-density cities. It suggests that there are no ethical reasons for opposing density increases and many ethical reasons why the planning profession, particularly in the highly automobile-dependent cities of the English-speaking world, should embrace higher densities. The chapter first sets out ten fears about density often used by groups to influence urban planning to reduce urban densities. It assesses the planning evidence and other evidence to show there is little basis to any of these ten fears as having any deeply universal ethical value.

Planning ethics and urban density

39

It then sets out ten opportunities with density that are strong ethical reasons why planning should enable urban densities to increase. The focus is in Anglo-Saxon cities (especially my home town of Perth) where the obsession with densities remains a deeply difficult issue for planners; it uses other non-Anglo-Saxon cities to show where the obsession can be simply seen for what it is – a cultural and historical fixation.

Fears: evaluating ten ethical reasons for opposing urban density increases 1. High-density housing is bad for your health and creates social problems There is little evidence to suggest that health gets worse in dense housing. Most people in the world live in high-density housing, though there are huge variations in density. There is no correlation between these levels of density and health. Health levels relate mostly to income (Eckersley et al., 2005; Marmot and Wilkinson, 2006; Newman and Kenworthy, 2006). Poverty is the biggest cause of ill health. Hong Kong has 300 people per ha – nearly 30 times Perth’s density but has high life expectancy and low infant mortality like Perth. If industrial pollution is high, then building densely within the air shed will increase respiratory issues (Schweitzer and Zhou, 2010) but this can be more effectively addressed directly with the industries and if cities are sprawled to reduce exposure to pollutants, it just increases the pollution due to cars. There is little evidence social problems like crime are increased in high-density areas. Crime is also mostly related to poverty (Fischer, 1976; Kelly, 2000; Knox, 1982). In America, the higher the density, the lower the crime rate, though this is more than likely because low-density cities are poorer (Newman and Kenworthy, 1989). There is some evidence that low-density areas have greater obesity and depression due to less walkability and higher crime rates due to less ‘eyes on the street’ (Frumkin et al., 2004; Haigh, 2006; Newman and Matan, 2012b). Why is there such a myth about blocks of flats being bad for health and local neighbourhood security? Two reasons can be found: 1.

2.

Because biologists suggested it was unnatural and did tests with rats and monkeys in overcrowded conditions showing how their social organization collapsed (Lorenz, 1966; Morris, 1968). None of this research seems to have been repeatable (i.e., it was poorly done and others cannot see the same effects), and when transferred to human conditions, no evidence of density causing health and social problems can be found (Baldassare, 1979; Wilson, 1976). Because from the industrial revolution cities there was a long-held view that disease was spread through the air (via ‘miasma’) and thus the early town planners in Britain sought to reduce densities to provide a ‘wholesome supply of good air’ (Jefferson, 1909; King, 1978). Disease was afterwards discovered to be caused mostly by water-borne germs but the myth continued. In the 1960s, poor people in the UK, Australia and America were put into high-rise public housing; the result was health problems and crime with high-rise being blamed. Now crime and health problems are higher in low-density poor suburbs but health studies rarely relate it to housing density (Giles-Corti et al., 2012; Newman and Matan, 2012b).

40 Peter Newman

2. High-density housing will lower land values and create slums There is little evidence to support land values collapsing when higher-density housing goes into an area. In most cities, land values are related to amenity – access to recreation sites, the ocean, good schools, services such as health and other employment opportunities and being close to rail lines (Newman et al., 2014). As people move to amenity areas, the pressure to subdivide goes up. If zoning is increased, then land values increase (McDonald and McMillen, 2007). Even in the low-density cities of America, the highest-density areas such as Manhattan, inner San Francisco or Washington DC are, in general, the highest-value land. If anything there is a problem with density causing land values to go up so much that they cause poorer people to be displaced as they cannot pay the rates or rents become too high (Sassen, 1994). This gentrification is why a proportion of affordable housing is on the agenda for most planners dealing with the density issue.

3. Nobody likes high-density housing There are many cultures that like dense, high-rise housing in Asia, Europe and Latin America. There is a long tradition of living in close proximity for security and ease of access between friends and family (Newman and Hogan, 1981). The great cities of Europe are dense, especially in their core areas, and are in great demand to live and visit. Whenever fast train or highway access is built to enable lower-density fringe development, then any city will begin to spread out but that does not mean the general culture is anti-density. English traditional culture favours the village and rural spaciousness (in literature this is called ‘pastoralism’), especially after the industrial revolution with its dense, slum housing. There has, however, always been a more urban tradition in cities such as London and Manchester with their amenity and attractions (Williams, 1985) and in the US from writers such as Gratz (1989), Jacobs (1961) and Mumford (1938). In Australia many migrants from the UK were escaping the poverty of public housing and came seeking a suburban life. Housing markets in Australia, and more dramatically in Perth in recent years, have increased in the proportion of households who favour location over housing type, that is, they choose high density because of its access to amenity (DoH and DoP, 2013; Kelly et al., 2013). Location has always meant a lot in cities. Many people will want to remain in a low-density house but they appreciate the benefits that higher-density centres nearby can bring to their area including better transit, shops, childcare and even aged-housing options. As dense centres are built, the attitudes to them start to soften.

4. The high-density problem is caused by population growth and this should be stopped in cities and people put in rural areas Population movements are mostly part of the global economy and few countries are trying to opt out of that like North Korea. Stopping participation in the global economy means that cities go into immediate economic decline. Some cities such as Detroit in the US and Liverpool in the UK did not adapt to the changing global economy and so went into decline (Newman, 1986). Few communities or politicians are going to accept economic decline as their policy for the future.

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America and Australia have always been migrant countries and the growth of their economies is linked to this flow of people from across the world who have followed the new jobs. Mostly, people come to America and Australia who have specific skills or business investments. Refugees are a small proportion and are part of international law obligations. If the economy crashed, then the population ‘problem’ would be solved – it would transfer to somewhere else. However, most cities are unlikely to jeopardize their economies as an immigration control device. Some migrant schemes require new arrivals to live in country towns. Some stay but most move to cities where the economic opportunities, educational opportunities and health opportunities are greater. Country towns in Australia, for example, are mostly in decline and few policies have worked to reverse this decline (Newman, 2005b).

5. High-density housing removes trees, places for children to play and opportunities to grow food and collect rainwater The new world cities that built with the car after the Second World War had large allotments. Australian suburb allotment size of a quarter acre or 1000m2 was a substantial area designed to cope with a septic tank’s overflow, to have a rainwater tank, hopefully a vegetable garden, some trees and plenty of grass for children to play on – and, of course, a large garage for several cars. This lifestyle was heavily subsidized in the post-war years for returned service men and continues to be subsidized as it provides for the unique ‘Australian lifestyle’ (Gleeson, 2006). Similar stories can be told in most English-speaking cities. However, most new world cities now have sewerage systems and good water supplies and the size of the houses have slowly grown so they are now much bigger while the block size has reduced. Still the campaign rhetoric of many anti-density ‘save our suburbs’ groups is to maintain the low-density suburb as though they remained unchanged since the 1950s (Newman, 2005a; Recsei, 2005). Every decade of housing reaches a point where redevelopment is necessary. The model that seems most acceptable to low-density-dominated local planning systems in the US and Australia is to allow backyard infill with several small units (Newton et al., 2012). In this way all the trees, grass and vegetable patches are replaced with brick houses, bitumen and brick pavers. Apparently this is acceptable because it is not high-rise. However, it adds very little to an area because there are no infrastructure changes or service improvements. High-rise which enable better infrastructure and services and which can incorporate space for trees, play areas, intensive landscaping such as biophilic green walls and roofs and even intensive food gardens with water collection and recycling are for some reason not acceptable (Newman, 2014; Newman and Matan, 2012a).

6. High-density housing consumes more energy and produces more greenhouse gas There have been recent arguments against high-rise housing, suggesting that these building types are dangerous to the future of the planet as they consume more energy and produce more greenhouse gases than single, detached, low-density housing (Low et al., 2005; Troy et al., 2003). This is not true based on first principles of architectural design and in the scientific evaluations that are happening.

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The argument depends on high-rise housing having large energy-consuming areas such as public lift spaces, public parking and public common areas for spas and swimming pools. The data used to support this invariably include buildings with the high energy-consuming areas (mostly very wealthy) compared to the whole low-density housing stock which mostly do not have such facilities as spas and swimming pools (Myors et al., 2005). This is wrong scientifically (Beattie and Newman, 2011; Perkins et al., 2009). The history of architecture shows that one of the key reasons for compact houses was to share walls to conserve energy for heating and cooling (Anderson et al., 1996; Wilson and Boehland, 2005). Thus, most evidence comparing high- and low-density housing (using similar wealth levels) shows that high density consumes less energy as heating and cooling are the biggest factors (Breheny, 1992; Thormark, 2002). The biggest difference between housing types is in their associated transport energy. Our research over many decades has shown that there is an exponential relationship between urban density and transport energy as shown in Figure 3.1. The same pattern can be found within cities where density and transport fuel are exponentially related (Newman and Kenworthy, 2006). In Australian cities, transport fuel is easily measured by how far from the CBD the housing is (Trubka et al., 2010a, 2010b, 2010c). Central/inner denser housing is between four and ten times less transport energy consuming than low-density outer/fringe suburbs (Kenworthy et al., 1999; Trubka et al., 2010a, 2010b, 2010c) and is associated with more wealthy people, thus contradicting those who suggest

Figure 3.1 Urban density and transport energy in global cities. Source: Adapted from Kenworthy and Laube (2001).

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income is the main cause of the above exponential relationship. There may be a congestion increase from density increases but only if the opportunities for more walking, cycling or transit are not enabled. Energy increases due to congestion are much smaller than locational factors (Newman and Kenworthy, 1988). High-density housing is attracted to areas closer in and hence mostly high-density housing is not only lower in its building energy, but it is also much lower in its transport energy. As fuel and electricity prices rise, this energy factor will continue to be a major reason why high-rise housing will be needed in increasing amounts, especially if well located (Curtis et al., 2009; Rodrigue, 2013)

7. High-density housing is not necessary as renewable energy and electric vehicles will mean we can drive as much as we like This is also a new argument by those who concede that high density can indeed save energy, but perhaps they say this will not be needed as renewables and electric vehicles will mean we can have fossil fuel-free cities and low density. Even with renewables and electric vehicles in our cities, they are still car dependent with rapidly growing suburbs. By 2050 when the world needs to have removed 80 per cent of fossil fuels, there will still be huge areas of American and Australian cities with low-density car-dependent suburbs. To be truly sustainable, these areas will need to have totally converted to renewables and electric vehicles. Indeed every city, not just low-density cities, will need to have made this transition but the biggest consumers of oil are the Anglo-Saxon cities (Newman and Kenworthy, 2015). There is a bigger problem: traffic. Low-density automobile-dependent city roads are already full. It is not sensible to imagine traffic increase based on electric vehicles rather than reducing the need to use a car. This will happen if high-density well-located housing redevelopment is provided around rail stations and inner/middle suburban areas with good access (Newman et al., 2009). Most other cities in the non-Anglo-Saxon world are committed to more density in transit corridors and centres. It will be a necessity for auto-dependent cities to at least reduce their car dependence in major corridors and centres across their cities. Future cities will need renewables, electric vehicles and transit-oriented high-rise – as fast as possible (Newman and Kenworthy, 2015).

8. High-density housing development is destroying the heritage buildings of our suburbs In every era of urban development there are buildings we want to keep as they are beautiful, full of history and with sensitive restoration they can be given a new life. Most cities conserve their heritage as a part of their redevelopment. However, most urban redevelopment is in newly created spaces based on redundant industries or warehouses and considerable opportunities exist for adding new houses into under-utilized urban space. The most creative cities can do restoration and redevelopment that enables a city’s economic and social life to grow (Baycan et al., 2012; Florida, 2005). Many inner areas of American and Australian housing have good examples of redevelopment that is denser but where heritage is being preserved and built around compatibly – for example, San Francisco and Sydney. Fremantle, a heritage part of Perth, has almost doubled its housing stock while restoring its heritage.

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The biggest issue facing American and Australian cities is the lack of creative higherdensity opportunities being enabled in other than the old brownfield sites (Newton et al., 2012). There are many more opportunities for redevelopment in inner and middle suburbs but most housing redevelopment is either simple, dysfunctional low-density infill of back yards or very wealthy high-rise. Car-based cities need to hold on to their quality heritage but add considerably more affordable high-rise housing in inner and middle suburbs (Newton et al., 2012). Heritage housing restoration and high-density redevelopment are not incompatible – they are both needed.

9. High-density housing redevelopment is wasting the materials and embedded energy in suburban housing When housing life is near its end, the question becomes whether it should be redeveloped as part of high-rise housing or restored as a low-density heritage house. The extra argument that is now being presented to stop the high-rise option is that the planet will benefit from not wasting the materials and embedded energy in a house (Low et al., 2005; Troy et al., 2003). The answer is that any building’s materials can be recycled and, thus, save most of its embedded energy. There are many ways of re-using building materials. Even a timber and asbestos house can be redeveloped (as was detailed in Byrne (2014); the building was recycled as a prefab home after the asbestos was removed). New high-rise housing can use much lower embedded energy and low-carbon/low-cost wall and roof materials, especially if constructed by off-site manufacturing (OSM) and simply joined together on site. An assessment of the reductions in embedded energy, basic raw materials and waste saved in Perth shows the huge potential for savings in basic raw materials with redevelopment using OSM, compared to business as usual (BAU) urban development on the fringe (15T using OSM compared to the 288T per person for BAU) (Gardner and Newman, 2013). High-rise housing is a major part of the planetary resource solution, not part of the problem.

10. High-density housing is not good for the economy A range of markets drive the economy and it is true that much of the housing market in automobile-dependent cities has become oriented to the low-density project house market on the urban fringe (Brueckner, 2000; Ewing, 1994). Some argue that this demand is an economic good in itself (Recsei, 2005). However, there are significant costs associated with low-density suburban development: 1.

Urban fringe housing is subsidized by governments. The US has several Costs of Sprawl reports over the past 30 years setting out these subsidies. In Australia the infrastructure subsidy is around $100,000 per dwelling (Dowling and Lucas, 2009; Trubka et al., 2010a). Similar data are found in American cities (Burchell et al., 2002; Chatman and Noland, 2014). In Perth this means $45.4 billion in the next 30 years unless redevelopment happens on appropriate sites in inner and middle suburbs (Hendrigan and Newman, 2012).

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3.

4.

5.

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Urban fringe housing costs the economy hugely in extra transport costs due to the extra car travel. In Australian cities each dwelling built on the fringe involves an additional $250k over the lifetime of the house in travel cost. In the next 30 years this will cost Perth $133.6 billion just in time lost to travelling. Denser cities have 5–8% of their GDP spent on transport, low density cities have 12–15% of their GDP spent on transport (Kenworthy et al., 1999). Low-density areas have lower health outcomes due to poorer walkability and lower productivity outcomes due to lower attentiveness and more days lost (Newman and Matan, 2012b; Trubka et al., 2010c). Much more of the revenue from low-density residents is spent outside their area rather than locally. In denser areas spending is much more on local personal services such as restaurants, childcare and entertainment rather than on cars and housing DIY, which invariably go out of the local economy (Glaeser, 2011; Trubka et al., 2010a, 2010b, 2010c). Low-density housing does not attract knowledge economy jobs due to the lack of economies of scale and density. Glaeser and Gottlieb (2009) have shown why scale and density are critical to providing agglomeration economies from the synergies between businesses.

High-density housing will improve the economy of any low-density city and as set out below this is one of the key reasons why cities are now coming back in rather than continuing their sprawl (Newman and Kenworthy, 2015).

Opportunities: ten ethical reasons why cities should enable density The ethics of density is not just about why anti-density planning is generally wrong but also about positive dimensions of density that can enable all dimensions of sustainability to be met through opportunities that cannot be provided without it.

1. High-density housing provides the opportunity to use population growth as the way to create new and exciting housing options rather than continuing urban sprawl Population growth is feared by many environmentally oriented people and loved by economically oriented people as they see the potential to either create impacts or to create benefits. Both are indeed possible but in terms of creating a sustainable future it is necessary to see change is needed as no city is even close to adapting to the new agenda of low impact or no impact as is required. If change is needed, then that means economic growth will happen as the required technology, materials, housing and infrastructure will require investment. The momentum of population growth in cities can be the initiator of this new economic growth with sustainability as its outcome. This is the new decoupling agenda for cities (Newman and Kenworthy, 2015). Thus population growth in cities is not a bad thing if its growth imperative is used to generate more sustainable cities (Newman, 2011). Every city needs to see its growth plan as an opportunity to create a better city – one that has a reduced footprint and a better liveability. If low-density high-carbon sprawl characterizes the development, it will simply be a wasted opportunity.

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If continuing low-density housing patterns are enabled by planning in Perth, then by 2050 the urban region will be over 271kms long. However, if planning can enable new highdensity precincts that have a significantly higher range of opportunities especially in mass transit, then significant gains in sustainability can be made (Hendrigan and Newman, 2012). The opportunities in high-density urban villages should be taken to provide: • • • • •

better locations close to urban amenity; walkable urban design; affordable housing as well as top end apartments; aged-people’s housing with universal access features; views.

Also the opportunity can be provided for innovative developers and local councils to pursue eco-precincts or eco-villages with many sustainability features such as: • • • • • •

renewable energy; co-generation; automated waste collection; greywater recycling; biophilic urbanism; low-embedded energy construction materials.

Though solar cells and ground sources for renewables do need extra space than is often available in high rise development, most of these innovations work better in higher-density precincts (Beattie and Newman, 2011).

2. High-density housing provides architectural diversity opportunities in an urban townscape The market for well-located high-rise living is now proven and growing based on people’s desire to get out of traffic, long commutes and the heavy financial burden of car dependence (CFP, 2014; DoH and DoP, 2013; Rowley and Ong, 2012). Fuel prices are likely to keep rising, bringing more opportunities for high-density redevelopment (Newman et al., 2009; OECD, 2011). But increasingly the high-rise market is seen as preferable because of the culture of urbanism: living near an amenity is better than having to drive there. Younger people are not buying cars and need more housing opportunities that support this choice (Davis et al., 2012). Older people who want to downsize and not drive need to be supported in this choice as well. People from more urban cultures and backgrounds need support with dense urbanism choices (Hass, 2012; Sandercock and Lyssitosis, 2003). The pressure for density should be taken to enable a greater diversity of architectural forms. There are many ways of doing density. Glass or masonry boxes will not any longer satisfy architectural tastes and will be just as boring as the endless ‘little boxes’ of much low-density suburbia (Gehl, 2010; Katz, 1994; Wells, 2007). The benefits of new materials and high-density off-site manufacture is that interestingly shaped buildings can be created using the new techniques of digital design (Blismass, 2007) though there is never any guarantee of good design.

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3. High-density housing provides the opportunity to solve the big problems of oil vulnerability and climate change Large sprawling low-density cities such as most new world cities are not sustainable. They use transport fuel two to three times as much as medium-density European cities and five to ten times as much as high-density Asian cities of similar levels of wealth. The shared walls of high-density housing generally mean lower energy in the home as well as in transport. New technology in lighting, appliances, construction materials and design can also be very low carbon (Beattie et al., 2012). The irrevocable global trend is to move to a world where low-fuel, low-carbon cities are the norm. This will mean that the economic benefits of being part of low-carbon, low-cost housing will grow as fuel and power based on oil and coal will be phased out. New highdensity precincts that allow such low-carbon opportunities will be increasingly needed and are likely to be the dominant market in years to come (Newton et al., 2013).

4. High-density housing provides affordable housing opportunities in good locations that enable affordable living Glaeser and Gottlieb (2009) have analysed why cities become unaffordable and uncompetitive in their housing. They concluded that it is mostly due to the lack of zoning for high-rise housing. If cities restrict denser living options, then housing goes further and further out with massive infrastructure costs and living costs, and high-density, well-located housing becomes only for the rich. This is happening right across American and Australian cities that are becoming more and more unaffordable. Affordable housing can be built by going out (to cheap land) or going up (to enable the unit price of a development to be lowered.) However, only high density can provide both cheap housing (if sufficient density is allowed) and the location that can enable cheaper living due to lower transport costs. The average annual cost of car-based transport in outer suburbs of many low-density cities is now more than a mortgage (CFP, 2014; Litman, 2006; RAC, 2015). Wealthy inner suburbs in Australia have around half the car ownership of poor outer suburbs and the wealthy, in well-located inner areas, have much greater use of public transport, cycling and walking than in poorer areas (RAC, 2015). More high-density affordable housing in well-located areas is an important priority for car-dependent cities. If present trends continue, such cities will be highly divided into ‘eco-enclaves surrounded by mad max suburbs’ (Newman et al., 2009).

5. High-density housing provides opportunities to enable new distributed small-scale green technologies There is an emerging new model for how the footprint of cities can be dramatically reduced which is called the Urban Sustainability model (Newman, 2011). It consists of new urban infrastructure, new urban form and new urban management and is based around neighbourhoods or precincts. The kind of infrastructure required would enable significant reductions in fossil fuels, water, other materials and waste (thus reducing the footprint) whilst enabling cost-effective urban areas that are better places to live. The technologies to achieve this are set out in Rauland and Newman (2011) and some are listed in Figure 3.2.

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Figure 3.2 Precinct-scale urban redevelopment and outcomes of new technology infrastructure. Source: Rauland and Newman (2011).

The kind of solutions to producing this set of outcomes can now be modelled in the design process using such sophisticated models as CCapCity produced by Kinesis, building on work done by Landcom in NSW (Beattie and Newman, 2011). In a recent study of the Cockburn Coast for Land Corp in Perth, we used the model to determine the best footprint reductions for the least cost. The results are set out in Figure 3.2. The list of infrastructure provided is set out on the side of the figure and the result was a cost of just $5,600 per dwelling. The rapid growth and deployment of these technologies in the future will continue to reduce this already very low cost. The need to adopt the new urban infrastructure of decentralized energy, water and waste systems is rapidly becoming mainstream policy (Bunning et al., 2013). The massive gains in decarbonizing a city in a short period of time are appealing to urban policy-makers across the globe. However, they really only work when sufficient density is available and in the case above it required medium- to high-density buildings to make sufficient quantity for the infrastructure to work. Normal low-density suburbs would not work with such infrastructure. Different management will be required also as local governance of the infrastructure is needed (Freedman, 1975; Newman and Kenworthy, 2015).

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6. High-density housing creates opportunities for more community and creativity After studying all the evidence on density and social impacts, Freedman (1975) concluded that ‘crowding is not generally negative and it does intensify human reactions to other people’. It stimulates human interaction, which means the human effects of density are up to us. Higher density can produce negative effects if we do not design it well to encourage good human interaction, but it can also make beautiful and human cities. There are cases where the dark side of human interaction has been enabled, perhaps through poor public-housing where people with social problems have been concentrated (providing some of the negativity to density associated with Anglo-Saxon cities). But at the same time the most creative cities with intense human community are usually the densest places. Manhattan has both Harlem and Greenwich Village, London has both Brixton and Chelsea and Sydney has both Redfern and Paddington. Indeed, in these cases the regeneration of Harlem, Brixton and Redfern has happened rapidly in recent years making highly desirable, trendy locations, especially for creative people. Most planners and housing providers now stress the need for mixed housing/mixed incomes/mixed cultures as well as good urban design in shared spaces that facilitate face-to-face interactions (Bay, 2011; Landry, 2008). There is also substantial evidence that having good governance and good management systems in high-rise can avoid social problems and create many opportunities for the growth of community (Gehl, 2010; Glaeser and Gottlieb, 2009). As Bay (2011, 2017) suggests, it is possible to design community facilities much more into high rise than has traditionally been accomplished.

7. High-density housing creates better economic opportunities through agglomeration economics, local economic benefits, reduced avoidable costs and less external costs Some high-density housing is costly to build due to a range of factors including extra labour and safety requirements as well as the inability to build densely enough to cover costs in expensive areas (Rowley and Phibbs, 2012). New technology, off-site manufacture of highrise buildings is now showing how low-cost, low-carbon houses can be put together on-site in around one week. This saves local disruption as well as enabling high-quality designed housing to be highly competitive. The wider economic benefits of high-density housing are strongly demonstrated with: •

• •

Agglomeration economies – bringing more jobs together, bringing more people together in a city creates economic benefits due to greater face-to-face interactions, more sharing of skills and greater social capital (Glaeser and Gottlieb, 2009). This is a major reason why high-value jobs are mostly available where there is high-density urbanism. Local economic benefits– when money earned locally is spent locally creating many more jobs in restaurants, entertainment and other local services (Glaeser, 2011). Reduced avoidable costs – when money is saved on fringe suburban development through using established infrastructure, services and transport (see Myth 10 and Newman and Kenworthy, 2015).

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•

Less external costs – less traffic, less pollution, less climate change, less rural land loss, less biodiversity threats and so on. All end up as an economic cost in some way (Kenworthy et al., 1999).

8. High-density housing provides greening opportunities through biophilic urbanism A new approach to building high-density housing is being pioneered in some dense cities such as Singapore and Berlin, and the central areas of Toronto and Chicago where there is a commitment to providing more greening – not just between buildings but on them with green roofs, green walls and green balconies. These cities have introduced a Green Plot ratio where the footprint of the building is replaced by an equal amount of greening. In many cases buildings have been able to replace three times their space with green roofs and walls. Singapore is moving from being a garden city to a city in a garden or even a forest (Beatley and Newman, 2013; Newman, 2014; Newman and Matan, 2012a). Requiring urban greening to replace urban building space has so far only happened in high-density areas with the extra height to enable multi-storey gardens such as a forest. The different dimension of height enables very different greening structures and habitats to be created, more like a forest than a grassland or steppe. The results are stunning and demonstrate that high density not only need not mean less green but can also provide new greening opportunities not found in low-density areas.

9. High-density housing provides cultural and economic diversity opportunities in an urban townscape Most low-density cities are known for particular cultural activity, but due to the distances involved in bringing people together, it is often much less intensive (as suggested by Henderson, 1977). Thus writers such as Jacobs (1961) have documented the more intense life of dense cities. Florida (2012) and Landry (2008) have similarly examined the need for cities to come back in if they are to create more cultural diversity and creativity. Creativity is now the basis of many new business opportunities in cities (Storper and Scott, 2009). Many car-dependent cities have recognized they must build densely or their cities will not attract creative people and creative jobs (Florida, 2005, 2012). Perth was labelled ‘Dullsville’ in the past as it was mostly a CBD surrounded by low-density suburbs. In the past 20 years there has been a dramatic shift in the city centre as 30,000 extra people have moved into high-density housing, mostly to the eastern end of the city. Together with the new electric train (or perhaps because of it for some), the city centre has become less and less built for cars and more and more built for people. It is no longer ‘Dullsville’. However, many Anglo-Saxon cities remain fixed in their resolve that planning must not allow density increases. The decline that often sets in when this happens is clear evidence that density must be taken much more seriously. The decline of Fremantle and its turn around to accepting higher density has been documented in a film by Blagg (2012). Low-density cities that do not see the benefits in density are likely to begin to decline culturally and economically but planning that recognizes the opportunities in density can look forward to greater economic diversity and cultural activity.

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10. High-density housing provides the best opportunities to build connected city fabric, without car dependence, especially with urban rail Sustainable transport options such as trains, buses, bicycles and even car sharing need density to work properly. Trains work best when there are dense centres being linked together like pearls on a string. Buses, bikes and walking are much slower than cars and trains. They will only be used if distances are short, otherwise the time lost in transport is just too great and people will switch to a car. Density shortens distances, especially when well located. Walking and cycling cannot be useful options in a city if distances beyond a few kms for walking or 5 to 10 kms for cycling are needed. Thus to enable more sustainable walkable environments you must have higher densities. The numbers have been scientifically assessed at 100,000 people and jobs within a 1 km radius for a centre to be mostly walkable, and 10,000 people and jobs within a 1 km radius if it is to be a viable transit-oriented subcentre or station area (Newman and Kenworthy, 2006). Many cities are now reversing their density declines and building around rail for the TOD opportunities created (Newman and Kenworthy, 2011; Newman et al., 2013). To stop this density increase, or to make it much less, it simply means more people will use a car instead of the train. If a city is just low-density sprawl, it is inherently car dependent. The best way to reduce car dependence is to create focused density in centres linked by quality transport, especially rail. Most car-dependent Anglo-Saxon cities are developing a strategic plan that shows how their cities could be more polycentric with TOD and rail opportunities. The outcomes are seen to be significantly reduced in footprint and to be substantially improved in their liveability at the same time. Density, oriented around quality transit, is the multiplier for these sustainability gains and has a strong ethical base (Newman and Kenworthy, 2015).

Conclusions The ten fears and ten opportunities about density have been applied with data and qualitative understandings to the low-density car-dependent city that so dominates most Anglo-Saxon new world cities. The evidence is powerful but so are the forces that want to stop density at all costs. The fears and opportunities are hopefully able to address some of these issues. The planning ethics of density is overwhelmingly about overcoming fear and seeing the opportunities.

References Anderson, W., Kanaroglou, P. and Miller, E. (1996) ‘Urban form, energy and environment: A review of the issues, evidence and policy’, Urban Studies, vol. 33, no. 1, pp 7–35 Baldassare, M. (1979) Residential Crowding in Urban America, University of California Press, Berkeley, CA Bay, J.H. (2011) ‘Towards a fourth ecology: Social and environmental sustainability with architecture and urban design’, Journal of Green Buildings, vol. 5, no. 4, pp. 176–197. Bay, J.H. (2017) ‘Compact city and sustainable high density living: Social-environmental holistic approach’, in J.H.P. Bay and S.Lehmann (eds.), Growing Compact: Urban Form, Density and Sustainability, E Routledge, London and New York

52 Peter Newman Baycan, T., Girard, L.F. and Nijkamp, P. (2012) ‘Chapter 1: Creative and sustainable cities: A new perspective’, in T. Baycan, L.F. Girard and P. Nijkamp (eds), Sustainable City and Creativity, Ashgate, Farnham, Surrey, UK Beatley, T. and Newman, P. (2013) ‘Biophilic cities are sustainable, resilient cities’, Sustainability, vol. 5, pp. 3328–3345 Beattie, C. and Newman, P. (2011) ‘The density trade-off: Does high rise construction contribute more than single dwellings to greenhouse gas emissions?’ proceedings of 5th State of Australian Cities Conference, November 29–December 2, Melbourne, VIC Beattie, C., Bunning, J., Stewart, J. Newman, P. and Anda, M. (2012) ‘Measuring carbon for urban development planning’, International Journal of Climate Change, vol. 3, no. 4, pp. 35–52 Blagg, L. (2012) The Sustainable Revitalization of Fremantle, vimeo, http://vimeo.com/51896517 Blismass, N. (2007) Off-site Manufacture in Australia: Current State and Future Directions: Report and Case Studies, Cooperative Research Centre (CRC) for Construction Innovation, Icon. Net Pty Ltd, Brisbane, QLD Breheny, M. (1992) Sustainable Development and Urban Formi, Pion, London Brueckner, J.K. (2000) ‘Urban sprawl: Diagnosis and remedies’, International Regional Science Review, vol. 23, no. 2, pp. 160–171 Bunning, J., Beattie, C., Rauland, V. and Newman, P. (2013) ‘Low-carbon sustainable precincts: An Australian perspective’, Sustainability, vol. 5, no. 6, pp. 2305–2326 Burchell, R.B., Lowenstein, G., Dolphin, W.R. Galley, C.C., Downs, A., Seskin, S. et al. (2002) TCRP Report 74: Transit Cooperative Research Program (TCIP) Costs of Sprawl – 2000, National Academy Press, Washington, DC, http://onlinepubs.trb.org/onlinepubs/tcrp/tcrp_rpt_74-a.pdf Byrne, J. (2014) Josh’s House, www.joshshouse.com.au/ Chatman, D.G. and Noland, R.B. (2014) ‘Transit service, physical agglomeration and productivity in US Metropolitan areas’, Urban Studies, vol. 51, no. 5, pp. 917–937 Committee for Perth (CFP) (2014) The Rising Cost of Living in Perth, CFP, Perth, WA Curtis, C., Renne J.L. and Bertolini, L. (2009) Transit Orientated Development: Making it Happen, Ashgate, Farnham, Surrey, UK Davis, B., Dutzik, T. and Baxandall, P. (2012) Transportation and the New Generation: Why Young People are Driving Less and What It Means for Transportation Policy, Frontier Group and PIRG Education Fund, San Francisco and Boston, www.uspirg.org/sites/pirg/files/reports/Transportation %26 the New Generation vUS_0.pdf Department of Housing (DoH) and Department of Planning (DoP) (2013) The Housing We’d Choose: A Study for Perth and Peel: Report May 2013, Government of Western Australia, DoH & DoP, Perth, WA, www.planning.wa.gov.au/dop_pub_pdf/housing_full_report.pdf Dowling, J. and Lucas, C. (2009) Suburban sprawl costs billions more, The Age, 17 July, www.theage. com.au/national/suburban-sprawl-costs-billions-more-20090716-dmxj.html Eckersley, R., Dickson, J. and Douglas, B. (2005) The Social Origins of Health and Well Being, Cambridge University Press, Cambridge, UK Ewing, R.H. (1994) ‘Characteristics, causes and effects of sprawl: A literature review’, Environmental and Urban Studies, vol. 21, no. 2, pp. 1–15 Fischer, C.S. (1976) The Urban Experience, Harcourt Brace Jovanovich, New York Florida, R. (2005) Cities and the Creative Class, Routledge, New York Florida, R. (2012) The Rise of the Creative Class: Revisited, Basic Books, New York Freedman, J.L. (1975) Crowding and Behaviour, Freeman and Company, Oxford Frumkin, H., Frank, L. and Jackson, R.J. (2004) Urban Sprawl and Public Health, Island Press, Washington, DC Gardner, H. and Newman, P. (2013) Reducing the Materials and Resource Intensity of the Built Form in the Perth and Peel Regions: Report, ARUP on behalf of the Australian Government, Department of Sustainability, Environment, Water, Population and Communities, Perth, WA, www.environment. gov.au/system/files/resources/012e6df0-dce8–4bb2–9861-dad1dfc0f779/files/built-form.pdf

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54 Peter Newman Low, N., Gleeson, B., Green, R. and Radovic, D. (2005) The Green City: Sustainable Homes Sustainable Suburbs, University of New South Wales Press, Sydney, NSW Marmot, M. and Wilkinson, R.G. (2006) Social Determinants of Health, Oxford University Press, Oxford McDonald, J.F. and McMillen, D.P. (2007) Urban Economics and Real Estate Theory and Policy (2nd edn), Wiley, Hoboken, NJ Morris, D. (1968) The Naked Ape, Dell, New York Mumford, L. (1938) The Culture of Cities, Seeker and Warburg, London Myors, P., O’Leary, R. and Helstrom, R. (2005) ‘Multi-unit residential building energy and peak demand study’, Energy News, vol. 23, pp. 113–116 Newman, P. (1986) ‘Lessons from Liverpool’, Planning and Administration, vol. 1, pp. 32–42 Newman, P. (2005a) ‘Pipe dreams and idealogues: Values and planning’, People and Place, vol. 13, no. 3, pp. 41–53 Newman, P. (2005b) ‘The city and the bush-partnerships to reverse the population decline in Australia’s Wheatbelt’, Australian Journal of Agricultural Research, vol. 56, pp. 527–535 Newman, P. (2011) ‘Sustaining our future: Resolving the conflict over population models’, proceedings of 19th International Congress on Modelling and Simulation (MODSIM), December 12–16, Perth, WA Newman, P. (2014) ‘Biophilic urbanism: A case study of Singapore’, Australian Planner, vol. 51, no. 1, pp. 47–65 Newman, P. and Hogan, T. (1981) ‘A review of urban density models: Towards a resolution of conflict between populace and planner’, Human Ecology, vol. 9, no. 3, pp. 269–303 Newman, P.W.G. and Kenworthy, J.R. (1988) ‘The transport energy trade-off: Fuel-efficient trafic versus fuel-efficient cities’, Transportation Research Part A: Policy and Practice, vol. 22, no. 3, pp. 163–174 Newman, P.W.G. and Kenworthy, J.R. (1989) Cities and Automobile Dependence: An International Sourcebook, Gower, Aldershot, UK Newman, P.W.G. and Kenworthy, J.R. (1999) Sustainability and Cities: Overcoming Automobile Dependence, Island Press, Washington, DC Newman, P.W.G. and Kenworthy, J.R. (2006) ‘Urban design to reduce automobile dependence’, Opolis, vol. 2, no. 1, pp. 35–52 Newman, P. and Kenworthy, J. (2011) ‘Peak car use: Understanding the demise of automobile dependance’, World Transport Policy and Practice, vol. 17, no. 2, pp. 32–42 Newman, P. and Kenworthy, J. (2015) The End of Automobile Dependence: How Cities are Moving Beyond Car-Based Planning, Island Press, Washington, DC Newman, P. and Matan, A. (2012a) Green Urbanism in Asia, World Scientific, Singapore Newman, P. and Matan, A. (2012b) ‘Human health and human mobility’, Current Opinion in Environmental Sustainability, vol. 4, no. 4, pp. 420–426 Newman, P., Boyer, H. and Beatley, T. (2009) Resilient Cities: Responding to Peak Oil and Climate Change, Island Press, Washington, DC Newman, P., Kenworthy, J. and Glazebrook, G. (2013) ‘Peak car use and the rise of global rail: Why this is happening and what it means for large and small cities’, Journal of Transportation Technologies, vol. 3, no. 4, pp. 272–287 Newman, P., Matan, A. and McIntosh, J. (2014) Urban Transport and Sustainable Development, Routledge, London Newton, P., Newman, P., Glackin, S. and Trubka, R. (2012) ‘Greening the greyfields: Unlocking the development potential of middle suburbs in Australian çities’, World Academy of Science, Engineering and Technology, vol. 71, pp. 138–157 Newton, P., Marchant, D., Mitchell, J., Plume, J., Seo, S. and Roggema, R. (2013) RP 2001: Performance Assessment of Urban Precinct Design: A Scoping Study, University of New South Wales, CRC for Low Carbon Living Ltd, Sydney, NSW, www.lowcarbonlivingcrc.com.au/sites/all/

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files/publications_file_attachments/rp2001_-_performance_assessment_urban_precinct_designfinal_0.pdf Organisation for Economic Co-operation and Development (OECD) (2011) Towards Green Growth: Strategic Report, OECD, Paris Perkins, A., Hamnett, S., Pullen, S., Zito, R. and Trebilcock, D. (2009) ‘Transport housing and urban form: The life cycle energy consumption and emissions of city centre apartments compared with suburban dwellings’, Urban Policy and Research, vol. 27, no. 4, pp. 377–396 Rauland, V. and Newman, P. (2011) ‘Decarbonising Australian cities: A new model for creating low carbon, resilient cities’, proceedings of 19th International Congress on Modelling and Simulation (MODSIM), December 12–16, Perth, WA Recsei, T. (2005) ‘Pipe dreams: The shortcomings of ideologically based planning’, People and Place, vol. 13, no. 2, pp. 68–81 Rodrigue, J.-P. (2013) The Geography of Transport Systems (3rd edn), Routledge, New York Rowley, S. and Ong, R. (2012) Housing Affordability, Housing Stress and Household Wellbeing in Australia: Final Report No. 192, Australian Housing and Urban Research Institute (AHURI), Melbourne, VIC Rowley, S. and Phibbs, P. (2012) Delivering Diverse and Affordable Housing on Infill Development Sites: Final Report No. 193, Australian Housing and Urban Research Institute (AHURI), Melbourne, VIC Royal Automotive Club (RAC) (2015) Vehicle Running Costs Guide, RAC, Brisbane, QLD Sandercock, L. and Lyssitosis, P. (2003) Cosmopolis II: Mongrel Cities in the 21st Century, Continuum, London Sassen, S. (1994) Cities in a World Economy (1st edn), Sage, New York Schweitzer, L. and Zhou, J. (2010) ‘Neighbourhood air quality, respitory health and vulnerable populations in compact and sprawled regions’, Journal of the American Planning Association, vol. 76, no. 3, pp. 363–371 Storper, M. and Scott, A.J. (2009) ‘Rethinking human capital, creativity and urban growth’, Journal of Urban Geography, vol. 9, pp. 147–167 Thormark, C. (2002) ‘A low energy building in a life cycle – its embodied energy, energy need for operation and recycling potential’, Building and Environment, vol. 37, no. 4, pp. 429–435 Troy, P., Halloway, D., Pullen, S. and Bunker, R. (2003) ‘Embodied and operational energy consumption in the city’, Urban Policy and Research, vol. 21, no. 1, pp. 9–44 Trubka, R., Newman, P. and Bilsborough, D. (2010a) ‘Costs of urban sprawl (1) – infrastructure and transport’, Environment Design Guide, vol. 83, pp. 1–6 Trubka, R., Newman, P. and Bilsborough, D. (2010b) ‘Costs of urban sprawl (2) – predicting transport greenhouse gases from urban form parameters’, Environment Design Guide, vol. 84, pp. 1–16 Trubka, R., Newman, P. and Bilsborough, D. (2010c) ‘Costs of urban sprawl (3) – physical activity links to healthcare costs and productivity’, Environment Design Guide, vol. 85, pp. 1–13 Wells, W. (2007) Blueprint for Greening Affordable Housing, Island Press, Washington, DC Williams, R. (1985) The Country and the City, Hogarth Press, London Wilson, A. and Boehland, J. (2005) ‘Small is beautiful – US house size, resource use, and the environment’, Journal of Industrial Ecology, vol. 9, no. 1, pp. 277–287 Wilson, P. (1976) Public Housing for Australia, UQ Press, Brisbane, QLD

Chapter 4

Density, sprawl and sustainable urban development Perspectives from the Asian and Pacific region Paul Jones and Donovan Storey

Summary This chapter explores the role density plays in achieving more sustainable, inclusive, safe and resilient cities by reflecting on trends and patterns in the Asian and Pacific region. Specifically it examines these trends in relation to benefits and costs of urban density and sprawl and their policy consequences. The insights shared in this chapter are part of the renewed efforts towards sustainable cities in support of sustainable development, and a revitalized agenda for cities and urban planning priorities. The latter are laid out through Goal 11 of the 2030 Agenda for Sustainable Development and the ‘New Urban Agenda’, the outcome document of the United Nations Conference of Housing and Sustainable Urban Development, held in Quito in October 2016. The Asian and Pacific region is urbanizing rapidly. Patterns of urban form and structure including density have not been uniform, with some sub-regions continuing to experience urban sprawl with marginally higher density (such as South East Asia) while others maintain or increase density, yet still exhibit sprawl (such as the Pacific and East Asia). The management of this transformation and the governance processes needed to achieve the necessary planning and design skills to guide the process will be critical for the region’s development prospects, and the well-being of its people. To date, much of the region’s urban processes have been poorly managed, and planning has taken a back seat in an era where its role has never been more critical. Concurrent with the ‘New Urban Agenda’, there is a historic opportunity for the region and its urbanizing population to reflect on what has been achieved to date and what is possible in the future, given projected future growth. Reviewing trends in density, form and structure tells us much about the complexity of the region, including underlying social and cultural norms and values which dictate what levels of density are acceptable and why.

Asia and Pacific: urbanization in the absence of models The Asian and Pacific region comprises some 58 countries and territories ranging from the economic powerhouses of Japan and China, to some of the world’s smallest and most remote economic and geographic political entities.1 In 2014, 55 per cent of the world’s urban population was living in the Asia and the Pacific region. Recent economic transformation of much of the region has moved hundreds of millions of people out of poverty and created a rapidly growing urban middle class that now accounts for over 2 billion people. Conversely, Asia and the Pacific is also home to the world’s largest urban slum populations and the

Density, sprawl and sustainable urban development 57

largest concentrations of people living below the poverty line. Adequate shelter, safe neighbourhoods, clean water and sanitation, health care, transport and access to modern energy systems are rights still not shared by all. Clearly, the region’s economic progress and benefits of urbanization have not benefitted everyone, and some of the starkest examples of such disparity are to be found in its urban areas. By 2018, the population of the Asia and Pacific region is expected to become more than 50 per cent urban, a point at which the region, for the first time in its history, can no longer be understood as predominantly rural. This historic change, including questions of what and how urban form and structure should be sought and managed, are arguably the biggest challenges facing the region’s governments and cities at the start of the twenty-first century. Within this setting, key features of the population and urbanization dynamics of the Asia Pacific region can be summarized as: • •

•

The speed and scope of urbanization in Asia and the Pacific is unprecedented, with the region’s urban population having grown by 630 million in the 2000–2015 period alone. All Asia and Pacific sub-regions are experiencing urban growth at higher rates than overall population growth. By 2050, urban areas will account for nearly two out of three people living in the region. The development prospects of the region will increasingly depend on how its cities are managed and in tackling the myriad and interwoven dimensions of urban sustainable development. This includes challenges in the gaps between quantity and quality of growth.

Urbanization trends in China and India are having the largest impact on the regional demographic narrative. Between 2000 and 2010, for example, China’s urban population grew at 3.8 per cent annually and India’s at 2.6 per cent. The absolute growth in urban population numbers is significant, with the number of people living in cities in China and India projected to grow by 696 million by 2050 (India 404 million; China 292 million) (UN-ESCAP and UN-Habitat, 2015).

Understanding and defining ‘urban’ and its opposites The manner in which practitioners and researchers understand density, sprawl and form reflects the constructs that policy-makers and researchers have developed and applied over time to interpret and understand the social, economic and environmental dynamics of settlements. Invariably, this storyline of varying population concentrations (settlements) in Asia and the Pacific has developed around key notions such as urban, rural, city and town. Many of these latter terms have their genesis in colonial and post-colonial administrations that introduced their own institutional and administrative language and concepts to manage, plan and understand the ‘new’ forms of settlements they developed and understood through a primarily Eurocentric lens (Home, 2013). These concepts are often presented in the literature as discrete ‘black and white’ entities yet in practice they are terms with increasingly ambiguous and multiple meanings in both Asia and the Pacific. This is compounded by not only the absence of a definition of ‘urban’ in the region (and indeed globally) but also the huge variances in national definitions. Within the region, there are vastly differing definitions of ‘urban’ due to the diversity of institutional, legal and policy settings in which the urban realm is planned and managed, whether

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formally or informally. This makes comparisons problematic and fraught with caveats. In Papua New Guinea (PNG), for example, an urban area is defined as an area with urban functions and comprising 2,000 or more residents (ADB, 2012). In Japan it is 50,000 residents or more, while in several countries a combination of density (e.g., China, India), governance (the existence of a municipal body or authority; Pakistan, Sri Lanka, Vietnam) or economic activity is used (UN-ESCAP and UN-Habitat, 2015, p. 33). In addition, definitions can change over time. China, for example, has employed at least three reinterpretations of cities in recent decades leading to significant reassessments of both urban population and space (UN-ESCAP and UN-Habitat, 2015, p. 33). Across the Asia Pacific region, such definitions set the physical, institutional and administrative boundaries of what is – rightly or wrongly – urban, namely, a built-up area at a certain point in time, having a minimum number of people, higher-density concentrations of population compared to rural and other designated areas, and ‘city-like’ functions within a contained area. Consequently, urban areas ‘can be classified according to administrative criteria, such as function, population size, density, economic characteristics, and level of service and infrastructure’ (ADB, 2012, p. xi). Nevertheless, despite this methodological diversity, these remain narrow definitions which define and confine cities to a singular spatial entity and form, which is symptomatic of attempts to simplify the complexity of the Asian and Pacific city. By implication, such ‘black and white’ definitions also impact on the way we measure key form attributes such as density. The notion of urban implies the existence of discrete urban and rural physical entities, yet within the region this is rarely the case. Intra-urban as well as urban and rural spaces are best seen as a continuum characterized by a range of linkages and permeations which increasingly define the character of ‘urban’. Such identity includes the transfer of capital, goods and services, the movement of temporary and permanent workers and migrants, diversity of formal and informal sector activities, and increased travel between rural areas and towns and cities. Importantly, it also includes the impact of norms and values transferred from the rural setting and filtering into lifestyles within the urban setting and vice versa. In the Pacific island countries, this phenomenon has been termed the ‘cultural permeation of urban areas’ (Jones, 2016b, p. 174) (see Figure 4.1). As cities continue to grow and shrink physically, and communications and technology opens up new opportunities for economic and social development and the ‘death of distance’, the boundary between urban and rural is increasingly blurred and trans-local. Thus, the notion of what is urban extends both within place and through space. Not surprisingly, cities are becoming extremely complex to define. They are increasingly ‘unbounded’ in their urban form and across much of Asia and Pacific as we are witnessing the ‘urbanization of space’. This pattern increasingly defies traditional planning concepts and techniques, and can only be fully appreciated from beyond the planet itself – through satellite imagery – especially in the case of the region’s mega-cities and mega-urban regions (Taubenbock, 2012). From a number of perspectives, cities are no longer discreet areas understood through core and peripheries (independent, fragmented), rather they are increasingly understood as both core and periphery (interdependent, holistic). Through their geographic expansion and social and economic linkages, it is therefore necessary to look not only at the municipal core(s) (density) but also at the wider urban agglomeration (sprawl), irrespective of administrative boundaries, and the relationship between the two forms. As urban populations grow, urban areas expand beyond their borders through both formal and informal means, often absorbing smaller settlements in their growth path. Defining an

Density, sprawl and sustainable urban development 59

Figure 4.1 In the Pacific region, the ‘cultural permeation of urban areas’ plays a key role in the shaping of form and expression of density in towns and cities. In this image, settlement dwellers from the town of Mendi in the Southern Highlands Province of Papua New Guinea (PNG) march in traditional ceremonial dress to celebrate the launch of the National Urbanization Policy in Minj, Papua New Guinea, 17 May 2012. Source: Photo by Paul Jones.

urban area is problematic, as is the challenge of establishing key criteria which adequately reflects its complexity such as density. For example, the millions of commuters in Asia travel from rural areas to the city for work each day and therefore impact on the notion of density and what it really means. Functional definitions may provide more insightful approaches as they can create more relevant ‘maps’ of urban form and structure that reflect the complex levels of ‘connectivity’ within existing defined urban and new non-urban areas. On the other hand, they also further complicate questions of where cities ‘begin and end’. For example, understanding urban form through industrial hinterlands (which may include several adjoining provinces, as in Bangkok); daily or weekly commuters (in the case of Metro Manila and Jakarta this can be in the millions); or through resource hinterlands (food, water and energy) creates very different understanding and ‘maps’ of cities. To capture such complexity and ambiguity the use of Functional Urban Areas (FUA) has been recently used by the OECD and scholars in Europe (Antikainen, 2005; OECD, 2013). Such analysis can employ population density; a threshold population of a ‘large’ urban centre/core; and a maximum travel time to that centre/core, or a threshold population across boundaries commuting daily (typically between 15–20 per cent of population). Here density is understood in its relationship with sprawl, or territorial expansion in which a functional region exceeds administrative boundaries. The OECD has referred to new urban forms as developing ‘in a polycentric way, hosting high density inhabited cores that are physically separated, but economically integrated’ (OECD, 2013, p. 3). The benefits of a better understanding of the co-dependence of both dense cores and their peripheries includes that ‘the needs of economic activity and production or services can be more efficiently mapped

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leading to a more coherent strategic planning and, for example, a rationalization of public services’ (Antikainen, 2005, p. 447). The changing nature of urban in the Asia Pacific region highlights the need for lateral and integrated approaches to multi-level and collaborative governance systems that better reflects the changing nature of the urban milieu. In this context, it is extremely difficult to holistically manage regional cities, mega-urban regions and their impacts as they are often divided administratively while their ‘flows’ transcend administrative boundaries. New functional and territorial constructs rather than solely administrative constructs that hide urban complexity are required to tease out and help recognize and plan the sustainable development challenge of the region’s many towns and cities

Understanding the dimensions of sustainable urban form Across the Asia and Pacific region, it has been acknowledged that the form of the city is a source of numerous environmental, social and economic challenges that play out and express themselves in vastly differing geographical, social, political and economic contexts. Put simply, the way in which land use, ecosystems, employment, land releases, transport and concentrations of population are planned, managed and connected directly impacts on the quality of the urbanization process. This includes urban form, structure and livability. For example, high urban densities may result in concentrated local air pollution, as measured by vehicle and other emissions per urban hectare (Makido and Dhakal, 2012), while lower average urban densities may dilute vehicular pollution in high traffic cities. However, other factors aside from density such as pollution control measures, car ownership levels, and land use types will influence levels of pollution aside from density alone. As such, relying on population or dwelling density alone is problematic as a way of understanding and interpreting the notion of urban and broader concepts of urban sustainability. There is much debate in the Asian and Pacific region around the most effective and desirable urban form that cities and regions should aspire to. Acknowledging the variance of scale that comprise the urban realm such as regional and metropolitan, town and city, suburb, block, plot and building level is important in this narrative so as to appreciate how different parts of urban form and structure ‘connect’ more successfully than others. It is also important in understanding the different rules and principles by which this form is produced (Salingaros, 2000). So, what is urban form and what are the key concepts central to the debate on sustainable urban form? Urban form is essentially the collation of different physical elements which are repeated in the urban landscape through developmental processes and combine to form patterns. One of the earliest theorists on urban form was Kevin Lynch, who defined form as ‘the spatial pattern of the large, inert, permanent physical objects in a city’ (Lynch, 1981, p. 47). Planners, designers and policy-makers look at urban form from different perspectives such as urban efficiency which has been defined as ‘travel patterns, infrastructure and energy use, and social and environmental costs including water use, congestion costs and the costs of sprawl’ (Buxton, 2006, p. 2). Cutting across the debate on sustainable urban form are a number of key concepts (Jabareen, 2006). These include: •

compactness – an emphasis on containment including intensification which it is argued has implications for reducing, amongst other factors, energy consumption, the cost of infrastructure and services, and the take up of rural lands;

Density, sprawl and sustainable urban development 61

•

•

•

•

•

sustainable transport – meeting the needs of city and regional residents via sustainable transport systems so as to provide accessibility to lifestyle needs such as jobs, sport and recreation which reduces private car use; density – in terms of urban sustainability, urban density has become a core pillar and is central to the argument for rapid transit, a hierarchy of urban centres and transit orientated development (TODs). The term ‘density’ has traditionally focused on the number of people and/or dwelling units contained in a specific land area. The World Bank, for example, uses 20 km from a city centre to measure density in South Asia (Ellis, 2002). As noted later, density is just one important element in the mix for more sustainable transport systems and urban development generally (see Figure 4.2). As a general rule, the higher the density, the lower the cost of public transport. If public transport connections points are accessible, then this can lead to reduced car usage and more walkable neighbourhoods; mixed land uses – siting compatible land uses together based around efficient transport systems and at ‘suitable’ densities has many benefits including encouraging walking, cycling and reducing car use and demand for parking; diversity – the city as a heterogeneous mix not only of population and ethnic groups but also a diversity of housing types, demographics, block sizes, building styles and socioeconomic profiles. As noted by Jane Jacobs (1961), encouraging rather than subverting diversity is essential to the richness of city life; solar design, greening of the city and generally reducing the use of finite resources – a need to reduce the demand for energy through passive energy (and higher densities), whilst greening the city for biodiversity and ‘healthy living’ based on the stock of environmental assets.

Figure 4.2 Transport is a key variable in contributing to density ‘done well’. While China continues to experiment with expressions of density through its own brand of place making, it has achieved high levels of urban connectivity through rapid transport, such as the Beijing to Tianjin high-speed rail. Source: Photo by Paul Jones.

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Trends in density and form in the Asian and Pacific region As implied above, density is one variable to make cities and their development patterns more sustainable. Density is important in ‘how cities look, feel and are experienced’ (Cooper and Boyko, 2012, p. 5). While many policy-makers see density solely through the lens of dwelling density alone, the taxonomy of density reveals many units contributing to how urban density presents itself in urban form and structure (Makido and Dhakal, 2012). This includes built and natural forms, spaces, places, people, organizations and scales (Cooper and Boyko, 2012). So, how dense are cities in the Asian and Pacific region, and what have been the trends over time? What major forms do we see expressed? What are underlying challenges in moving towards more sustainable urban forms? It is now well acknowledged that cities are growing at a rate faster than that of population growth (ADB, 2012; UN-ESCAP and UN-Habitat, 2015). In the case of rapidly urbanizing Asian and Pacific region this holds true, but there are important variations and patterns. While migration still plays an important role in urban growth in South Asian and Pacific Island urbanization, reclassification is increasingly important in China (see Figure 4.3). Urban sprawl, as the manifest spatial extension of cities and urban populations, greatly characterizes the larger cities of South East Asia and South Asia, but also China. And yet, East Asian cities are concurrently exhibiting trends towards greater density over time. In Japan, Republic of Korea and Russian Federation/Central Asia, a combination of demographic transition (ageing) and weak economic prospects beyond major cities are resulting in shrinking cities in terms of population and (through targeted demolitions) physical space. In these contexts, the planning challenges are how best to physically re-shape urban infrastructure and space to meet the needs of smaller and ageing populations. There are clearly sub-regional trends which need to be disaggregated and understood at scale. The key concepts of ‘density’ and ‘sprawl’ have often been understood as counter opposed binaries in urban models and outcomes. Traditional perspectives have seen sprawl associated with low population densities, high vehicle miles travelled and low levels of public transit, walking and bicycling. It is a ‘city wide’ term cutting across and collating suburb types which may or may not be homogenous in density depending on the criteria used to define the latter term, such as population, housing types or other criteria. With regards to the Asian and Pacific region, patterns have not been uniform, with some sub-regions continuing to experience urban sprawl and with marginally higher density (such as South East Asia) and others maintaining or increasing density, yet still exhibiting sprawl (East Asia and the Pacific). A recent study of the South Asia region utilized night lights to show spatial growth of cities, concluding that cities grew in land area about twice as fast as they grew in population and there was a strong tendency for growth to crossover administrative boundaries (World Bank, 2015a). Conversely, other studies on urban growth in East Asia (which included East and North East Asia as well as South East Asia) found that East Asia has among the densest cities in the world. Importantly, while such cities have expanded, they have maintained relatively high levels of population density – a phenomenon known as ‘dense sprawl’ (World Bank, 2015b). In other words, their suburbs have high population densities without the necessary ‘livability’ infrastructure and services, such as public transport, open space and strategically positioned local centres to make such densities work effectively (Eidlin, 2010). Also, depending on the degree of central planning, some cities with ‘dense sprawl’ do not display low-density suburban fringe.

Density, sprawl and sustainable urban development 63

Figure 4.3 In the regeneration of urban areas in Asia, modernization and increasing dwelling and population density compete with the preservation of local heritage. In Tianjin, China, alleyways and fine grain, mixed-use development co-exist side by side with mainstream tower development, thus, maintaining local economies and social networks. Source: Photo by Paul Jones.

In many cities across the Asia Pacific region, land speculation has also resulted in increased property values, low levels of infill and vacant lots waiting to be sold at higher value. In a number of countries, this has contributed to urban sprawl, in which urbanizing areas transcend municipal administrative boundaries and grow into other municipal areas and rural areas, spatially and economically blurring the urban and rural divide. This is having increasing consequences for agricultural lands and ecosystems which are converted into urban and peri-urban areas as part of low-density sprawl. Many countries lack the legal and practical tools to act on comprehensive land use planning, acerbating the actual development of sprawl in the vicinity of existing or new city-region transport corridors. Given this expansion, understanding urban–rural linkages and complexities are crucial to ensure growth is managed effectively for all people engaged in urban and peri-urban areas, regardless of their place of residence. Rapidly urbanizing East Asia is a salient example of the complexities of understanding density, sprawl and emerging urban form in the region. Densities in relation to urban growth in East Asia have become difficult to judge in recent years. East Asian cities over 100,000 are 1.5 times denser than the average of the world’s urban areas, and cities in East Asia increased in density over the period 2000–2010 (from 5,400 to 5,800 people per square kilometre). Yet in the same period urban growth consumed an additional 28,000 sq km (World Bank, 2015b) – roughly the equivalent size of Belgium. China’s urban area, for example, more than doubled between 1996 and 2013 to 47,900 sq km (People’s Republic of China, 2015). Increased density was more pronounced in low- and lower middle income countries (World Bank, 2015b). Spatial growth was lowest for low-income and high-income countries, with the fastest rates of land expansion to be found in upper- to middle-income

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countries – countries which are also experiencing a rapid growth in middle-class populations (World Bank, 2015b, p. 10). On the other hand, population densities have increased significantly in the small towns and cities of the Pacific, with little in the way of clear development outcomes. Indeed, urban densities in Pacific capitals can rival population densities of a number of booming Asian cities. South Tarawa, the capital of Kiribati, remains the highest density town in Pacific island countries, with a population density of approximately 3,500 persons per sq km on a land area of 15.7 sq km. ‘Villages in South Tarawa have densities on the order of 15,000–18,000 persons per sq. km, such as the overcrowded islet of Betio’ (ADB, 2012, p. 26). What the above does not tell us is how this density is expressed, as some of the latter urban settings are driven by poverty and major environmental decline. Reflecting on the diverse town and city forms observed in the Asia Pacific region, three trends can be observed. First, in the Asia Pacific region, megacity growth rates are largely decelerating, especially in their core areas. But given the absolute population numbers and the projected growth for more megacities in the near future, the growth and impact of megacities and of regions around megacities will be extremely significant in the region. In some cases, such as the Pearl River Delta, urban growth at high population densities is resulting in the merging of urban areas into a ‘megalopolis’ of several cities. The Pearl River Delta comprises two megacities in their own right, Guangzhou and Shenzhen, as well as Dongguan and Foshan and, with over 40 million people, this concentration is considered to be the largest urban area in the world by many accounts. In the case of China, such ‘mega urban clusters’ incorporating large, medium and small cities and towns are now encouraged as part of national urban policy. Second, much of the public discourse on density in the Asia Pacific region continues to treat density as an isolated and discrete entity, such as in population or employment terms. Contextualizing local and city norms, values and lifestyle aspirations is often absent, so understanding what is low density to one group of policy-makers can be high density to another. The role of density as a conduit to engaging city stakeholders in more nuanced and detailed debate about (i) what is sustainable urban development (including density and its relationship to other components) and (ii) what sustainable urban forms we want, where, how and at what costs, is yet to be fully realized. Third, density expressed in population terms takes many forms in the Asian and Pacific region. What can be seen are combinations of a number of form types rather than one single form. Many cities can be characterized as having ‘hybrid forms’ as form types both evolve and merge from one form and morph into another. Previous industrial and brownfield areas, plus low-density residential areas, for example, are reshaped by medium- to high-density residential as suburbia reinvents and recasts itself within the city as it responds to economic drivers, population, demographic changes and market demands. The scale at which such form is analysed will also reveal different results. The key forms seen in isolation and/or combination with one another in the Asian and Pacific region are: • •

mega regions comprising multiple cities and towns of varying density and primacy normally based around a corridor of strong public and private transport; compact cities with relatively high densities, core centres (or number of them – multi-centric), good public transport and accessibility to jobs. This may include ‘dense sprawl’ with localized suburbs displaying low levels of public transport and poor accessibility issues such as reasonable commuting times to jobs;

Density, sprawl and sustainable urban development 65

• •

• • •

eco-cities in a compact city setting where the emphasis is on green infrastructure, such as in China; mixed-density cities as cities transition from low to higher densities. This is seen in previously low-density suburban cities such as Sydney, Melbourne and Brisbane. Planning and design concepts such as urban activation, urban renewal, infill development, centres, TODs and neo-traditional development (new urbanism) are now applied to reduce edge expansion and encourage medium to higher density compact suburban development; mixed-density cities as cities transition from high to low densities as seen in shrinking cities in Asia; high-density primate cities constrained by geographical size as seen in the Maldives and countries in the Pacific Islands; low-density primate cities as seen in countries of the Pacific Islands, which include large tracts of peri-urban sprawl.

The diversity of form patterns emerging in Asia Pacific are a spatial expression of a combination of prevailing governance arrangements, historical form patterns and underlying social and economic drivers, including changing demographics. Significantly, this includes the growth of increasing patterns of informal urbanism as reflected in burgeoning numbers of informal settlements across all towns and cities of the Asian and Pacific region (Jones, 2016a, pp. 10–11). Importantly, the latter display highly innovative forms of neo-traditional development which arguably meet many of the criteria for sustainable urban development expounded by the New Urbanism movement – for example, walkable, fine grain, low car use, high population density, accessibility to employment and adaptive housing forms (see Box A). In terms of defining what is sustainable urban development, such attributes have been well criticized as being absent in the sprawl of towns and megacities of the developed world (Ellis, 2002). With informal settlements continuing to flourish and filling an invaluable gap in the provision of affordable housing, where does the supposed chaotic and dishoarded form and structure of informal settlements fit into the debate on sustainable urban form? Informal urbanization and one of its major outcomes – informal settlements – are part and parcel of the narrative of the contemporary city.

Conclusion: density and the urban future: some policy lessons Does urban form matter and why? Where does density fit into the narrative on sustainable urban form and urban development generally? One has to be cautious in what may be taken from trends across the Asian and Pacific region as density, compactness and sprawl may be shaped by geography and contextualized development processes situated within deep-seated socio-cultural norms, as well as the role or otherwise of urban planning and management. What is clear is that form does matter to livability, proximity and accessibility, but increasing density alone does not alone address urban sprawl or overcome the challenges of sustainable and inclusive urban development. The city is the sum of its component parts, and each component depends on the other. Changing urban form components and their arrangement such as density and mix of land uses can enhance the functioning of cities, their efficiency and environmental performance, notwithstanding the interaction among variables of varying scale and function is complex. Density and making density ‘livable’, however,

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The kampung of Pulosari, Bandung, Indonesia The Pulosari kampung (informal settlement) is located in Tamansari in the northern part of Bandung, the capital of West Java. The kampung sits as a small island in the middle of the Cikapundung River and is linked to adjoining kampungs by three pedestrian bridges. Pulosari has total area of 0.65 hectares and a population of approximately 800 persons, which equates to around 1,271 persons per hectare. It is car free and, like many adjoining kampungs in this valley, motor bikes and walking comprise the main modes of connectivity. Despite the lack of public infrastructure in terms of open space and adverse environmental conditions in a kampung where locally driven decisions have dominated, Pulosari displays a remarkable dynamic urban form. It is walkable, fine grain, human scale, reflects responsive housing forms, has time–space efficient markets and uses local technology. Self-organization and bottom-up processes are clearly visible in the robust form and structure of the kampong (Figure 4.4). Source: Jones, 2016a.

Figure 4.4 Pulosari kampung, Bandung, Indonesia: irregular and ‘incremental’ form types challenge mainstream formal models of planned sustainable urban structure. Source: Photo by Paul Jones.

Density, sprawl and sustainable urban development 67

must be considered in combination with other key form elements and fundamental planning principles in shaping Asian and Pacific cities in the twenty-first century. High livability can be achieved at either high densities (although fewer cities succeed) or lower densities (Ellis, 2002, p. 126). In the Asian and Pacific region, for example, Seoul, Tokyo, Osaka, Singapore and Hong Kong have all achieved both high standards of living with density. However, in developing countries, urban density has been associated with very poor living conditions, and in the case of South Asian cities density presents higher correlations with air pollution, traffic congestion, sewage and waste management problems and ill health (Ellis, 2002; World Bank 2015a). Understanding how people experience density and sprawl (and the socio-cultural norms and values behind community expectations) may be more effective than measuring land and population ratios (Eidlin, 2010). What are the policy lessons for governments, planners and key urban stakeholders from the Asian and Pacific experience? Despite some trends towards ‘quality density’ the region’s cities continue to exhibit tendencies towards sprawl. Where high density is experienced (with the exceptions of very well-planned but somewhat exceptional cities, such as Hong Kong and Singapore), density has yet to be equated with inclusive and sustainable urban outcomes. Instead, the region’s urban form – which is characteristically unbounded and beyond discreet frameworks of core and periphery – requires new models which seek higher density whilst better connecting functioning centres with essential peripheries. What is required is a ‘better spatial organization of settlements’ through striking a balance in settlement patterns and functions, rather than seeking more sustainable cities through density per se (Antikainen, 2005, p. 447; Mokido and Dhakal, 2012, p. 64). More attention is needed on how to effectively understand and leverage such Functional Urban Areas in a context of polycentric urban growth patterns underpinned by effective transportation and connectivity. Planning for sound city and territorial development, based upon better linkages and interactions across urban space (UN-Habitat, 2015), could allow for emergence of new urban forms and networks which are better connected and integrated, and which build on the opportunities of both compact cities and their territories. Far from a technical exercise, the challenges of managing such future urban forms include the coordination of governance, land use, infrastructure, transport and financing instruments and systems. Overcoming such challenges will be critical in going beyond managing the region’s urban transformation, and laying the foundations for a transformative and sustainable urban future.

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References Antikainen, J. (2005) ‘The concept of functional urban area’, Informationen zur Raumentwicklung, vol. 7, pp. 447–452 Asian Development Bank (ADB) (2012) The State of Pacific Towns and Cities – Urbanization in ADB’s Developing Member Countries, Pacific Studies Series, Manila Buxton, M. (2006) Urban form and urban efficiency, paper prepared for the 2006 Australian State of the Environment Committee, Department of the Environment and Heritage, Canberra Cooper, R. and Boyko, C. (2012) The Little Book of Density: A Guide to Density in Urban Environments, Lancaster University

68 Paul Jones and Donovan Storey Eidlin, E. (2010) ‘What density doesn’t tell us about sprawl’, Access Magazine, no. 37, University of California Ellis, C. (2002) ‘The new urbanism: Critiques and rebuttals’, Journal of Urban Design, vol. 7, no. 3, pp. 261–291 Home, R. (2013) Of Planting and Planning: The Making of British Colonial Cities (2nd edn), Routledge, London Jabareen, Y. (2006) ‘Sustainable urban forms: Their typologies, models and concepts’, Journal of Planning Education and Research, vol. 26, pp. 38–52 Jacobs, Jane (1961) The Death and Life of Great American Cities, Vintage Books, New York Jones, P. (2016a) Unpacking Informal Urbanism: Planning and Design Education in Practice, Institute of Technology Press, Penerbit, Bandung, Indonesia Jones, P. (2016b) ‘Informal urbanism as a product of socio-cultural expression: Insights from the Island Pacific’, in S. Attia, S. Shabaka, Z. Shafik and A. Aty (eds), Dynamics and Resilience of Informal Areas: International Perspectives, Springer, Berlin, pp. 161–185 Lynch, K. (1981) A Theory of Good City Form, MIT Press, Cambridge, MA Makido, Y. and Dhakal, S. (2012) ‘Relationship between urban form and CO2 emissions: Evidence from fifty Japanese cities’, Urban Climate, vol. 2. pp. 56–67 OECD (2013) Definition of Functional Urban Areas (FUA) for the OECD Metropolitan Database, OECD, Paris People’s Republic of China (2015) National Report to Habitat III, www.habitat3.org Salingaros, N. (2000) ‘Complexity and urban coherence’, Journal of Urban Design, vol. 5, no. 3, pp. 291–316 Taubenbock, H. (2012) ‘Monitoring urbanization in mega cities from space’, Remote Sensing of Environment, vol. 117, pp. 162–176 UN-ESCAP and UN-Habitat (2015) The State of Asian and Pacific Cities Report 2015, Nairobi. UN-Habitat (2015) International Guidelines on Urban and Territorial Planning, Nairobi World Bank (2015a) Leveraging Urbanization in South Asia, World Bank, Washington, DC World Bank Group (2015b) East Asia’s Changing Urban Landscape: Measuring a Decade of Spatial Growth, World Bank, Washington, DC

Chapter 5

Transforming a low-density city into a compact city

The challenge of transforming a low-density city into a compact city The case of the City of Perth, Australia Steffen Lehmann

Summary Cities around the world are facing an ever-increasing variety of challenges to sustainability. This is especially true of Australian cities, with their low population densities, where the questions of planning controls and community perception play an important role in achieving ‘quality density’ – that is, city densification and consolidation done well. However, there is a common misconception of urban density, for instance, that proponents of density mean ‘high-rise towers in every suburb’. This chapter discusses inner-city connectivity, strategic infill potential for careful increases of the overall density and urban consolidation to better accommodate the population growth and support urban renewal, discussing the case of post-boom Perth. At around 20 dwellings per hectare, the City of Perth has one of the lowest densities of all Australian major cities. To what extent is the high liveability of Perth linked to this low density and what are the opportunities to increase its density without jeopardising this liveability? What can we do to make urban settlements healthier places and more socially just, while increasing their density and sustainability? This chapter takes into account questions of environmental and social sustainability in regard to urban form and density. It explores some of the major challenges facing Perth in the future, as the global economy transitions away from coal and carbon. It then discusses the potential and underlying dimensions of the transformation of existing car-dependent suburbs by looking at the design of low-carbon green precincts and their urban systems. The aim of the chapter is to define a new agenda of change for sustainable urban development that is relevant and can be transferred and replicated in other cities. A more interconnected and consolidated urban form is achieved by infill, compact districts and mixed-use neighbourhoods that are both more dense and sustainable. The conclusions are that density increases are relevant to the entire city, not only for innercity infill areas. Increasing density and building heights does not need to result in poorer public spaces. However, the social dimension of such a new urban agenda for a low-carbon compact (and denser) city is likely to be a key challenge. What are the new ideas of quality urban density in the wider context of urbanization trends that are shaping the way cities will be evolving?

Introduction In a denser city, with walking and cycling you can get anywhere quickly. (Gehl, 2011, p. 32)

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There is evidence that when people gather together more closely and interact, innovation can happen more easily and new ideas are generated more frequently (Glaser, 2011). Richard Florida (2010) noted that denser cities foster more collaboration and innovation. In the knowledge and service economy, cities are seen as successful if they attract people, act as information hubs and enable the public and private sectors to cooperate on development projects. The new knowledge economy requires dense and walkable centres where people can use information technology and social media while in transit. Thus, urban theorists and economists have commonly identified compact cities as engines of progress and idea generators (Florida, 2010; Glaser, 2011). For instance, tech start-up companies locate themselves in certain areas of the city where people can easily meet, with a high density of cafes (a trend that can be seen in London, New York, Berlin and other global cities). As a nexus for the exchange of ideas, a city can function as a connecting hub for experts and non-experts alike to put forward urban theories, test out new concepts of urban infill and new methods of urban participation and share stories of transformation and successful urban renewal. To manage their long-term process of transformation and urban growth, cities will need to be redesigned, retrofitted and managed in new and better ways, to decarbonize their energy supply and minimize the generation of waste in all forms, encourage urban biodiversity and allow ecosystems to flourish while providing inhabitants with the basic elements of well-being in a resource- and energy-constraint future. Quality design and better approaches to delivering higher density will be key elements of this process. The shape and ideal density of cities has been a fascinating topic for a very long time, from the Ideal City ideas in the Renaissance to utopian visions at the beginning of the century by Ebenezer Howard and Frank Lloyd Wright, building the early theoretical foundation for today’s suburbia and sprawl (see Figures 5.1a and b). Urban sprawl is unsustainable. Today, numerous cities worldwide are engaged in urban projects and activities in a concerted drive towards more sustainable urban development, consolidating their footprint through growth boundaries and curbing urban sprawl. But with

Figure 5.1a This powerful urban diagram by Ebenezer Howard was published in 1903 in Garden Cities of Tomorrow. Howard’s idea was an alternative to the UK’s overcrowded and polluted industrial cities of that time: clusters of garden cities with 32,000 to 58,000 inhabitants each set in a permanent greenbelt, ‘to combine the best of both city and country living’.

Transforming a low-density city into a compact city 71

Figure 5.1b Frank Lloyd Wright’s Broadacre City (1932–59) took the geometry of the North American rural grid of square-mile parcels in his low-density suburban (anti-urban) vision for an agrarian city where each land-owning family would live self-sufficient on an acre of its own (Courtesy of the Town and Country Planning Association; Frank Lloyd Wright Foundation Archives).

some cities evolving so quickly, and politicians operating on a four-year project lifespan, it is increasingly difficult for planners to respond. Urban design is a long-term process through which the public realm and the public interest are prioritized. The city is always more important than short-term individual interests or election cycles. When studying compact and environmentally successful European cities (such as Copenhagen, Barcelona and Munich), it quickly becomes obvious that their attributes of compactness, key features of mixed-use and walkability are part of their elegant and enduring urban qualities, where monumental civic building blocks touch us and where quality density manifests itself through a more interconnected and consolidated urban form and diversity in variations of four- to eight-storey urban blocks, supporting the public realm and streetscape (Whyte, 1980). Public space plays an important role in the urban transformation (Florida, 2002). In Streets as Public Spaces and Drivers of Urban Prosperity, Juan Clos noted that ‘streets, plazas and designed public spaces have always contributed to define the cultural, social, economic and political functions of cities’ (2013, p. ix). Liveable cities are walkable and intimate and focus on the pedestrian experience. These are the well-known principles of timeless urban development that should be applied to all new precincts, and an experienced urban designer will be aware of how to apply them to existing urban situations to ensure pleasant, human-scale, ‘compact yet comfortable’,

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mixed-use precincts and neighbourhoods (while avoiding monotonous, repetitive buildings, which are so easily created). In arguing for a new ethics of the urban condition, it is fair to point out that the traditional mixed-use urbanism of European cities is also ecological urbanism. How far can we build on these distinctive characteristics of European cities in the transformation of Australian or US cities while maintaining their own sense of place, cultural diversity and built heritage, to produce meaningful public-spirited works? There has been a paradigm shift in urban planning in the last decade: while Europe has rediscovered the historical model of the mixed-use, compact city as a paradigm for new urban design (with some impressive success in urban renewal), the focus has shifted towards the transformation of low-density settlements and sprawl in the US, Canada and Australia, and similar trends in Asia. Based on their aspirations to be the world’s greenest city, their excellent transit systems, electric vehicle charging stations and significant investment in new public parks, Vancouver (British Columbia) and Portland (Oregon) have been at the top of liveability rankings for some time. The city of Perth is similar in size and age, but around 40 years ago it took a very different approach to the challenges of a growing car-dependent population and kept building its road network, ignoring the public transport system. Densities in the major Australian cities are much lower than in other international cities (Girardet, 1999). The reasons for this are that from early colonial days the main advantage of migration for the first settlers was that they had plenty of space and the free-standing house surrounded by a garden on a quarter-acre lot became the dominant model. Sydney has a population density of around 2,100 people per sq km, whereas London has around 7,500 people per sq km − over three times the population density of Sydney. Another important difference is that in London the population density remains high in the outer suburbs at over 3,500 people per sq km, while in Sydney’s outer suburbs the density drops quickly to below 500 people; only around a third of Sydney households are living in apartments in 2016. The same applies for the city of Melbourne: Melbourne’s footprint is roughly three times the geographical area of London with just a third of the population. Our research over the last decade shows that the mixed-use compact city model represents the optimum use of space and of a city’s future land use (Lehmann, 2015a). Australia is a highly urbanized country and it is in the Australian cities that the overwhelming majority of jobs are located and where the most new jobs are being created. Although nearly 90 per cent of Australians live in urban areas, in 2016 there are only five cities in Australia with more than one million people: Sydney, Melbourne, Brisbane, Perth and Adelaide. The recent State of Australian Cities 2014–15 (SOAC; Department of Infrastructure and Regional Development, 2015) report comments on population growth, economic development and increased traffic flows, and determines the progress being made in each of Australia’s major cities. According to the report, Australian cities face a number of growing challenges, such as accommodating future population growth without increasing urban sprawl, catering for an ageing population and ensuring housing is affordable. Alongside the urban growth there is more demand on transport systems than ever before, with increased traffic flows through the ports and airports and on the roads and rail lines. Three-quarters of Australia’s projected population growth will occur in capital cities (Department of Infrastructure and Regional Development, 2015). At the same time, households are becoming smaller (with the number of one-person households rapidly increasing) and changing in structure (in part due to an ageing population), putting further pressure on demand for housing, in particular, for diverse and affordable housing options. There are demographic changes in Australia, with large increases in the proportion of the population

Transforming a low-density city into a compact city 73

aged over 65, which is expected to more than double in 40 years. One of the major implications of this will be a 16 per cent increase in the aged dependency ratio (the ratio of those aged over 65 years to those between 15 and 64 years), which is predicted to have significant impacts on labour supply, economic output and infrastructure requirements such as health, housing and transport. This chapter proposes recommendations for an appropriate urban system for Perth’s infill strategy. It proposes to take the environmental and economic advantages of compact forms as a sustainable solution. However, it is understood that the social dimension of models such as an infill strategy are an important issue in the developed world, as we increasingly live in cities which will become the focus of delivering high quality of life in the context of urban sustainability and resilience. The big challenge is how densification and infill is brought in on the ground. Therefore, one key task is to overcome the so-called NIMBY syndrome (the NIMBY or ‘not-in-my-backyard’ syndrome is strong in Perth, where generally more and more people accept the need for densification, however, they want to see it happen in other suburbs but not close to their own home). To arrive at a better basis for decision-making on density, numerous researchers have developed innovative tools which have the potential to support urban planning decision-making through better demand forecasting and simulating diverse development scenarios (Lehmann et al., 2013). While urban density refers to the number of people within an urban area, urban densification is the process of increasing densities (populations) within a given urban area. Densification could occur through the subdivision of land, groups of townhouses and units, or higher-density buildings where applicable (for instance, urban density of six to eight storeys rather than three to four storeys), intensifying development and centralizing populations around public transport nodes – density that is needed to sustain vibrant neighbourhoods. A recent DPTI report notes that ‘urban densification limits environmental degradation of previously undeveloped areas, supports social capital, mental and physical health, the feasibility of public infrastructure, renewal through development and the broader economic viability of the city’ (2013, p. 46). Communities in Australia are now starting to pay the price of living in low-density and car-dependent cities, as they can no longer afford the resulting cost of infrastructure and services spread out over large distances and the daily long commute. Perth, for instance, is one of those cities where car ownership and speed are still equated with success and social mobility. We have known for some time that building greenfield developments on the suburban fringes is unsustainable, as amenities such as public transport will always be poor in lowdensity suburbs and commutes will be time-consuming (Sorkin, 1992). If population density is too low, not even a bus can serve the area and the whole suburb will be car-dependent. An increasing number of researchers argue that a colossal transformation would be required to achieve urban sustainability for low-density suburbs. For instance, the required transformation to achieve sustainable urban development for a city like Sydney or Perth is going to be immense. Jennie Moore (2014) recently explored the transformation that would be needed for the per capita consumption patterns of urban dwellers of Vancouver to achieve ecological sustainability (measured against the ecological carrying capacity), and she concludes that a 73 per cent reduction in household energy use and a 96 per cent reduction in motor-vehicle ownership would be required to achieve truly sustainable urban development. The study of consumption patterns of residents is also important. Besides reducing energy, cars and materials demand, equally important is the consumption characteristics of the people who occupy the city. When looking at the main flows of natural resources, food,

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water, acquired goods and services, mobility patterns, electricity and fuels to be meaningful, these criteria need to include the size of dwellings and type of motor-vehicle ownership, which are partially influenced by urban form, the affluence of residents and cultural and socio-economic characteristics. For instance, consumption, dietary choices and purchases of consumable goods are almost entirely driven by socio-economic lifestyle choices. Only in some extreme cases can the energy consumption of apartment living be even higher than the suburban house; for instance, the energy consumption of some large luxury apartment buildings in New York City is extremely high, as these inefficient buildings offer super-sized amenities: heated indoor pools, private fitness centres and theatre rooms, old air-conditioning systems all use a huge amount of power for cooling, heating and operation (a recent report by the Climate Works for All Coalition found that 2 per cent of the city’s buildings use 45 per cent of all energy; 2015). In Australia, the two modes of housing supplied to the market tend to be large single houses in the suburbs or apartment towers in central urban areas; but these are of course not the only forms of housing. It is far too limiting and we should add innovative infill solutions in the range of four to eight storeys, offering dwellings with large balconies, roof terraces and semi-private courtyards that allow a sense of community. A new urban agenda also requires novel urban design solutions if our cities are to have any hope of more sustainable and resilient futures. Our housing choices should not be created by and for the status quo, but for twenty-first-century low-carbon living. In all this, any government or city council must always balance the interests of private developers with the interests of the public.

Introduction to the case study: Perth, a flat and car-dependent city on the Western water edge The state of Western Australia occupies almost a third of the whole Australian continent. With a population of almost 2 million, the City of Perth is Australia’s fourth largest city and the capital of Western Australia. The State of Australian Cities report (Department of Infrastructure and Regional Development, 2015) also identifies Perth as the fastest-growing state capital in Australia, with the population expected to surpass that of Brisbane by 2061 − making it the third largest city in the nation and home to 3.55 million residents. This expansion is expected to be accompanied by major growing pains, including more urban sprawl, traffic congestion and reduced access to employment and services. By 2031 (from 2006), Perth is forecast to have an additional 14,452 new residential dwellings and 1.2 million sq m of non-residential space, with almost a 60 per cent population growth by 2036 (Forecast ID, 2015). The City of Perth has recently published a number of related strategies to meet these challenges, including: City of Perth Urban Design Framework (2010); Energy Resilient City Strategic Directions Paper (2014); Economic Development Strategy (2014); and the draft City of Perth Environment Strategy 2015–2031 (2015). The city is currently at a crucial point in its urban development and, with all the strategic papers and the predicted change, the City of Perth has the potential to be a truly great post-industrial city. Clearly, a long-term strategy for the urban future of the city centre is required; and with forecasts predicting that Perth will still see over 100,000 more people in the next 10 to 15 years (despite the recent downturn of the mining industry), the decisions of today will determine the urban development of the city centre for the next few decades.

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Perth is also Australia’s most car-dependent capital city and has more urban sprawl than any other Australian city; at the same time, its density is comparatively low, at around 800 people per square kilometre (compared to Australia’s densest city, Sydney, with around 2,100 people per square kilometre) (Demographia, 2015). Across Metropolitan Perth, an area of around 870 sq km, the density is even lower, at around 550 people per square kilometre (this means only around 5.5 people per hectare; in comparison, Singapore has around 95 people per hectare). Perth is now transforming into a more complex and compact urban form. It is important that we avoid further sprawl to protect the areas of biodiversity and agriculture on the urban fringe and, instead, develop the unique identity and characteristics of ‘a cosmopolitan city on the Swan River’: distinctive and multi-connected. Perth is transforming fast, with several major government-backed projects, including the football stadium, waterfront precincts, the City Link project, airport expansion and children’s hospital, keeping construction companies and architects busy, although these projects are now under way and the pipeline of new projects is diminishing. One of these is the Elizabeth Quay development, currently under construction, located at the northern edge of the central business district, which is expected to reconnect the city centre with the Swan River. It provides a mix of hotel, commercial, residential and retail accommodation, set around a 2.7 ha inlet and surrounded by high-quality public spaces (see Figures 5.2 to 5.4).

Figure 5.2 Perth and Peel sub-regions activity centres. Source: WAPC (2015).

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Figure 5.3 Metropolitan Perth’s urban footprint in 2012 spanned 870 sq km. Source: WAPC (2015).

Figure 5.4a and 5.4b The unique identity of the City of Perth as the ‘cosmopolitan city on the Swan River’. The aerial photo shows the low-density suburbs of Perth surrounding its highdensity city centre.

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Figure 5.4b Typical low-density Perth suburb. Source: Nearmap (2014).

Despite all the planned transformation, it is expected that most new buildings in Perth will remain two storeys; however, higher densities could easily occur along transport corridors, around transport nodes, town centres and in urban renewal areas, encouraging diversity through better housing choices. Western Australia was formerly the fastest-growing state in Australia, fuelled by the iron ore boom and major gas plant construction, attracting workers from interstate and overseas. This boom had clearly come to an end by 2014 and mining investment has decreased in line with falling commodity prices. However, the transition from a mining investment-driven economy to the far less labour-intensive service and knowledge economy is hard to achieve overnight (e.g. the tourism sector has not yet grown as much as was hoped for). The state’s unemployment rate was 5.8 per cent in May 2015, up from a recent low of 3.5 per cent in May 2012; a faltering economy has led to office vacancy rates in the inner city of around 20 per cent (Property Council WA, 2015); and, for the first time in recent memory, more people are leaving for the eastern states than arriving: net immigration to WA has fallen from a peak of 56,291 people in 2012 to just under 19,000 in 2014. However, it is not all bad news for Perth. The state of Western Australia is forecast to return to operating surpluses in 2017–18. Despite the economic downturn, there is still a rare opportunity to shape the urban future of Perth and manage its orderly growth, setting a new benchmark for high-quality buildings and density precincts. One priority must be to maintain the current footprint and not allow for further urban sprawl or expansion of the city’s footprint. This means instead of further greenfield developments at the fringe of metropolitan Perth, the city needs to prioritize the development of currently under-used inner-city land with urban infill to achieve more compact, multifunctional, mixed-use and distinctive urban precincts.

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Some definitions of medium-density development, compactness and urban infill For hundreds of years, many planners, architects and philosophers have sought to create the ‘ideal city’. Urban density is a key factor in this discussion. Density, compactness, urban form and sustainability are complex interconnected parameters (Churchman, 1999; Forsyth, 2003). Accommodating increased densities in urban areas is a challenge that often sees government, planners, developers and local communities in conflict with each other. Density describes the average number of people, households, floor space, or housing units (usually expressed in dwellings per hectare) on one unit of land. Many researchers have argued that a denser, more compact city is a more sustainable city (Jenks et al., 1996). Today, most experts agree that a more compact city is more sustainable and that expanding the city footprint further into critical habitat areas is environmentally unacceptable. Jenks et al. (1996) found that high-density cities encourage reduced transit through shorter trip lengths, since amenities are more closely located, encouraging the use of public transport and bicycles, thereby reducing transport energy costs and CO2 emissions. The compact city also increases efficiencies in urban infrastructure and services through shorter distribution networks, and has generally a higher potential to support quality of life with amenities close by. For instance, when the distances to facilities are short enough for pedestrians and there is enough purchasing power concentrated in one area, retail facilities, public transport and urban diversity are thriving. Cities’ densities must be within a sustainable range. Urban sprawl is a low-density pattern of residential growth outside the city centre, expanding the city’s footprint. It leads to pushing the city boundaries outward with sprawling neighbourhoods that are usually dominated by single-family homes far away from urban centres and workplaces. Sprawl is highly car-dependant, has low population densities, involves single-use zoning with rigid separation between uses, has low-density land use and lacks public transportation and amenity options. Sprawl is often characterized by mono-functional, placeless commercial strip development along main streets and otherwise large expanses of low-density or single-use development, where the major form of transportation is the private car. Sprawl negatively impacts on land and water quantity and quality and can often be linked to social isolation. The lack of land-use diversity is typical for suburbs, and results in increased cardependency (Weller, 2009). A growth boundary is usually necessary to curb sprawl and scattered development, which can leave large tracts of undeveloped land between developments. There is a direct relationship between the density of a development and the amount of land required for the development, and hence the land value. However, the link between density, compact urban form and more sustainable lifestyles is still not well understood (Lau et al., 2005). Different models will suit different locations, from low-density Australian suburbs to high-density Asian cities. The benefits of transit-oriented development models are well known, with more reliance on trains, light railway, bicycles and walking, and a more compact city form. However, most decision-makers are still faced with resistance when proposing an increase of density to existing suburbs. Simply increasing densities can easily conflict with other social, economic or environmental aims. Therefore, it is up to architects and researchers to develop more convincing viable models of mid-rise urban precincts with successful greening and comfortable, secure living environments, with almost no usage of air-conditioning or cars. Most sustainable cities literature suggests an average density of no less than 70 to 120 dwellings per hectare in built-up areas, while higher urban densities have been used

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successfully in the best European projects (such as Hammarby-Sjoestad in Stockholm, which has a density of over 150 dwellings per hectare) (Lehmann, 2010; for more comparative diagrams of various densities, see also: Density Atlas, 2011). Building higher densities requires much less land; therefore the loss of land for flora, fauna, agriculture and forestry is reduced. Chris Johnson notes that ‘a suburb with twostorey houses will require 15 times more land than six-storey apartment buildings for the same number of dwellings’ (2013, p. 2). However, an increase in density can directly influence and negatively impact on the urban microclimate, as a denser city can increase the risk of the urban heat island effect (Lehmann, 2015b, p. 251). Therefore very dense high-rise cities (such as Hong Kong) are not the best option; medium-density compact infill developments of four- to eight-storey blocks would be the much preferred option and a useful model for future metropolitan Perth, if high-quality apartment living can be implemented (the current construction of apartments is frequently unsuitable for families with children). Sites on bus routes, along train lines and close to shopping hubs are the most likely to be densified. In Perth, there is plenty of open space land available within close distance of the city centre, and if urban infill is implemented in a careful manner, then it will also create better communities, instead of a car-dependent population. Compactness is equally as important as density. While there is also a danger of overdeveloping a place (too much density, such as in Mumbai or Hong Kong), we can hardly have too much compactness, that is to say, the optimum relationship between a block’s surface (in square metres) and its volume (in cubic metres). For any block that makes up the city’s structure, the ideal is to have less external surface but with a larger volume (see Figure 5.8). The compact urban perimeter block typologies of the nineteenth-century European city, with four to eight storeys (be it Haussmann’s Paris, or Wagner’s Vienna, Cerda’s Barcelona, or Hobrecht’s Berlin) and their shared circulation systems and shared solid walls, have the most efficient and compact layout. Their quiet courtyards offer recreational spaces, while the urban block easily accommodates mixed-use facilities in its ground floors. The compact mixed-use urbanism of European cities is typically composed of variations in urban block models and a diversity of different density profiles, with varying densities in varying locations (e.g. different districts with different characters). Internal density profiles of cities can vary considerably within the same urban footprint. For instance, London and Athens have similar population densities; yet, the core densities in Athens are considerably higher than in London. The Athens suburbs, however, are among the least dense in Europe. Similarly, the Essen-Düsseldorf and Milan urban areas have almost identical densities, yet core densities are considerably higher in Milan (Demographia, 2015). Urban designers may encourage a variety of density and housing types in different locations to ensure distinctively different neighbourhoods and a variety of urban characters. Mixed-use describes developments and precincts that combine diverse uses, such as residential, retail, commercial and office uses, clustered together in one project. The different uses can be either layered vertically in a single building, or in a horizontal arrangement in adjacent buildings. Infill is the act of building on a vacant lot (often an underutilized site) within an otherwise developed neighbourhood. Urban infill development occurs in the established areas of a city and can be a valid densification strategy for unoccupied gaps in already built-up areas. Urban infill can be a medium-density growth management strategy that uses what is already there to its advantage; infill has frequently led to thoughtful, innovative housing solutions in

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urban settings. Urban infill may use modular prefabrication that allows building components to be manufactured off-site and transported to the site for assembly. Modular construction technologies could allow for entire apartments built in a factory off-site, then trucked to the inner-city site and assembled, including over multiple storeys. It is an ideal strategy for densification through medium-rise apartments, student accommodation, hotels or aged care. Urban renewal is the process where an urban neighbourhood or district is improved and rehabilitated (a process where densification often occurs); it can include adaptive re-use of existing buildings, the careful insertion of new buildings, or adding in features such as upgraded amenities and new infrastructure. Today, urban renewal is different from the tabula rasa demolition of the 1960s and 1970s; it is usually undertaken for the purposes of persuading wealthier individuals to live in that area, for instance to attract people back into the city centre; therefore, it is frequently part of the gentrification process and impacts on the demographics of cities around the world. Some proponents see urban renewal as an economic engine that may enhance existing communities, but critics say that it can also result in the demolition of intact communities and neighbourhoods by driving up the cost of living (for instance, see London’s changing East End). Urban renewal is usually driven by a programme of city-initiated land redevelopment and investment in areas of moderate-density land use; it might involve the relocation of businesses, the demolition of structures and the relocation of people (e.g. following government purchase of property for a public purpose). There is now a focus on urban renewal on inner-city brownfield sites. A brownfield site is land or premises that has previously been used by industry or the military, and which is not currently fully in use. It may be partially occupied or utilized or it may be vacant, derelict or contaminated. Docklands, heavy industry plants or former military areas that are no longer in use are typical brownfields. Good examples of ambitious urban renewal projects on large brownfield sites in Australia are Barangaroo in Sydney and Docklands in Melbourne (both waterfront sites, previously used for port activities); and Tonsley in Adelaide (a former car manufacturing site). The opposite of brownfields are greenfields, previously undeveloped open space. In addition to urban renewal of brownfield sites, the potential for densification of greyfields suburbs (these are the established inner- and middle-ring suburbs) provides a significant and yet so far underutilized opportunity (underutilized partly because of the complexity associated with densification in fragmented areas with many small land parcels and different land owners). Providing infrastructure such as roads, water, power networks and health services for greenfield suburbs is significantly more expensive compared to providing the same infrastructure in already built-up areas such as brown- and greyfield sites (see Figure 5.10). Given the serious need for new solutions to increase housing supply while avoiding urban sprawl and greenfield developments, it is timely and important to explore innovations in planning, design and governance that can help to enable modest yet widespread density increases in existing suburbs. Abolishing regulations for minimum car parking standards would further facilitate infill. While intelligent solutions for densification of existing suburbs have recently emerged, planners still need to model different scenarios to explore the impacts and better understand how each option feels and impacts on its neighbourhood. There have been plenty of examples of density increases being done badly, so convincing the community that density, and a mix of housing typologies, could be ‘done well’ is a challenge. In some neighbourhoods, this has created a certain resistance to the concept of densification. Existing suburbs offer good potential for the concept of small-scale co-housing, wherein suitable single-dwelling suburban

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blocks are adapted to accommodate two or three smaller dwellings with some shared spaces (see also Chapter 18 on co-housing by McGee, Wynne and Lehmann in this book). There has also been some resistance to increased densities, ranging from concerned neighbours (afraid of overshading or loss of privacy) to legal restrictions, short-term planning and a risk-averse development industry. There is a strong desire by communities to make change happen at a scale where the outcomes are visible, controllable and manageable – and where the initiative is in touch with the needs of the residents. As communities try to find the appropriate scale of sustainability to speed up the transition to a low-carbon, low-waste economy, the focus has shifted from the single building to the precinct. A precinct – for instance, an eco-district – is an area of adjoining buildings in a specific relationship to each other, such as a university campus or an airport complex. It describes a small group of buildings united by co-location. The borders of a precinct are often porous and less defined, because the local area’s economy and lifestyle experiences for its inhabitants and visitors alike are hugely influenced by the relationships between adjoining precincts. There are two forms of densification the Australian government has pushed over the recent years, both of which are controversial. First, filling up backyards with additional house extensions, which has led to chopping down trees in yards and gardens; this has caused an increase in the urban heat island effect. With the urban microclimate already changing, we must find better ways to retain these existing trees and gardens. If not carefully done, consolidation and infill can add to the problem as backyard trees are cut down for new town houses or extensions. Street trees will have to be replanted, as increasing urban greenery will be a key component of asset renewals and street upgrades to keep our streets cool during heatwaves. For instance, in 2015 Adelaide City Council launched the Greener Streets programme, which includes greening of council assets through vertical and rooftop gardens. Another criticism is that densification has frequently drawn in more cars into the neighbourhoods; more cars on the street is definitely a ‘perverse outcome’. It is therefore important that co-housing only happens in places with good transport accessibility and where car sharing can be encouraged. The other densification option is building apartment towers, which has led to a low-quality housing market. But there are also other options. Many urbanists argue that more focus should be on the option to densify along public transport corridors, with four- and eight-storey buildings, while protecting all the existing green spaces. However, this option alone is unlikely to deliver sufficient additional housing for the growing city of Perth. From a sustainable development perspective, the ideal city is the European urban model: compact, with well-defined edges in a gridded block and street pattern, formed by medium-rise mixed-use perimeter block buildings that are neither too high nor too low: four to eight storeys high, with the taller buildings around railway stations and transport nodes (see Figures 5.5 and 5.6). After all, densification of existing suburbs seems unavoidable. The construction of large ‘McMansions’ in the outer suburbs and tiny apartment units in the inner suburbs and city centres cannot be the solution; it merely demonstrates a planning failure. Most of Australia’s debate around densification of suburbs has been reduced to optimizing the value of a piece of land, instead of thinking of medium-rise precinct redevelopment and densification. But we also have to be more innovative. Medium-density housing will always need to be combined with an increase in amenity and infrastructure. One other strategy that has emerged is careful suburban retrofitting (also known as ‘sprawl repair’). Suburban retrofitting is the act of filling in, redesigning and adding to the fabric of

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Figure 5.5 Elizabeth Quay, Perth, a mixed-use high-density project that is supposed to connect the city centre with the Swan River. Source: MRA (2014).

Figure 5.6 Typical example of a strategic urban infill development with 4-storey mixed-use buildings in Tyne Square, Perth, combining retail, offices and residential use. Source: ZMH (2015).

existing suburbs to make them denser, more urban, more mixed-use and interconnected. Infill can take many shapes and forms. Inserting public amenities and mixed-use programmes into mono-functional suburbs improves connectivity and walkability; and the creation of small shops can provide continuous streetscapes. Suburban retrofitting has become a strategy to improve and repair these areas, through grassroots-driven urban densification strategies with room for local action that can demonstrate the vitality of community architecture and its capacity to provide specific responses to specific demands. Architects in California are now remaking many mono-functional suburbs, densifying them into mixed-use precincts that can support better public transport options.

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Interconnectivity, public transport and urban sprawl According to a UK-report by Urban Task Force, Towards an Urban Renaissance (1999), it is essential to increase density above 50 dwellings per hectare to achieve a diversified pattern of public transport facilities and support local amenities, reducing the need to use private cars. As density increases, further potential is unleashed, such as the possibility for district heating/cooling plants, community power initiatives and new forms of waste collection. The city of Perth’s heavy traffic and car priority is hindering its inner-city pedestrian connectivity. Transport planning centred on the car is now seen as outdated and the mentality of a bygone era. But owing to the high cost of living space in the city centre and inner suburbs, and frequently poor design, many people are forced to commute long distances. In some cities, reliance on cars has caused suburban sprawl to extend 60 km and further outwards from the city core, with great strains on time, transport systems and energy resources leading to even larger carbon footprints, coupled with poorer quality of living and reduced productivity. Instead, providing diverse housing choices in the middle-ring and inner-city suburbs would deliver better access to transport and jobs for many people. Detached housing development on the fringes of the metropolitan region has been the dominant form of residential growth in Perth and this has resulted in a widening spatial divide between the location of jobs and the location of housing, thereby increasing demand for transport. The impact of this high proportion of fringe development on transport is critical, particularly given that Perth currently has significantly lower levels of public transport use per capita than Sydney, Melbourne or Brisbane. The SOAC 2014–15 report notes: ‘Coupling the low levels of public transport use with the highest increase in Australia in average road network delays due to congestion – with delays increasing 0.31 minutes per km between 2002–03 and 2010–11, Perth will face a number of transport challenges if a business as usual approach is maintained’ (Department of Infrastructure and Regional Development, 2015, p. 32). There are different views on this issue. Some transport planners question the assumption that traffic congestion will overwhelm our urban future, making cities unliveable or uneconomic; they argue that new data shows car use per person in Australia peaked in 2004, like in all developed cities across the globe (Newman and Kenworthy, 2015). This ‘fall of the automobile dependency’ has been caused by the trend of young people moving back into cities where they do not need to use a car as often; they prefer public transport and cycling. It seems that the increase in wealth is now decoupled from car ownership. The city of Melbourne is a very good case for successfully bringing vitality back to the city centre: in 1992, there were only 600 dwellings in the central business district; in 2016, the number is over 28,000. In The Principles of Green Urbanism, I noted that ‘the sprawling suburb had neither an economic, social nor an environmental future, as it turns everything inefficient – from water use to public transport, from energy use to land use and community’ (Lehmann, 2010, p. 12). The ‘car is king’ mentality has been guiding our planning decisions for too long and must be replaced by a clear commitment to clean and efficient public transport. Singapore and Seoul have for years invested five times more in light railways and buses than in roads, and both cities have gradually built some of the world’s best public transport systems. In the book Low Carbon Cities: Transforming Urban Systems (2015a), I describe a stepby-step process to transform existing cities into low-carbon urban systems by considering how spatial planning and urban design can be utilized to create more liveable places. There is convincing evidence that urban form and quality density (compactness) combined with

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environmentally friendly public transport systems strongly influence energy consumption at the city level. When cities are more compact, they focus on pedestrians, cyclists and light rail, emit less greenhouse gas and are less dependent on motorized transport; these cities are not only more energy efficient but also offer a better lifestyle. Another essential topic is mobility for a denser, more compact lifestyle. Pedestrian connectivity is a major issue, and no city is able to neglect it. By resolving the connectivity problem in the city centre, recognizing the importance of the space between buildings, and improving walkability and cycling (leading to improved health outcomes), Perth could become a more competitive and attractive city for knowledge workers and for a new kind of financial investment. Urban connectivity refers to the ability to connect people in better, more efficient ways; for instance, through a strong public space network. Cities provide the basis for connective strategies and interconnected systems, such as increased walkability or easy access to public transport. Successful, sustainable cities have built strong connectivity and have always focused on pedestrian movement and cycling. For instance, urban waterfront renewal can only happen when these developments are strongly connected with the rest of the city centre (see other successfully remodelled post-industrial waterfront cities, such as Vancouver, Hamburg and Bilbao). The waterfront of the Swan River provides possibilities for an ‘urban stage’ to the city. Today, Perth’s city centre is still disconnected from the major urban waterfront development, the mall is suffering and shops are closing down. The intensive and close connection between water and the city is crucial and needs to be redefined. A ‘cosmopolitan city centre on the Swan River’ is a powerful identity and image to aspire to, and Elizabeth Quay will be measured against these expectations (see Figure 5.7). Perth’s city centre occupies a very large area. Therefore urban planners need to be clear where they want higher density to occur, and what kind of public transport system they would like to see implemented. More than ever, the coordination of the different parts of the city is important; they cannot be looked at as isolated elements or fragments. The city centre is suffering from serious disconnection and the transformation of the city is based on a clear recognition that remaining with the disconnected status quo is not an option.

Figures 5.7 a–c The extent of urban sprawl over the last 30 years and a forward projection: 1986, 2013 and 2061. Source: WAPC (2015).

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Connecting the city centre, West Perth and Northbridge with the waterfront renewal developments will be a huge catalyst for further transformation that will change the entire city, with positive flow-on effects. Therefore, the urban transformation of Perth needs a new focus on low-carbon mobility, public transport and well-designed urban infrastructure. How can we get more of the 85 per cent of the population currently commuting by private car into public transport? By building a high-quality, low-carbon, light rail-based system that is clean and attractive, can comfortably service the main areas and can make travel a positive experience. It is important to accept that public transport does not necessarily need to make a profit; it is part of a public service in any civic society. A democratic city should charge the same fare for long or short distances. It is probably fair to say that short-distance public transport commuters usually subsidize long-distance users. And it is even fairer to make car users subsidize public transport (as we can see happening in other cities, such as Singapore, Stockholm and London, with highly successful congestion charging schemes). There are plenty of innovative success stories. For instance, the city of Tallin in Estonia has cut city centre traffic by 15 per cent by making public transport free. Shared mobility is booming in Europe. The north Italian city of Milan is the European city with the highest number of shared vehicles; it estimates that 14 cars are replaced for every shared vehicle. Barcelona is planning to introduce fundamental changes to reduce car traffic, noise and air pollution within its urban grid (see Figures 5.8, 5.9a and b). The energy consumption per person living in one of Barcelona’s blocks is already around half of that of a person with a comparable lifestyle in the suburbs, based on heat loss per dwelling and transport energy consumption. Innovative funding mechanisms attract private investment and will lead to value uplift that finances the new light rail infrastructure. Using ‘land value capture’, the private sector

Figure 5.8 Characteristics of compact cube versus tower and shed, part of the density optimisation process. Source: Lehmann (2010).

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Figure 5.9a Aerial view of Barcelona’s grid of mixed-use perimeter blocks containing quiet semi-public courtyards and gardens in their centre. Planned by Idelfonso Cerdá in 1859, the superblock dimension is 113 m square (370 ft) with chamfered corners at 45 degrees.

Figure 5.9b Diagram: Barcelona is planning to reduce its car traffic by 25% to improve air quality and reduce noise levels. Source: Lehmann (2008).

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will fund the cross-city light rail system in Perth in exchange for access to state-owned land adjoining the new stations for high-density transit-oriented development hubs (so-called TODs). These TODs are mixed-use and incorporate housing, retail and office space. This funding mechanism has successfully been used to fund the Hong Kong subway and half of the ‘Crossrail-2-London-Underground’ extensions. Focused investment can make a bigger difference, especially when resources are limited. A high-quality transport system (underpinned by population density) is one that offers a quality experience to travellers, making waiting for and catching trains, light rail or buses more enjoyable, so people choose not to make so many car trips. For instance, improving the experience of travelling on public transport could include providing news updates, and installing fold-down tables and phone-charging portals. Therefore, I suggest in regard to sustainable transport: •

•

• •

developing a new overall transport plan for Perth city centre (a travel demand management plan), which incorporates light rail, pedestrian connectivity, bike paths and public domain connectivity (with a clear pedestrian priority over vehicles); integrating the transport fare system (rail to bus transfer, free or discounted travel for children), with an IT-based management ‘smartcard’, coordinated with train schedules and real-time info, to reduce waiting times; including Bus Rapid Transit, a free public bike scheme and electric car charging infrastructure; improving existing forms of public transport and promote car-sharing programmes.

A method for density and compactness: Perth’s infill targets Not only is Perth Australia’s capital city with the most urban sprawl, but it is also the lowest density major city, with around 20 dwellings per hectare of standard detached housing. Changes to the residential design code, to achieve densities of 80+ dwellings per hectare and a diversity of housing types, would need to be part of any strategy that promotes the consolidation and redevelopment of areas through urban infill. In this way we can protect the remaining bushland and agricultural land from more urban development (according to the WWF (2015) between 2001 and 2009 some 6,812 hectares of natural bush were cleared within the Perth metropolitan region alone). Sustainable growth towards a compact but green city requires a shift in our thinking and a readiness to explore new urban infill opportunities. For instance, the WA government announced in 2014 that ‘of the 800,000 homes we will need for the extra 1.5 million people across Perth and Peel, it’s anticipated that 380,000 homes (the target is 47 per cent as infill housing) will be provided through strategic infill options; the majority of these – some 215,000 new homes – will be located within the Central sub-region’ (WAPC, 2015). This is a modest target; in comparison, in 2005 Sydney introduced a policy requiring 70 per cent of all new dwellings to be infill housing. The draft Perth and [email protected] Million plan developed by the WA Planning Commission in 2015 is a suite of documents that describe: • • • •

where future homes and jobs should be located; how we can protect important environmental assets; how we can best utilize existing and proposed infrastructure; appropriate areas for greater infill development and residential density.

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I believe that the plan will not do enough to foster sustainable urban development for two reasons. First, the target of 47 per cent infill is far too modest! I would argue that we will need an even higher proportion of these homes as infill, over 75 per cent. Luckily, metropolitan Perth has numerous opportunities for urban infill along major roads and railway lines that could be developed without disturbing stable residential communities. Some areas of the city are more appropriate than others for urban infill and densification, as it is always important to consider the character and amenity of local suburbs. Second, in July 2015 and with an election in 2016 looming and afraid of protesting citizens, the WA Planning Minster suddenly announced that the new policies (introduced over the previous two years by the WA Planning Commission and outlined in the draft plan) to encourage more urban infill, apartments and smaller houses on smaller blocks in the suburbs ‘went too far’ and that he was ‘preparing to wind them back’, once again allowing more greenfield development (WA Government, 2015). Under pressure from residents and some local councils, the WA government scaled back its targets for infill and apartments in existing suburbs. In addition, it increased the number of car parking spaces required through the planning permission process, a step backwards to outdated planning policies due to political pressure. The backflip includes restrictions on multiple dwellings not located within 800 metres distance of a train station or public transport hub, even in areas just recently zoned for higher density. One recurring feature of this debate appears to be community representatives who are often not well-informed about the potentially good outcomes from increased density and who are running scare campaigns at the grassroots level. While it was unrealistic for people to think that their neighbourhood would stay the same while the rest of Perth’s development mushroomed around them, there has been significant push back and legal challenges from angry residents resisting any form of densification. However, it will be necessary for the current low density of Perth of around 20 dwellings per hectare (mostly made up of quarter acre lots at around 900–1,000 sq m) to increase to 30 to 50 dwellings per hectare (with a minimum lot size of 450 sq m). Here the main reasons for higher urban densities: •

•

• • •

New infrastructure and services (new roads, power, water, sewage systems as well as social and community infrastructure) for greenfield development have become too expensive to provide and maintain (Figure 5.10); instead, it is far more beneficial to build infill developments where existing infrastructure is already in place. When urban density reaches a threshold level it is far more economically viable to provide people with efficient and affordable public transport where they need it. People require a wider range of housing choice including good-quality inner-city dwellings at different densities so that they can take advantage of the variety that the city has to offer and what they want in the different stages of their life cycle. People no longer want to accept being isolated at the fringe of the city, in a mono-functional car-dependent suburb. Many older people especially, like the idea of living closer to the city in smaller dwellings with a greater provision of amenities and health care within walking distance. We cannot allow urban sprawl to roll out over productive agricultural land when we know that sooner or later that land is likely to be needed for food production. Higher density is made more attractive by having everything at the doorstep (see Figure 5.11). Mixed-use medium-density precincts with shops, restaurants, services and other facilities, bringing people closer to their workplaces, delivers many social benefits.

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Figure 5.10 A recent study comparing the infrastructure cost of urban infill versus greenfield development found that the cost for greenfield is three-times higher. Source: DPTI (2013, pp. 9–10).

Figure 5.11 Urban densification done well: a project by the author, inserting a Garden Loft in Berlin-Mitte, where ‘the residents will have everything at their doorstep’ (Lehmann, 2016–17).

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Conclusion: recommendations towards a new urban agenda for Perth’s future Given the complexity of urban planning, and the fact that cities cannot be changed or transformed quickly or easily (it will always be a process spanning many years), it is wise to concentrate first on the components that can be most easily influenced and which will, therefore, deliver positive effects more quickly. For instance, new infill projects and transport planning can be implemented in a shorter time frame than, say, the re-engineering of the entire existing building stock, which will require more long-term effort. Here are some urban design lessons the author has learnt over the years: •

• •

•

•

•

• • •

Urban form affects a city’s productivity. It is important to measure the real performance of the city centre and to apply economic modelling to different urban development scenarios. Easy access to transport and jobs is crucial, and is best delivered by new infill housing. Density should start to first increase around train stations and along transport corridors, with four- to eight-storey buildings and increased dwelling diversity, and a permanent urban growth boundary around the city to spare Perth’s green fringes. Revitalizing the city’s dilapidated buildings and adaptive re-use are part of sustainable development. There needs to be greater housing choice for an ageing population and increasingly diverse households. ‘Urban village’ precinct development and high-quality safe public transport could be major economic boosters making the city more competitive, stimulating new economic activity. Strategic infill development offers the most sustainable model; living in suburbs on the fringes leads to costly commutes in both time and money, and a further increase in greenhouse gas emissions. We need to develop close interconnections between different systems, human-made and natural (e.g. bringing working, living and gardens together again). Great attention needs to be given to the detail of the layout of the streets, active frontages and high-quality landscaping (all best controlled by strong urban design guidelines). We can learn from international best practice models (i.e. what has worked well in other cities) to further reduce car use.

While we need to continue building infrastructure, we also need to think about new kinds of low-carbon future-proofing infrastructures (e.g. wastewater plants), and to rethink public transport, the role of the car, new types of decentralized systems, local energy production and new solutions for water and waste management. Therefore, the time has come for an updated, far-reaching and comprehensive Vision 2030 Masterplan for Perth (with a strong focus on its public domain, connectivity and public transport), which nourishes optimism and helps to form the right sort of framework for Perth’s future urban redevelopment: a long-term strategic plan with community buy-in (see also Property Council WA and Urbis, 2015). This master plan would be based on a visionary city manifesto (a public declaration of policy, aims, intentions and steps), and offer a staging, so that it can be realized step by step as funding becomes available. I suggest this Vision 2030 for Perth should be based firmly on the principles of green urbanism. Green urbanism is a conceptual model for zero emission and zero waste urban

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design, which arose in the 1990s, promoting compact energy-efficient urban development and seeking to transform and re-engineer existing city districts to regenerate the postindustrial city centre. It promotes the development of socially and environmentally sustainable city districts (Lehmann, 2010). Density is the key to sustainable urbanism, and variety in density and spatial patterns enables the city to evolve a beneficial urban complexity. To have a policy is one thing, but to implement it is quite another issue entirely. Infill developments often cannot proceed because of antiquated zoning regulations; the average age of WA’s planning regulations is over 15 years. A re-zoning of residential blocks and changes to land usage zoning rules will be necessary to allow for more urban infill and small-lot housing. However, high density should be accompanied by a clear strategy for open space, landscape and urban design, and the promotion of mixed-use residential neighbourhoods. In future we will have to concentrate more on the suburbs than city centres. An estimated 3.5 million people will call Perth home by the late 2040s. The urban sprawl will only be stopped by offering quality solutions for higher-density infill housing developments in the existing inner-city suburbs. Quality infill housing is not about high-rise towers that destroy the fabric of established suburbs, but about mid-rise compact solutions that turn Perth into a denser, vibrant city. The new plan would have to deliver a clear picture about where development can occur and where residents want new public green spaces, such as community gardens or urban forests. Sustainable growth requires a shift in our thinking and a readiness to explore and plan for new urban growth opportunities. Part of it will be to transform our understanding of how sustainable buildings and cities can be realized, by: • • • •

understanding the complex interrelated and competing factors influencing architectural and urban sustainability; holistically defining, measuring and modelling architectural and urban sustainability; identifying pathways to transition to sustainable cities in Australia and elsewhere; defining policy and governance structures to implement these pathways in practice.

To drive deep, fast and cost-effective greenhouse gas emission cuts in the built environment at the precinct and neighbourhood scale means that increasing densities will be an essential part of any new agenda for sustainable urban development. Changing civic attitudes can now be seen to shift away from the car towards walking, cycling, public transportation and an overall acceptance of higher urban density, establishing a post-suburban Perth identity. Developing a coherent urban system of more compact, walkable neighbourhoods which cluster around mixed-use activity centres capable of facilitating a broad range of land uses, employment types and social opportunities seems to be the most promising way forward. The WA Government’s recent Liveable Neighbourhoods policy also suggests this direction, asking for ‘a network of interconnected, pedestrian-friendly streets, linked with public open space and facilities’ (Department of Planning and WAPC, 2015). These will be street networks that prioritize walking, cycling and public transport over the private car. The land value uplift from the introduction of light railway is likely to be significant. There is now a huge majority in Perth that wants the city to progress and would like to see an activated, vibrant, remodelled city centre. ‘Urban village’ precinct development and public transport could be major economic boosters for a region undergoing massive structural changes. I believe the city can be significantly improved in less than five years. To

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make it happen, it needs a continuation of efforts, proposing the best scenario, getting the priorities right, and identifying three to five new catalyst projects to bring the city forward. This new urban agenda for Perth will require the independent expertise, objective advice and input from the world’s leading urbanists. The universities are also here to support the urban transformation process with evidence-based strategic advice and government could use the expertise available. If Perth gets this right, the city centre – often thought of as being the most wasteful user of resources – could emerge as the new model of urban sustainability and urban renewal. All these achievements will have relevance for other car-dependent cities worldwide. The challenge now is not to maintain the status quo but to build on the momentum by embracing new ideas and opportunities. Clearly, there is work that needs to be done and this is just the beginning.

References Churchman, Azra (1999) ‘Disentangling the concept of density’, Journal of Planning Literature vol. 13, no. 4, pp. 389–411 Climate Works For All Coalition – Blue Green Alliance (2015) ‘Climate works for all: New York City’, report November, New York, www.alignny.org/work/climate-works-for-all/ Clos, Juan (2013) ‘Foreword’, in Streets as Public Spaces and Drivers of Urban Prosperity, UNHabitat, Nairobi, pp. iii–iv City of Perth (2015) Environment Strategy 2015–2031 (draft for public comment), www.cityofperth. wa.gov.au Demographia (2015) World Urban Areas, 11th annual edition, www.demographia.com/db-worldua.pdf Density Atlas (2011) MIT web resource, Boston, MA, http://densityatlas.org/ Department of Infrastructure and Regional Development, Commonwealth Government (SOAC) (2015) State of Australian Cities 2014–15, Department of Infrastructure and Regional Development, Canberra, https://infrastructure.gov.au/infrastructure/pab/soac/ Department of Planning, Transport and Infrastructure (DPTI), Government of South Australia (2013) ‘Urban Infill versus Greenfield Development’, report December, DPTI and InfraPlan, Adelaide, http://dpti.sa.gov.au/__data/assets/pdf_f ile/0009/123210/InfraPlan_Report_Inf ill_versus_ Greenfield_Development_Adelaide_-_Final_report.pdf Department of Planning, Western Australian Government, and Western Australian Planning Commission (WAPC) (2015) Liveable Neighbourhoods, draft policy, Perth, www.planning.wa.gov. au/Liveable-neighbourhoods.asp Florida, Richard (2002) The Rise of the Creative Class, Basic Books, New York Florida, Richard (2010) The Great Reset: How New Ways of Living and Working Drive Post-crash Prosperity, Harper Collins, New York Forecast ID (2015) City of Perth Population Forecasts, Forecast ID, Perth, http://forecast.id.com.au/ perth, viewed 25 July 2015 Forsyth, Ann (2003) Measuring Density: Working Definitions for Residential Density and Building Intensity, Design Center for American Urban Landscape, Minneapolis, MN Gehl, J. (1987/2011) Life between Buildings: Using Public Space, The Danish Architectural Press, Copenhagen/Island Press, London Girardet, Herbert (1999) Creating Sustainable Cities, Green Books, Totnes, Devon Glaser, Edward L. (2011) Triumph of the City, Penguin, London Jenks, M., Burton, E. and Williams, K. (eds) (1996) The Compact City: A Sustainable Urban Form, Spon Press, London Johnson, Chris (2013) ‘Housing Sydney’s diverse communities’, Urban Ideas, Sept., p. 2, www. urbantaskforce.com.au. See also www.ecodencity.com.au

Transforming a low-density city into a compact city 93 Lau, S.S.Y., Giridharan, R. and Ganesan, S. (2005) ‘Multiple and intensive land use: Case studies in Hong Kong’, Habitat International, vol. 29, no. 3, pp. 527–546 Lehmann, Steffen (2010) The Principles of Green Urbanism: Transforming the City for Sustainability, Routledge, London Lehmann, Steffen (2015a) ‘Low carbon cities: more than just buildings’, in Lehmann, S. (ed.) Low Carbon Cities: Transforming Urban Systems, Routledge, London, pp. 1–55 Lehmann, Steffen (2015b) ‘Urban microclimates: mitigating urban heat stress’, in Lehmann, S. (ed.) Low Carbon Cities: Transforming Urban Systems, Routledge, London, p. 251 Lehmann, S., Zaman, A., Devlin, J. and Holyoak, N. (2013) ‘Supporting urban planning of low-carbon precincts: Integrated demand forecasting’, Journal of Sustainability, vol. 5, no. 12, pp. 5289–5318 Moore, Jennie (2014) ‘Ecological footprints and lifestyle archetypes: exploring dimensions of consumption and the transformation needed to achieve urban sustainability’, Sustainability, vol. 7, no. 8, pp. 4747–4763 Newman, Peter and Kenworthy, Jeffrey (2015) The End of Automobile Dependence: How Cities are Moving Beyond Car-Based Planning, Island Press, Washington, DC Property Council WA (2015) Perth Office Market Vacancy Highest in Almost Two Decades, Property Council WA, Perth, www.propertyoz.com.au/Article/NewsDetail.aspx?p=16&id=10524 Property Council WA and Urbis (2015) Keep WA Growing, Property Council WA, Perth, www.urbis. com.au/think-tank/white-papers/infrastructure-and-property-development-will-keep-wa-growing Sorkin, M. (ed.) (1992) Variations on a Theme Park: The New American City and the End of Public Space, Hill & Wang, New York Urban Task Force (1999) Towards an Urban Renaissance, report June, UTF, London, www. urbantaskforce.org Weller, Richard (2009) Boomtown 2050: Scenarios for a Rapidly Growing City, UWA Publishing, Perth Western Australian Government (2015) ‘Urban density changes here to stay, says WA Government’, media release, 21 July, Perth Western Australian Planning Commission (WAPC) (2015) Perth and [email protected] Million, WAPC, Perth, www.planning.wa.gov.au/publications/3.5million.asp Whyte, W. (1980) The Social Life of Small Spaces, Conservation Foundation, Washington, DC. WWF (2015) Perth Urban Sprawl, WWF Australia, www.wwf.org.au/our_work/saving_the_natural_ world/australian_priority_places/southwest_australia/the_perth_metropolitan_area/perth_urban_ sprawl/

Chapter 6 Joo Hwa P. Bay

Compact city and sustainable high-density living Social-environmental holistic approach Joo Hwa Philip Bay

Summary The fear of density is real, and so is the perpetual infatuation for sprawl. What do people really want? Do they simultaneously desire privacy, security and a sense of belonging to a community? Do they want the convenience of the city, and yet the personal open space for recreation? If personal open space is what people want, could a focus on creating ‘garden land’ for such spaces in the sky be more accurate in meeting needs besides creating apartment units in the sky? This chapter begins with the concept of the ‘Third Ecology’ in the Shape of Community, where the ultimate resilient ecology is one where the human potential, nature and technological environments are balanced and optimized. The chapter then discusses the dichotomy in practice between the efforts to promote environmental sustainability and social sustainability, and describes a certain socio-environmental correlation found in residential cases in both Singapore and Perth. The chapter then compares what people really want in Perth to what the market tends to provide. It is suspected that the existing real-estate valuation system does not represent the true housing desires of the Perth population. Consequently, as long as the city does not understand and provide for what people really want, it will be difficult to attract people who have little choice but continue with sprawl – the principles of a higher-density compact city cannot be realized effectively. In conclusion, the chapter suggests a more holistic methodology to study real wants that inform a more inclusive and accurate valuation system, allowing city councils, developers, financier, sellers and buyers to make more informed and sustainable decisions for the future.

Introduction In the early 1900s the idea of a brave new world laced with utopian rhetoric was considered to be an attractive approach. The post-World War context led to the rapid proliferation of the redevelopment of cities – with a full range of technocratic and large-scale changes to the environment. Such changes represented the ideological mindset which separated the redevelopments of cities from the natural ecology, exemplifying the poor understanding of a plethora of social dimensions (i.e. the variety of culture, community, psychology, security and economy). Jane Jacobs (1962) pointed to the impoverishment in social quality in the highly zoned American cities with large shopping, sports, business and housing facilities, therefore, lacking the human scale and quaint streets of community life. Others thought of

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comprehensive design methods, theorizing how the designed environment could be a catalyst in delivering community structures/cohesion and social quality. Such writings include Community and Privacy (Chermayeff and Alexander, 1963), Ekistics (Constantinos, 1968), Shape of Community (Chermayeff and Tzonis, 1971), Pattern Language (Alexander, 1977) and others – where the authors believed in a better functionalism where social science should complement physical and biological science to solve the social-environmental (man-made) problems.

Social dimensions in sustainability The many systems and frameworks on sustainability and quality of life into the future would include the comprehensive approaches that involve the appropriate governance and management of social, environmental and economic dimensions. Many would identify the social dimensions as a key pillar and it is widely considered by some theorists as the overarching factor which defines the interconnectivity of change in sustainability (including Brundtland Commission, 1987; Hamin and Gurran, 2009; Woodcraft, 2012; Magee et al., 2013; Woodcraft, 2014; James, 2015).

Human potential: Third Ecology, community, creativity and social capital In the Shape of Community, Chermayeff and Tzonis (1971) discussed the concept of the ‘Third Ecology’, where nature was the first ecology and technological environments were the second ecology. They reasoned from evolutional, economic, psychological and urban theories that posit the notion that human potential and creation of knowledge can be optimized via improved social concourse and intercourse. They noted that sociological and ecological changes would develop more rapidly than the biological and psychological changes, therefore, describing a theory in which urban design must be thought in terms of human potential. Third Ecology—What is not yet clearly demonstrated and understood is that the human species, through its ability to alter bits and pieces of the laws which govern the natural environment and its ecology, has in fact created a completely new environment—a manmade one which in complexity and scale of containment is comparable to the natural. This new environment now requires a new ecology of its own order so that it can be fully comprehended: a third ecology within which, with luck, humanity may find a new symbiosis with other living things . . . the third ecology environment may be described as technological in its production and control processes, but at the same time social in its continuously developing nature. It cannot therefore be uniquely explained in biological or technological terms. (Chermayeff and Tzonis, 1971) In the theory of the ‘Third Ecology’, the mechanisms and procedures which govern city planning and design are inherently linked to the effects of sustainability on social quality. The consideration for social, psychological, economic aspects, travel time and opportunities for human diversity/contact/exchange can affect the human potential – humans are inherently valuable resources, possessing opportunities for creativity and productivity to improve social quality (Chermayeff and Tzonis, 1971; Tzonis, 2006).

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Cultural diversity, community and social capital: Creative City The ‘Creative City’ parallels the economic concept of social capital, discussed in later years (Putnam, 2000), that is used quite extensively in contemporary planning – especially in the underdeveloped nations. Social capital that contributes to the economic sustainability is achieved through promoting socio-cultural diversity and connectivity. Putnam (2000) argued that, ‘Whereas physical capital refers to physical objects and human capital refers to the properties of individuals, social capital refers to connections among individuals – social networks and the norms of reciprocity and trustworthiness that arise from them.’ A society with a dense network of reciprocal relations is rich in social capital, while one with isolated individuals may not mirror such conditions. The appropriate planning and design of the built environment can promote social capital as well as minimizing the impact to natural environment. This is certainly in the interest of any city authorities which encourage the planning, organization and design for such qualities. The potential for higher productivity in a mixed-use development can also be an objective in the design brief for the more progressive developer who may desire a product more suitable for resale or rent. There are observations of creative people who would move from highly top-down planned cities with strict zoning to smaller spontaneous towns with greater diversity, choice, recognition of the individual and personal expression. This is reflected in the population who would move out of Pittsburgh to Greenwich in the past – threatening the social-economic sustainability of Pittsburgh (Florida, 2002). In proposing new typologies of housing for a population of 35,000 consisting of an internationally diverse population in ‘one north’, a new hub for technology, business and the arts in Singapore, a special emphasis is placed on a more holistic multi-dimensional approach. Therefore, the ‘one north’ development engages the issues of diversity, connectivity, choice, social capital, the creative class, recognition of the individualistic expressions and the socio-climatic approach for high-density living in the tropics (Bay, 2010).

Bottom-up understanding of social needs of a context Cultural values that are intricately linked to traditional urban fabrics may not be easily replaced and can, therefore, be diluted or eliminated in redevelopments. The disruption of traditional urban conditions and the defacement of the character of the place can impact on the existing dynamism between social networks, sense of place and belonging, and even livelihood – it may also affect tourism and, consequently, the socio-economic sustainability of the place. And there are ways of making architecture that sustains the cultural diversities (discussed by Memmott and Keys, 2015, for instance). The issue of sustainability in the context of China in a specific province with a historic site renders arguments for more consideration for the social dimensions, warranting a bottom-up ‘Living Heritage Approach’ as opposed to the top-down conventional approach to conservation (Kong, 2007). The affordability of housing, the understanding of the correlation of the historic place and the social dimensions will assist in the development for a more sustainable future for social quality.

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Environmental vs social sustainability Is there a divide in practice between the efforts to promote environmental sustainability and social sustainability? Many cities that are rapidly developing and suffering from cultural decay along with environmental problems are also in the tropical regions around the world (Bay and Ong, 2006). Current ESD rating systems are not only inadequate in accounting for the value of existing urban fabrics and social structures, but are also inadequate for assessing designs in the tropical regions. Many government agencies in developing nations adopt systems used in developed nations and apply them almost directly to their local cities and villages. In India for example, the top-down approach disregards multiple layers of social issues which constitute sustainable development (Mathur, 2008). It is also interesting to note that leading global ‘green development’ rating systems (such as LEED, BREEAM, Green Star, Green Mark, etc.) started essentially as engineering guidelines, and few systems are only beginning to try to incorporate more social aspects of sustainability (Bay, 2010). The global trend of urbanization is unlikely to slow, in both development and redevelopment patterns. Simply accounting for the physical environmental sustainability of individual buildings alone is not sufficient. Not only must developments be discussed on the urban scale (Lehmann, 2007), but they must also be discussed with the understanding of socioenvironmental correlations.

Human behaviour and responsiveness to environmental ethics In the transition to better sustainability, one needs to understand the importance of people and individual behaviour (Vale and Vale, 2009). Human behaviour is governed by cultural bends, economic attitudes and choices – this affects the degrees of responsiveness to environmental ethics, and thus, the level of efforts invested in making sustainable building projects. Human habits may also frustrate the efforts of supposedly ‘good’ environmental control systems. For example, this is a standard paradigm where users of urban space do not necessarily conform to the preconceptions of a designer’s intentions. Therefore, there can be a divergence in the ideology of the designer in relation to the human behaviours of using the physical environment to conserve energy (Ong and Cam, 2006).

Socio-climatic dimensions beyond the mere bioclimatic understanding With the Bedok Court housing design precedent in Singapore, Bay (2005) demonstrated the various correlations between social activities, behaviours, community building and the environmental comfort and energy efficiency in the forecourts/verandas/front-yards to each of the 280 apartments, (ranging from the four-storey blocks to the 10- to 21-storey blocks). The semi-open forecourt or veranda or front-yard, owned by each resident in the high-rise high density development (Figure 6.1), provides the thermal comfort not only for the court, but also for the interior of each apartment – thus reducing the need for air conditioning significantly. At the same time this space acts as the catalyst for individual expressions; for neighbours to casually see each other, day in day out, promoting familiarity, to building and sustaining community.

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Figure 6.1 Walking along a corridor high in the sky with forecourts/front-yards/verandas fronting each apartment is akin to walking along a traditional housing street. Source: Photographs J. Bay; Plan and sectional diagram, J. Bay, after drawings courtesy of Design Link.

The Architect Cheng of Design Link re-invented the traditional Singapore Malay-Chinese village front veranda spaces as forecourts and front-yards in the sky successfully in this Bedok Court high-density development (Bay, 2005). The surveys conducted showed that more than 95 per cent of the residents who responded said they have a rich sense of belonging and security; 90 per cent do not mind the noise, and if they wanted privacy, they have that in their interior living spaces; and almost all residents do not turn on their air-conditioners for cooling all year around, even though many of them have installed such systems (Bay, 2005; Bay et al., 2006). The success of Bedok Court is a demonstration of a design that is premised on correlating the social components with the environmental aspects. This advances our understanding from the ‘bioclimatic’ (Olgyay and Olgyay, 1963) to a ‘socio-climatic’ model (Bay, 2005). The forecourt caters to the bioclimatic comfort for activities, but also embodies the social dynamics of community building. It is interesting that, in Perth, there is also some evidence of similar socio-environmental dynamics. The typical streets in Subiaco are characterized by the houses with little or big front-yard verandas that not only provide shade to the building, but are also adorned with individual personalities of the occupants, and often are found each with a set of outdoor coffee table and chairs. When asked if they know their neighbours along the street, residents would indicate they do, and that the front-yard offers the casual opportunities to see and know their neighbours who walked along the street (Figure 6.2).

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Figure 6.2 Typical houses with front-yards and verandas along the streets in Subiaco, Perth. Source: J. Bay and A. Swapan.

Ideal minimum design size for effective forecourt/veranda/front-yard in the sky If a new high-rise, high-density housing design in Singapore is being contemplated, what would be an ideal minimum set of dimensions to use to achieve similar socio-climatic benefits as in the forecourt/veranda/front-yard design found in Bedok Court? Wang and Bay (2008) used parametric simulation of the environmental performance and ergonomic dimensions for various typical social activities found in the forecourt to test designs of varying dimensions – to establish the minimum dimensions before either the shading from direct sunlight begins to be ineffective or any important social activity could not be accommodated. The study showed that a veranda of 1.5 m depth without the shade of a 1.5 m width corridor would only offer about half a day of effective shading, and would be too narrow to accommodate most social activities. Typically the depth of the open space, including the corridor width and the forecourt needs to be more than 3.2 m for effective shading, and the depth of the forecourt need to be more than 2.4 m to accommodate a small outdoor table and four chairs. A forecourt of at least 2.4 m depth by 3.7 m length (about 9 m2) would offer both the environmental comfort and accommodate a reasonable set of social activities including outdoor coffee break for two persons and a bit of gardening. There are many other typologies with similar socio-climatic correlation in different parts of Singapore, Australia and the world – especially in the more traditional and vernacular housing forms and streets. The socio-climatic implications of urban canyons of many historic districts, with diverse social activities and pedestrian connectivity, in different parts of the world, would also involve multiple correlations. Similar studies are encouraged to understand how such socio-climatic models can be reinvented into the higher-density developments in compact cities.

Towards a rating system for community building and social sustainability Is it possible to measure the community building potential of different types of semi-public spaces and public open spaces?

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The belief that public open space is instrumental in community building The classical belief is that the public open space is instrumental to community life (Chermayeff and Alexander, 1963; Newman, 1972). This is globally accepted as the key element needed for the success of city planning and urban development, and almost all architectural syllabuses will instil the importance of designing buildings with open public and semi-open urban spaces. There are even GIS systems employed as methodologies to count the numbers of different types of open spaces and their distribution and proportion to populations in the city.

Ranking public open spaces and semi-public/semi-private forecourts/ veranda/front-yards Unlike the easily quantifiable and comparative nature of temperature and energy use, it is far more difficult to quantify a qualitative quality of life or community building potential. Bay (2011) discussed a process towards a methodology of ranking levels of social interactions in semi-public spaces and open spaces within the high-density residential environments in Singapore. Case studies with different spaces with potential for social interaction with similar questionnaires relating the percentages of residents knowing others in the housing development were compared across and ranked. Figure 6.3 describes the community building potential of Bedok Court housing discussed above as would warrant 10 points; the public open space roof garden with reading areas and play grounds would get 3 points by comparison. A double-loaded corridor with cross-ventilation, light and view to the outside at intervals would get 6 points; double that of the public open spaces. The single loaded corridor with ‘informal ownership’ of the enlarged corridor space, allowing each resident to put their belongings such as potted plants or a chair or a bicycle, or children’s toys, etc. would be awarded 8 points. The public sky bare deck, which was believed to be a multi-purpose space for the residents to have social activities, would be awarded the lowest points, similar to the public open space roof garden in community building potential.

A balcony is not a forecourt/front-yard/veranda Traditionally, the semi-open veranda is the living space of the house, and in the case of Bedok Court, the forecourt-veranda is very different from the balcony (both categories are found in Bedok Court) with regards to social bonding. The balconies are private spaces looking away from the community to distant views, while the forecourts relate to passing neighbours meaningfully.

Privately owned forecourt/veranda/front-yard out-performed public open space for social sustainability It is interesting to note that the privately owned forecourt or front-yard was awarded the highest points and displayed 3.5 to 5 times more potential for community building than the public open spaces. Ownership and spontaneity to express individuality and the affordance for casual or incidental social exchanges amongst neighbours are important qualities needed for building communities. If the forecourt/veranda/front-yard was many times more

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Figure 6.3 Ranking of community building potentials in different types of open and semi-open public and semi-public spaces in residential environments. Source: J. Bay (after Bay 2011).

effective than the public open space, would it not be reasonable to spend more government resources to promote more of such spaces in lieu of current financing expenditure on open spaces?

Fear for density Icons of failure despite good design intentions After the Second World War, planners, architects, sociologists and many more professionals were concerned with the redevelopment of cities and housing their population – there was a strong belief that science and utopian approaches would solve the plethora of associated issues. However, the situation was not so ideal; there were many instances of experiments failing. There were genuine attempts to understand what people wanted and designing architecture with good intentions to realize some of the needs for community building. However, there were issues of poor maintenance and general upkeep. These failures expressed two distinct paradigms. The first paradigm is the disenchantment with science and technology in solving the global issues of redevelopment and the advent of the belief that a better understanding of human culture and urban design may help but with little practical success. The second expressed paradigm is the strange preoccupation of

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people around the world in becoming more and more interested in the news of demolitions (Tzonis 2006). Pruitt Igoe, the high-rise, high-density housing development, was designed and completed by Minoru Yamasaki in 1955 in the tradition of Modernist architectural rhetoric and good design intentions – the development was later exposed by the international press for the poor living conditions and mounting crime rates. Consequently, Pruitt Igoe was demolished in 1972 and deemed an icon of failure to modern housing and functionalism in architecture. Charles Jencks (1984) in his book on Post-Modern architecture wrote that this event marked ‘the day Modern architecture died’. It was a symbol of the failure of mainstream practice of architecture, and was used by various architects to propagandize their lines of architecture as alternative manifestos till today. It is interesting to note that Alison and Peter Smithson1 designed the Robin Hood Gardens social housing in 1960, with an attempt to realize the concept of ‘streets in the sky’ with long concrete corridors, completed in 1972 (Vidotto, 1997). However, similar to Pruitt Igoe, this project was beset with problems of habitability and crime, owing not so much to the fault of the architecture, but to issues surrounding maintenance and general upkeep, and the politicians planned for its demolition (Magee, 2015). Perhaps it is the bad publicity of such housing projects that perpetuates the fear for highrise, high-density housing.

An anti-thesis to the icon of failure in architecture: Bedok Court Contrary to Pruitt Igoe and many more developments that were demolished, Bedok Court is a high-rise, high-density housing development in Singapore rich in qualities of community and environmental sustainability. This project embodies many of the ideals that Le Corbusier had concerning high density, mass repetition and economy of scale, but above all the ideas of community, sun and gardens in the sky; and it also realized the idea of the ‘street in the sky’ in a much richer way than what was done in Robin Hood Gardens. Singapore is one of the densest cities, and more than 95 per cent of the population lives in high-rise apartments. Living conditions, environmentally and socially, are better than those of Pruitt Igoe or Robin Hood Gardens, owing to good design and maintenance. And there would be many more good examples in the world with good living conditions in the high rise, high-density environments. However, the abundance of unidealistic developments would serve as examples that perpetuate the fear for high-rise and dense housing.

What people want How do you shift the ontological predisposition from those who prefer suburban sprawl to respond positively to higher-density living in the compact city? Is it possible to simultaneously allay the fear and understand the true desires of a population? Can such desires translate into tangible well-planned and designed housing alternatives – one that can truly articulate the diversity of the individualistic housing expressions of humans? The disenchantment with science would push people to want to understand more about ‘what people want’ and ‘Populism’ in architecture would help improve housing for the masses (Shamiyeh, 2005; Tzonis and Lefaivre, 2005). However, there is still a permeating fear. This could be partly because such knowledge is not adopted by city councils and developers, or

Compact city and sustainable high-density living 103

the knowledge of what people want from each context is not readily available or understood. Alternatively, city councils may fear the reactionary nature of those fearful of higher-rise, higher-density housing. Chris Johnson, in Chapter 21 of this volume, describes how governments in Sydney are very sensitive to community apprehension, and reluctant to promote greater density; how the Urban Taskforce acts as the advocate for greater height and density in areas that have not been identified by the governments. In Perth, PerthALIVE (All Ages Living in Vibrant Environments), a very concerned community group, fills a gap in providing the role to understand what is available in the housing market and what is lacking. The following section discusses this group’s research and formulation of what people want, and the proposal of design criteria for Australia’s housing.

Multi-Age Precincts (MAPs) PerthALIVE is a community group ‘of Western Australian “baby boomers” promoting alternative, concentrated urban design that accommodates people of all ages from “cradle to grave”’ (Murray et al., 2014). The group discusses and gathers information from the community, planners and architects who are looking into alternative housing. The group is founded on the dissatisfaction with the available housing models in the market which do not correspond to the present and future needs of the population in a more holistic way. They proposed the concept of Multi-Age Precincts towards new solutions for the future Australia’s housing. PerthALIVE believes that ‘baby boomers’ and ‘Gen Y’ populations want to live in vibrant, higher-density, apartment-style developments, which are close to established transport nodes, shops and facilities. To achieve this outcome, several hundred dwellings with higher density, (but not necessarily in the conventional ‘high-rise’ typology) are required; and these dwellings require more innovative alternative approaches that incorporate the features recommended in Table 6.1, as what people want and are necessary for the vibrancy. The design of the housing must suit all ages with flexibility to adapt to changes in individual life cycles, and there must be an availability of support services for residents of all ages that will allow for ageing in place. There must also be a focus on social sustainability and community connectedness. There should be public open spaces to allow for chance ‘social encounters’ between residents and the broader communities. Citing Bay (2010), PerthALIVE propose that the design of the apartments should include outdoor open spaces, similar to those forecourt/veranda/front-yard open spaces of Bedok Court housing (which are discussed above in this chapter). PerthALIVE believes that this feature will also promote a ‘passive security’ resulting from community connectedness (Murray et al., 2014).

Concluding discussions If the objectives and features of MAPs articulate the desires of people, then these should make higher-density developments more attractive and, therefore, making it more viable to grow the compact city – bringing more people into the city rather than growing the sprawl. However, what are some of the obstacles and alternative ways of thinking that can facilitate the success?

104 Joo Hwa P. Bay Table 6.1 The features of Multi-Age Precincts (MAPs) developments Features of MAPs Development

Our Rationale

1.1 SCALE

• Enables people to remain close to established networks of family and friends • Promotes environmental, economic and social sustainability • Creates vibrancy • Ensures there is a critical mass to support the provision and ongoing financial viability of goods and service provision in the area

MAPs are developed in established urban areas and contain several hundred apartments, accommodating roughly twice this number of residents

1.2 WALKABILITY MAPs are located within walking distance of a transport hub (preferably heavy or light rail) and a major urban town centre 1.3 LIFESTYLE

• Walkable neighbourhoods creating healthy communities reducing lifestyle-related illness • Facilitates independent living • Reduces fossil fuel usage • Associated primary health prevention benefits

MAPs are within walking distance of fitness facilities including a swimming pool and gym (if not available on-site) 1.4 ALL AGES AND BACKGROUNDS MAPs maintain a strong sense of community by: • actively welcoming a diverse population of different ages, ethnicities and socio-economic backgrounds; and • meeting social housing/affordability targets 1.5 MIXED USE MAPs are mixed use developments which are primarily residential, but also contain retail (e.g. shops, cafes, a convenience store), commercial (e.g. office space, medical/health facilities) and services (e.g. hairdresser, post office) 1.6 SERVICES MAPs have access to a service provider in, or adjacent to, the development to facilitate services for residents at different stages of life 1.7 UNIVERSAL ACCESS MAPs feature universal access for people of all ages and abilities (e.g. use of ramps, rather than steps where possible) 1.8 SOCIAL SUSTAINABILITY MAPs promote ‘ground floor’ living in the sky (e.g. courtyard gardens in front of/between apartments on multiple levels not just the ground floor)

• Creates vibrancy • Reflects broader societal trends • Enables extended families to live in the same development, in different dwellings • Socially responsible

• Supports local business initiatives • Allows people to live and work in close proximity

• Supports intergenerational living • Allows for ageing in place

• Meets the needs of many diverse groups (e.g. people with mobility issues and people with young children in prams) • Facilitates daily incidental encounters • Creates the community feel of walking on an inner city residential street

Compact city and sustainable high-density living 105 Features of MAPs Development

Our Rationale

1.9 COMMUNITY FUNCTIONS

• Builds and maintains sense of community through provision of/access to facilities and services such as youth services, child care centres, playgrounds, function rooms, men’s sheds, dog washing area Allows for changing patterns of recreation Meets a variety of residents’/community needs

MAPs contain community facilities to cater for a diverse population including multi-use spaces. The activation of these spaces may include diverse community events such as book fairs, markets, • exercise classes and neighbourhood concerts • 1.10 VILLAGE SQUARE MAPs contain a ‘village square’ with many facilities accessible to the broader community 1.11 GREEN SPACE MAPs contain plenty of green space. Individual elements can include green walls, green roofs, BBQ areas, vegetable patches, shared gardens 1.12 INCIDENTAL ENCOUNTERS MAPs are designed to encourage incidental encounters, co-locating related activities to maximize community interaction 1.13 FLEXIBILE FLOOR PLANS MAPs contain some dual key or modular units to allow people to buy two adjacent units and sell/ rent one at a later stage of life

• Promotes community connectedness • Ensures business viability • Delivers on environmental targets • Promotes community connectedness

• Promotes community connectedness • Improves mental health of residents • Integrates residential and commercial functions • Builds social capital • Creates flexibility and adaptability of individuals MAPs • Allows people to ‘up-size’ or ‘down-size’ according to their stage of life, without having to re-locate (e.g. a family might buy a pair of dual-key apartments when their children are young, then sell or rent one later as children leave home) • Enables carers to be accommodated in an adjacent unit

• Encourages maximum use of public transport • Encourages low-emission transport such as MAPs have resident and visitor parking allocations bicycles/scooters appropriate for developments adjacent to a major • Supports emerging shared car rental public transport node. They also include secure businesses storage for bicycles. MAPs can become key • Ensures future compatibility with advances in ‘rapid-charging’ stations for electric vehicles private vehicle technology and bicycle/car share depots 1.14 TRANSPORT

1.15 SECURITY MAPs focus on passive security measures instead of gated security

• Research indicates that passive security is more effective than active security • Increasing visual amenity can be used to ‘design out’ crime • Builds trust between residents • Fosters a sense of community and shared responsibility

• Pets are valued by a wide range of people, in particular single people and families with MAPs have a flexible pet policy as guided by local children community meetings, pet washing area included in • Pet ownership has social and health benefits apartment basement 1.16 PETS

Source: Murray et al. (2014), used here with permission.

106 Joo Hwa P. Bay

Perth trade-offs for quality community, noise and privacy The design of the current Australian housing supply (detatched dwellings and medium- to high-rise apartments) is defined by the strict emphasis placed on privacy. However, this contemporary analysis is contrary to the historical or conventional Australian housing typology, in which there is a prevalence of verandas and front-yards. In a redundant attempt to answer the need for community engagement, the typical public open space is the only provision which possesses necessary compliance and good policy requirement standards. As we can see from the ranking of public open space compared to privately owned open space in terms of community building potential, there is a fundamental need to consider new alternatives in planning and design guidelines that are orientated on improving social sustainability. For the case of Bedok Court housing, 90 per cent of the residents when interviewed expressed that they did not feel a lack of privacy, nor were they particularly disturbed by any noise problem. In fact, they welcomed the openness of their forecourt gardens, which enabled personal expression and rich diversities that they could share with the community. When asked if they were allowed to wall up their forecourt/veranda to make an extra room for the interior, most said they would rather wall up the balcony because they cherished and value the front-yard social space more than the balcony space (Bay, 2005; Bay et al., 2006). In a qualitative survey, Kennedy (2015) found out from residents in Queensland that, while they are concerned about privacy and noise, they also want more opportunity for chance meeting of neighbours. Hopkins (2010) surveyed residents in Perth, living in the city, in the urban fringe near a train station and in the suburban sprawl 30 km out from the city – findings revealed that most people are not as strict about privacy and noise as a normative standard. Some 86 per cent of the respondents said they would use the outdoor living spaces with frequency from every day to twice a week. When asked if they felt a lack of privacy in the outdoor spaces, only 4 per cent said always, and 5 per cent said often. Rather, residents desire the front-yard for social reasons as well as a garden and for the children, and are willing to trade off some privacy especially in such spaces. When respondents were asked about moving away from sprawls and move to areas in the city or train stations, 44 per cent said they would consider living in multi-level development if they could have a home with the same number of rooms, a personal garden and stronger sense of community.

Creating ‘garden land’ for front-yard in the sky How can the fundamental principle of land be reconceptualized to the point where ‘land’ can be created in the sky for use as meaningful open spaces? The cognitive frame for designing ‘garden land’ for a front-yard in the sky to satisfy socio-environmental gains differs from the conventional design approach for apartment units. When the architect for Bedok Court was interviewed, he said that the developer/owner welcomed the introduction of the large forecourts (which is the genesis of the development name – Bedok Court). This is due to the construction cost representing a small proportion of the final cost of the apartment and also the perception-based value of the ‘garden land’ and front-yard created was considered a favourable selling point (Bay, 2005; Bay et al., 2006). Land values are inherently linked to the availability (or lack thereof) of land supply – in the land-scarce city, land values are noticeably increased. If a developer can be convinced that they can create ‘garden land’ for front-yards in the sky that conform to development

Compact city and sustainable high-density living 107

feasibility models, then the potential for more developments with socio-environmental benefits is high.

Alternative methodology for real-estate valuation: what people want vs what market wants A few years ago, a developer wanted to buy up all the 280 units of apartment of Bedok Court housing to demolish the whole lot and build 560 new units of apartments. The offer price for each apartment was 1.5 times the market valuation. One would have thought the residents would grasp this opportunity to cash in, but the reverse was true. The resident management committee organized for all owners to vote for or against selling the whole development. It was unanimously decided they would not sell. The reason given was that they valued the kind of design features that the money that they would get, if they accepted the offer, could not buy; and these features included the forecourt/veranda/front-yard space as the most important space. For similar interior rooms of typical sizes and design, they could probably buy from the market; however, they would not be able to buy the freedom of a garden space in the sky for many activities, for the young and the old, in the forecourt space that front each apartment, and the sense of belonging and security derived from the forecourt that made them call their place a ‘Kampung in the Sky’ (meaning a Village in the Sky).2 This great value they ascribed to their housing typology would be worth more than 1.5 times the market valuation. Yet the current real-estate valuation system could not capture this in their system because there is no mechanism to do so. There is a problem in practice, where the valuation system in real estate is dependent on historical market values. There is an illusion (cognitive bias) that market value reflects what people want. From the discussions above there are many large gaps between what people want and what developers think they will sell, based on historical market trends. Developers need to know how much the bank is willing to loan to a buyer, and this is based on the real-estate valuation. Thus, any new ideas of what people want that cannot be accurately valued are not implemented in the potential loan value determinations – and developers will not take the risk. In a consultancy role to advise the Singaporean government on new types of housing for a creative hub, the author worked with Knight Frank, Singapore, to survey a large population sample on their preferences for various design features in order to rank their relative values.3 Design features from case studies and alternative new designs are shown against conventional housing typologies, and respondents are asked to vote their level of preference to each feature. From the percentages of people preferring each design feature, the most desired to the less desired can be ranked, thus, showing up the relative ‘value’ (or ‘valuation’). If more research can be set up with comprehensive detailed alternative design features which incorporate a ranking system (e.g. the living room to a veranda/forecourt, to a balcony), then the true value from what people want can be captured and reflected more accurately. The resultant data from such studies can be used to influence adjustments to the current real-estate valuation charts, which allow existing valuation methodologies to be more inclusive and reflective of what people want. It is with this hope that it is envisioned that more city councils and developers will approach investing in sustainable solutions with more ethical rigour. Allowing architects to explore by designing various detailed alternatives with a range of socio-environmental understandings will increase the pool of alternative design features for

108 Joo Hwa P. Bay

the valuation methodology above. This will enable policy-makers to construct and implement more holistic guidelines to realize what people really want and, thus, function as a catalyst for increased sustainable development.

Capitalism and its danger on making creative cities inaccessible Greenwich was a spontaneous town in its creation in the 1970s and described by Richard Florida (2002). However, it was so successful that almost all of it was bought up by the wealthy and the creative class would have been displaced. Cities rich in potential for diversity of personal expression and rich community network in a well-tempered physical environment in the high-density context can become victims of the capitalist system. As a result, such spaces become expensive, exclusive and eventually inaccessible to the wider population. If many more towns of a city possess the capacity to promote the right mixture and integration of socio-environmental qualities, then such places would not be a rare commodity and displace residual populations. As supply and demand balance, such settings would become affordable and more people would benefit – a city with such qualities would inherently be more sustainable. PerthALIVE identified the gaps between available housing models in the market and what people really want and value. Many of the highly desired and valued design features with great implications to social and environmental sustainability are not readily reflected in the current real-estate valuation system, and the sustainable design rating systems. The market trends alone will not necessarily change by itself without governmental intervention. Understanding what people want, the socio-environmental correlations, and managing the economic viability with stable policies to curb the negative outcomes free-reigning capitalist market forces, will be a major challenge. However, addressing such challenges is necessary to enable a more holistic approach to achieve greater sustainability.

Acknowledgement Special thanks to Sunjyot Singh for his careful proofreading and suggestions to improve the script.

Notes 1 Alison and Peter Smithson were co-founders of Team X that revolted against the old Congres International d’Architecture Moderne (CIAM) philosophies of high modernism, and believed in an architecture that addresses the needs of the community (Vidotto, 1997). 2 Interview of Bedok Court resident management committee member, David Nar, and representative residents, Thomas Wong, and Jeff Khoo, by the author, 12 December 2012, with permission to use information from the interview. 3 The author is unable to release too much information for this design research advisory project, but is willing to discuss any potential future research projects with similar but different set up for different contexts.

References Alexander, C. (1977) A Pattern Language: Towns, Buildings, Construction, Oxford University Press, New York

Compact city and sustainable high-density living 109 Bay, J.H. (2005) ‘Sustainable community and environment in tropical Singapore high-rise housing: The case of Bedok Court condominium’, Architectural Research Quarterly (arq), vol. 8, no. 3/4. pp. 333–343 Bay, J.H. (2010) ‘Towards a fourth ecology: Social and environmental sustainability with architecture and urban design’, Journal of Green Building, vol. 5, no. 4, pp. 176–197 Bay, J.H. (2011) ‘Social and environmental dimensions in “ecologically” sustainable design: Towards a methodology of ranking levels of social interactions in semi-open and open spaces in dense residential environments in Singapore’, in Proceedings of Subtropical Cities 2011, Subtropical Urbanism Beyond Climate Change, International Conference, 8–10 March 2011, Fort Lauderdale University, Florida Bay, J.H. and Ong, B.L. (eds) (2006) Tropical Sustainable Architecture: Social and Environmental Dimensions, Architectural Press, Elsevier Science, London Bay, J.H., Wang, N., Liang, Q. and Kong, P. (2006) ‘Social-environmental dimensions in tropical semi-open spaces of high-rise housing in Singapore’, in J.H. Bay and B.L. Ong (eds), Tropical Sustainable Architecture: Social and Environmental Dimensions, Architectural Press, Elsevier Science, London Brundtland Commission (1987) Our Common Future, Annex to Report of the World Commission on Environment and Development (WCED), United Nations Chermayeff, S. and Alexander, C. (1963) Community and Privacy: Towards a New Architecture of Humanism, Penguin Press, Harmondsworth Chermayeff, S. and Tzonis, A. (1971) Shape of Community: Realization of Human Potential, Penguin Books, Harmondsworth Constantinos, A. (1968) Ekistics: An Introduction to the Science of Human Settlements, Hutchinson & Co., London Florida, R. (2002) The Rise of the Creative Class: And How It’s Transforming Work, Leisure, Community and Everyday Life, Basic Books, New York Hamin, E. and Gurran, N. (2009) ‘Urban form and climate change: Balancing adaptation and mitigation in the US and Australia’, Habitat International, vol. 33, pp. 238–245 Hopkins, A. (2010) ‘Vertical project home: A sustainable, high density alternative for family living’, design thesis, Masters in Architecture, University of Western Australia Jacobs, J. (1962) The Death and Life of Great American Cities, Random House, New York James, P. (2015) Urban Sustainability in Theory and Practice: Circle of Sustainability, Routledge, Oxon and New York Jencks, C. (1984) The Language of Post-Modern Architecture, Rizzoli, New York Kennedy, R. (2015) ‘Dense, subtropical, sustainable: The private dwelling in multi-storey apartment buildings’, PhD dissertation, Queensland University of Technology Kong, P. (2007) Social Quality in the Conservation Process of Living Heritage Sites, published PhD dissertation, Design Knowledge System, TUDelft, The Netherlands Lehmann, S. (2007) ‘Sustainability on the urban scale: “Green urbanism”–mark II’, The Journal of Green Building, vol. 2, no. 3, pp. 59–78 Magee, L., Scerri, A., James, P., Thom, J.A., Padgham, L., Hickmott, S., Deng, H. and Cahill, F. (2013) ‘Reframing social sustainability reporting: Towards an engaged approach’, Environment, Development and Sustainability, vol. 15, pp. 225–243 Magee, T. (2015) ‘Politician calls for immediate demolition of Robin Hood Gardens after listing bid fails’, Dezeen, www.dezeen.com/2015/08/05/politician-calls-immediate-demolition-robin-hoodgardens-listing-bid-fails-historic-england-brutalism/ Mathur, D. (2008) ‘Interpreting sustainability: Examining the social approach to environmentally sustainable architecture in India’, PhD dissertation, Faculty of Architecture, Building and Planning, University of Melbourne Memmott, P. and Keys, C. (2015) ‘Redefining architecture to accommodate cultural difference: Design for cultural sustainability’, Architectural Science Review, vol. 58, no. 4, pp. 278–289

110 Joo Hwa P. Bay Murray, M., Saggers, J. and Bockxmeer, J. van (2014) ‘Multi-Age Precincts (MAPs) – New solutions for the future of Australia’s housing’, New Community, vol. 12, no. 2, pp. 53–38 Olgyay, V. and Olgyay, A. (1963) Design with Climate: Bioclimatic Approach to Architectural Regionalism, Princeton University Press, Princeton Ong, B.L. and Cam, C.N. (2006) ‘BEAMs and architectural design in Singapore public housing’, in J.H. Bay and B.L. Ong (eds), Tropical Sustainable Architecture: Social and Environmental Dimensions, Architectural Press, Elsevier Science, London Putnam, R.D. (2000) Bowling Alone, Simon & Schuster, New York Shamiyeh, M. (2005) What People Want: Populism in Architecture and Design, Springer Science & Business Media, Berlin Tzonis, A. (2006) ‘Rethinking design methodology for sustainable social quality’, in J.H. Bay and B.L. Ong (eds), Tropical Sustainable Architecture: Social and Environmental Dimensions, Elsevier Science, Architectural Press, London Tzonis, A. and Lefaivre, L. (2005) In the Name of the People: The Populist Movement in Architecture, Springer, Berlin Vale, B. and Vale, R. (2009) ‘The importance of people and individual behaviour in the move to sustainability’, in Proceedings of the iNTA-SEGA International Conference, Bridging Innovation, Technology and Tradition: Holistic Approach to (Rapid) Sustainable Architecture and Environment, co-organized by the International Network for Tropical Architecture (iNTA), Sustainable and Green Architecture, and Kasetsart University, Bangkok, 2–4 December 2009 Vidotto, M. (1997) Alison & Peter Smithson (Obras y Proyectos / Works and Projects), Editorial Gustavo Gili, Barcelona Wang, N. and Bay, J.H. (2008) ‘Precedent design knowledge structure’, in A. Guney and K.M. Moraes Zarza (eds), Meaningful Environments, Architectural Precedents and the Question of Identity in Creative Design, TUDelft, The Netherlands Woodcraft, S. (2012) ‘Social sustainability and new communities: Moving from concept to practice in the UK’, Procedia Social and Behavioral Sciences, vol. 68, pp. 29–42 Woodcraft, S. (2014) ‘Understanding and measuring social sustainability’, Journal of Urban Regeneration and Renewal, vol. 8, no. 2, pp. 133–144

Part II

Quality of living and social dimensions relating to environmental sustainability

Chapter 7

The sustainable city A good and secure quality of life? Mike Jenks

Summary This chapter focuses on the quality of life in cities and how security, in its broadest sense, contributes towards it. It is argued that there is a close association between compact and high-density city goals and quality of life indicators, and that security and equity play an important part in making a good life for those living in cities. It is concluded that the quality of life in all its aspects, along with the reduction of inequalities though cooperation and inclusion, are central to the compact and sustainable city ideal, and that ideal may also result in more secure and safe cities in the future.

Introduction What makes for a good quality of life? The answers could be many and varied but, in an uncertain world, being and feeling safe and secure must be one of the significant factors. For many in unstable parts of the world, the issue is academic, as there are places where no one is safe. But for the majority of those living in cities in more settled countries, the issues of security and quality of life are important. If feeling secure does add to a good quality of life, then it seems reasonable to ask the question, secure from what? Usually the debate revolves around crime or the fear of it, but in a broader perspective it could also encompass security with regard to food, water and energy, protection from poverty and economic inequalities, and security from the impacts of climate change. But the common assumption is about security from crime. In relation to cities and the physical environment, well-worn responses follow a route of attempting to design out crime, or of promoting long-standing arguments and policies based on ideas of defensible space (Newman, 1972). If the perspective of security in cities is broadened, then a further question is what can be done about it in relation to the design, planning and development of cities? This chapter argues that there may be more interesting ways of considering security if a more holistic and inclusive approach is explored. In particular, within the literature there seem to be some underlying and recurring themes. First, there is achieving an acceptable quality of life for all those living in cities, and the extent to which aspects of security might play a part in reaching that aim. And second, if quality of life is to be an inclusive goal, then uncomfortable issues of inequality come into focus.

Quality of life With the plethora of information available on quality of life, or quality of living, and a vast range of indices to measure it, one could be forgiven for thinking that its definition

114 Mike Jenks

depends more on what has been chosen to measure and how indices are weighted, rather than an objective reality. On the one hand, simple measures such as GDP give an inadequate perspective, and indeed as Robert Kennedy once stated ‘GDP measures everything except that which makes life worthwhile’ (cited in Hoegen, 2009, p.8). On the other hand, broader more qualitative alternatives, such as GNH (gross national happiness), which has been used in Bhutan, does attempt to measure what is worthwhile. This includes psychological wellbeing, health, education, culture, time use, good governance, community vitality, ecological diversity and resilience, and living standards (Ura et al., 2012). Yet within all this information there is a degree of consensus as to what adds up to a decent quality of life, whether measured by private organizations such as Mercer (2015; www.mercer.com), or organizations including the World Bank with over 300 world development indicators (World Bank, 2012), the UN Human Development Index (UNDP, n.d.), the OECD’s Better Life Index Table 7.1 Selected quality of life indicators World

National

Local

(OECD Better Life Index)

(Audit Commission Quality of Life indicators)

(City of Winnipeg, Quality of Life Framework)

Income and jobs

Economic well-being

Urban economy (e.g employment, economic vitality)

Work–life balance

People and place

Individual well-being (e.g. equity)

Housing

Housing

Community assets (e.g. housing, neighbourhoods)

Education

Education & lifelong learning

Individual well-being (education)

Life satisfaction

Other, e.g. feeling able to influence decisions

e.g self-image, culture

Health

Health and social well-being

Individual well-being (health)

Safety

Community safety

Individual well-being (safety)

Environment

Environment

Urban environment (e.g. water, air quality, food)

Transport and access

Community assets (e.g. public transport, accessibility)

Community cohesion

Community leadership and pride

Community and civic engagement

Source: author (based on: OECD, 2013; Audit Commission, 2012; Winnipeg, 1997)

Sustainable Development

Economic: Achieving a sustainable economy

Social: Ensuring a strong, healthy and just society

Environmental: Living within environmental limits

Governance: Promoting good governance

The sustainable city 115

(OECD, 2013), or at a national level, such as those by the UK’s Audit Commission (2012). There are also more specifically developed local indicators for individual or groups of cities (e.g. Bristol City Council, 2015). An excellent example (highlighted in Table 7.1) is that of Winnipeg, developed with the International Institute for Sustainable Development in 1997, and further developed since then (IISD, 2005). There are also many other sets of indicators, some concentrating more on developing countries such as the Millennium Development Goals, and numerous sustainability indicators, but there is a fair degree of overlap in the factors concerned when the focus is on quality of life.1 Significantly, there is a clear connection to the four pillars of sustainable development, economic, social, environment and governance. Table 7.1 gives a few typical but selective examples, indicating some of the similarities, and showing an association with sustainable development.

Security Of all these indicators of the quality of life, it could be argued that the issue of security is intricately woven throughout them, either directly or indirectly. At the most basic level of security, it is related to the services provided by the natural environment and to personal health, namely access to clean water, unpolluted air, food and the supply of energy. And there is security of employment, income and ‘wealth’ (a relative term), and security of tenure with access affordable or social housing. Then there is security within the community that comes with empowerment over decisions that might affect one’s life, and the comfort that comes through participation and engagement. Also there is equity, which is the ability for all to meet their basic physical needs, and achieve the security that stems from social justice. There are some over-riding and global-scale issues of security related to many of these needs. For example, food security is generally associated with increasing population, and the movement of populations from rural to urban areas, which need to be serviced with food, water and energy (Foresight, 2011). This exacerbates the competition for land, with the spread of urbanization encroaching into agricultural land (Satterthwaite et al., 2010). Concerns over energy security may relate to global threats from terrorism (Coaffee, 2008), or from liberalized energy markets and consequent international competition for the diminishing supply of energy. There is a clear understanding and public awareness that, at least for fossil fuels, the supply is finite, and thus there are potential problems of availability and affordability (Winstone et al., 2007; Happer et al., 2012, Page and Langley, 2011). Problems of energy security also are likely to come from climate change, which may give rise to adverse economic impacts (Stern, 2007). Additionally, there are widespread issues of crime, particularly in cities. As noted by UN Habitat (2007, p. xxviii), urban crime is closely associated with ‘poverty; unemployment; inequality; intergenerational transmission of violence . . . rapid pace of urbanisation; poor urban planning; design and management; and the concentration of political power, which facilitates corruption’. And the relationship of violent crime and robberies with inequality appears to have been well established (Wilkinson and Pickett, 2010). For example, a study of 39 countries showed that increases in robbery and violent crime rates were significantly related to inequality as measured by the Gini coefficient, although it was also noted that poverty alleviation helped reduce crime rates (Fajnzylber et al., 2002). And elsewhere, links to violent crime have been uncovered between poverty, exclusion and deprivation (and relative deprivation) and spatial geography (e.g. CSVR, 2008). What seems clear is that the more the inequalities exist, the greater the insecurities and social problems. Wilson and Pickett

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(2010) identify, inter alia, negative impacts on mental and physical health, life expectancy, obesity, educational achievement, social mobility, social relations and community life. Further, inequality tends to create resentment which may result in social and political instability, all of which can negatively affect economic performance (OECD, 2011).

The urban and local scales Many of these ‘big’ problems go far beyond the realm of the city, but throughout, at the urban and individual scale, these affect quality of life and many people’s security. In the United Kingdom, research has shown that in more disadvantaged communities, particularly for those without private cars, access to good and reasonable priced food is restricted. The impact is poor diet and health problems, further reducing an already less than optimum quality of life (ODPM, 2004). At the extremes, one charity, for example, has recorded the rise in people dependent on food banks,2 claiming to have fed around 129,000 people in dire need in 2011–12 rising to over 1 million by 2014–15 (Trussell Trust, 2015). Some 20 per cent of the UK’s population are reckoned to be living below the poverty line (Cribb et al., 2012). Not being able to afford to eat is generally due to the rising costs of food and fuel, low incomes and cuts in social welfare (Trussell Trust, 2012). This has been characterized by the term the ‘heat or eat dilemma’, and it has been suggested that some 25 per cent of people skip meals to meet fuel costs and that 70 per cent of people ration power use and heating in the winter due to rising costs (Doward, 2012; Robert, 2012). With regard to energy, reasons for this dilemma are clear, as some 4.5 million people in the UK in 2010 were in fuel poverty. Four million of these were classified as vulnerable – that is, elderly households, households with children or someone disabled living in the home (DECC, 2012). It is the poor and vulnerable who most lack security, and thus a decent quality of life. Inequalities and crime are also associated at the local level. Crime rates, in the UK at least, tend to be higher in urban areas, and also higher in the most deprived areas (Higgins et al., 2010). These areas also have higher unemployment, and this affects youth disproportionately. And it is young men who are most likely to commit crimes, with 42 per cent of young men between the age of 18 and 20 accounting for first-time offences of theft and handling stolen goods, violence and drug offences. Some 75 per cent of these youths re-offend (The Prince’s Trust, 2007). Not only is the quality of life for the individuals concerned damaged and caught in a downward spiral, but also the quality of life is diminished for the local communities, adding further to deprivation and inequalities. Clearly these are problems affecting quality of life and security that have to be tackled, and much has been done to do so. Responses to crime in the built environment are long established, and the early work of Oscar Newman (1972) has developed and been extended into a field now termed ‘crime prevention through environmental design’ (CPTED). A range of common principles include: the use of natural surveillance, ensuring windows overlook space and good sightlines; lighting; access and design of ‘safer’ routes; environmental quality and design; sense of ownership; maintenance and managements. There seems to be considerable consensus, whether in the Far East, Australia, South Africa, Canada, the USA or the UK – a brief visit to the internet reveals many similar guides from police forces in all these countries and more. For example, in the UK the Association of Chief Police Officers (ACPO) sets out principles and detailed guidance on many forms of development, including new homes, play areas, schools, hospitals and so on (e.g. ACPO, 2004, 2010). And the principles are used not only for new development, but also for evaluating existing ones (e.g. Azmin-Fouladi, 2007).

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Many of these principles represent good urban design, but some, however, suggest an environment of suspicion and distrust, and the term ‘defensible space’ does imply this. The idea of designing out crime verges on environmental determinism, the belief that design can alter behaviour – such as the ‘concrete jungle’ leading to alienation and a lack of pride (ACPO, 2004, p. 5). And this can be taken to extremes where defensive design becomes excluding, and goes against any principles of good urban design or sustainable environments. Target hardening and restrictions on access to public space (Marcuse, 2008), the rise of gated communities worldwide and the negative effects of exclusion are not just well-researched but even explored in fiction (e.g. Karnchanaporn and Kasemsook, 2008; Coraghessan Boyle, 1996). Furthermore, fragmentation through the privatization of space and developments such as shopping malls may provide relatively ‘safe’ environments for some, but by excluding the many, security is probably illusory, as eventually the real world outside will have to be negotiated (Jenks and Kozak, 2008). So if security is considered, and attempts to deal with it are seen simply as issues to do with crime and personal and property security, then it is unlikely that measures on this alone will either achieve a good quality of life, or in the end will do anything more than scratch the surface or move the problem elsewhere. To mitigate it, perhaps to go some way to remove it, there needs to a wider and more integrated approach to the city. Many of the basic needs for security and quality of life can be catered for in the city, through planning, development and design. And as the issues related to the quality of life map closely over the four key pillars for sustainable development, then it is perhaps the sustainable city that can best cater for them, and at the same time provide a better level of security through more equitable and inclusive urban forms. As Efus (2012) states ‘A just city is a safer city.’ So how can the sustainable city help achieve this? It is worth a reminder of what the aims for a sustainable city might be.

The compact and sustainable city To an extent, the concepts for the compact and sustainable city embrace the quality of life and the issues within it that relate to the many aspects of security, as noted above. Also, by addressing the four key pillars of sustainability, underlying issues of inequality may be addressed. The ideas, such as the ‘compact city’, have influenced thinking about urban sustainability for the last two decades. In 1990 the EU advocated the principles of sustainable urban form (CEC, 2000), and subsequently a considerable body of knowledge has built up in the West, with significant research and publications (e.g. Breheny, 1995; Jenks et al., 1996; Williams et al., 2000; Jenks and Dempsey, 2005; Jenks and Jones, 2010). In the UK ideas about sustainability were incorporated into policy (e.g. DETR, 2000), and into numerous government publications giving planning guidance (e.g. ODPM, 2004). But recently, planning in the UK has removed much of this evidence-based guidance in favour of deregulation (DCLG, 2012). But, worldwide, the OECD (2012) in recent research identified positive compact city policies in 27 countries. Nevertheless, although terms such as the ‘compact city’ may not be universal, similar concepts aiming to describe and achieve urban sustainability can be found in, for example, new urbanism and smart growth initiatives, eco-cities, carbon neutral cities to name a few (e.g Katz, 1994; UNECE, 2011; Suzuki et al., 2010). In order to achieve a sustainable city, it is suggested that compact and higher-density urban forms are spatially sustainable, environmentally sound, efficient for transport, socially beneficial and economically viable. Spatially urban areas are kept within clear boundaries, discouraging the spread of low-density suburbs. This form has the benefit of preserving

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valuable agricultural and amenity land, and ensuring that land in existing urban areas is used more efficiently. Home, work and leisure activities are likely to be in closer proximity, reducing the need to travel, particularly by car, and that more sustainable and equitable modes of transport such as walking and cycling are encouraged. Transport and environmental benefits can then result. Reduced dependence on car travel reduces harmful greenhouse gas emissions and pollution. The higher densities found in compact forms mean that public transport becomes more economically viable. More people concentrated in an urban area helps sustain local businesses, facilities and services, and the shorter travel distances mean these functions are more easily and equitably accessed by all who live there. But there still remain questions about the concept’s validity. For every positive claim, there can be negative impacts. Higher densities may lead to perceptions of overcrowding, more traffic, and such areas may not be the favoured choice for residents. Also, the relationships between social and economic factors and urban form tend to be indirect: many other factors are more important in achieving social and economic sustainability, such as poverty, for example (Bramley et al., 2010). Nevertheless, compact urban form has provided a model that is rapidly being implemented, with higher-density mixed-use forms, interconnected streets, socio-economic diversity, equity and inclusion, a variety of transport choices with walkable neighbourhoods, the use of renewables and recycling and low, even zero, energy design (Figure 7.1).3

Figure 7.1 Low-energy, mixed-use development at Jubilee Wharf in Penryn, UK, by Bill Dunster, Zed Factory. Source: author.

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So how do the concepts of the sustainable city help to address the security aspects of quality of life, and might they help to reduce inequalities? It is a lot to ask, and at the global scale achieving a sustainable city is questionable. The ecological footprint of cities stretches well beyond their boundaries, with the widespread export and import of food and energy, and the global nature of some crimes, these are insecurities that affect all who live in cities, but are largely beyond their scope to alter. The physical planning and urban form, as noted above, can at least go a considerable way to mitigating some of the problems, and it is perhaps more accurate to suggest that ideas such as the compact city may lead not so much to a ‘sustainable city’, but to ‘less unsustainable cities’. As such, planning and design can at least enable sustainable development to happen. This becomes significant at the local level, in districts, neighbourhoods and communities. It is here that possibilities exist for communities to get involved, and to take ownership over the direction of development, achieve a measure of social sustainability and pride in their neighbourhoods (e.g. Bramley et al., 2010), as well as becoming more resilient and self-reliant. A selection of generally small-scale local examples is presented below to illustrate some of the points.

Food security (spatial sustainability) The aim of the sustainable city – to prevent sprawl, preserve agricultural land and use existing urban land more carefully – may enable food to be grown locally and communities to be involved in growing it. In developing countries, a high proportion of the population depend on urban and peri-urban agriculture for their nutrition (Satterthwaite et al., 2010). Small-scale food production on the urban peripheries, integrating urban agriculture in social housing projects, ensuring there are green corridors in cities, and also more intensive food production (e.g. hydroponics) on small sites have been suggested as ways of bringing food closer to communities, and providing potentially cheaper and more locally secure supplies (e.g. De Zeeuw et al., 2010). And the need, or desire, to grow food locally in cities is not restricted to developing countries. In the UK, there has been a long history of growing food in urban areas from the nineteenth century and through two world wars (as a matter of necessity) and to the present day. The UK now imports some 80 per cent of its food. Guidance has been given to assist in setting up the growing of food in urban areas (Carey, 2011) and some cities such as Bristol have committed to it (Jegou and Carey, 2015). A wide range of schemes in large cities and small towns are listed on the internet through ‘City Harvest’.4 All show an increasing interest in growing food locally. Urban agriculture is also seen as a way of regenerating shrinking cities in the developed world, such as Detroit at the extreme, losing some 25 per cent of its population, with its vacated centre which is often characterized as a dangerous ‘ghost town’. But community action has led to positive action and involvement with a large number of locally based schemes under the banner of the ‘Greening of Detroit’,5 and perhaps bringing both food and a measure of security back into the city.

Energy security (environment and transport) The aim of the sustainable city, through higher-density compact forms, to reduce journeys and the use of cars, inevitably puts a focus on the local community, where work, leisure and living are closer together. The nearness of local facilities, and public transport stops, may encourage more to walk, cycle or take a bus, and this has advantages of more equitable access, as it reduces dependency on private cars which are not possible for all to afford (Figure 7.2).

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Figure 7.2 Proximity of cycle hire, a taxi point, bus and rail station, in Delft, Netherlands. Source: author.

How successful this strategy is has been assessed through measuring proximity in numerous research studies (e.g. Ferguson and Woods, 2010; OECD, 2012). In addition to the reductions in carbon emissions due to the use of more sustainable modes of transport, there is the possibility of local power generation, combined heat and power systems and, more interestingly, community control over the supply of energy. It has been noted that in the UK, some 60 per cent of fuel is wasted in centralized power stations, and, furthermore, the profits leave the local area. There is an increasing interest being taken in community action, through initiatives such as the transition movement, cooperatives and social enterprise companies, and good guidance is available for communities to set them up (Cooperatives UK, 2009; King and Shaw, 2010). For example, one small local community, Wadebridge in Cornwall, with a population of some 10,000, aims to generate 30 per cent of its electricity and return £200,000 per annum back to the community (WREN, n.d.). Community ownership of the energy supply provides significant benefits, not just of involvement, but also of more affordable energy, helping some out of the trap of fuel poverty. All, of course, should go hand in hand with energy saving and energy-efficient building.

Security from crime (social and economic sustainability) There may be no direct or causal link, but a measure of security from crime may accrue from initiatives, such as those above, and from more community engagement. But many problems

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arise especially where young people have little to do. Loss of open space and, in the UK, sports fields being lost to housing development, and places such as parks and other areas closed or re-designed to stop youth ‘hanging around’ compound the problems. Often this is also associated with surveillance and robust policing, giving rise to feelings of victimhood and distrust (Deuchar, 2009). Such disengagement and withdrawal from society, either in disadvantaged areas or behind the walls of gated wealthy communities, has negative effects on the economy and environment. It is the building of trust and social capital, or as Halpern (2009) notes ‘the economy of regard’ that can help communities come together, and maybe reduce anti-social behaviour and some crime. Initiatives at the community level respond to problems such as youth with ‘nothing to do’, but which require considerable effort and community involvement. The sustainable city aims to ensure that facilities are accessible, and within walking distance of a neighbourhood, are not always on a private developer’s agenda, nor necessarily affordable by local authorities. More often than not, where facilities are needed, funds need to be raised. For example, Falmouth in the UK had an estate with problems of crime, low educational achievement, unemployment, low incomes, lack of access to housing and a poor living environment, and poor health. A community regeneration partnership was set up in 1997 aiming ‘to develop sustainable projects that aim to improve the social, economic, physical and environmental quality of life for the whole community’ (Beacon Enterprise, 2008). Over a decade later, the local community had raised £1.4 million of funding to build a sports centre, community and training rooms, and computer facilities, run by full-time staff and volunteers.6 Actively bringing people together and providing support and physical facilities to address real needs has, in this case, made a positive difference, and has turned a problem area into a more positive and connected community with more resilience in dealing with its deprivations. Such community initiatives may help reduce crime, but more may be required. This is especially so where community involvement is less than these examples, and then design for defensible spaces may also be needed.7

Connected communities Active participation and feelings of empowerment, participation and belonging, and social justice are among the important factors in achieving a secure and good quality of life. This may come, in part, from the sustainable city with higher densities and mixed uses providing enough people in close proximity to support local services, facilities and businesses, and thus avoid isolation and alienation in environments that are low-density suburbs, or monofunctional housing estates. Research has suggested ways in which to retro-fit and make these environments more sustainable and inclusive; for example, proposals in Glasgow (Frey and Bagaeen, 2010). For new development, methods are in place to aid the planning of sustainable cities and development that embrace the key issues of social, economic and environmental sustainability (e.g. McGregor and Roberts, n.d.). Generally, it is suggested that a population of between 5,000 and 7,500 is sufficient to support a sustainable neighbourhood or urban quarter (e.g. Urban Task Force, 1999; Frey, 2010). And it should be a connected community, with the necessary facilities to ensure that it is inclusive. Proximity, ease of access on foot and interconnected routes add up to a vital and viable urban area (see Figure 7.3). To achieve such development often requires good and visionary leadership as well as significant start-up investment from a local authority, setting clear goals, providing meaningful

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Figure 7.3 Sustainable community, the accessibility of facilities. Source: author (based on Frey and Bagaeen, 2010; Barton et al., 2003, Urban Task Force, 1999)

participation in forming a development and benefitting directly from it. This is perhaps why Freiburg and the developments in Vauban and Reiselfeld are held up as among the best models to learn from (e.g. EEA, 2009, p. 55; see Figure 7.4).8 Perhaps the key is to do everything possible to strengthen local communities, to enable them to become more resilient and self-reliant, more equitable, and be involved in shaping and making their own environment. The recent changes to planning in the UK have placed emphasis on what is called ‘localism’, putting the onus on local communities to say where they would like the development of housing, businesses and shops to be located and what development should look like. This is to be done through a Neighbourhood Plan (DCLG, 2012; Cornwall Council, 2011). It is not a requirement that local areas should engage in this process, but if they do, such a plan has some statutory force behind it. But if communities do not engage, then there is an implied threat of a presumption in favour of ‘sustainable’ (but in effect just economic) development, and so decisions would be taken out of local hands, and passed into the hands of developers. Even the Neighbourhood Planning process is fraught with difficulties. The level of development and growth is set by a local authority, and so, for example, growth in numbers of houses cannot be challenged, only where they might be located. And to achieve an agreed plan, it has to be assessed by professionals, and validated through a local referendum that has to exceed 50 per cent of votes in favour of it. It is a process that should have the effect of drawing communities together, and given the potential threats to treasured environments through not doing it, may propel a level of participation that would indeed encourage community cohesion. None of these initiatives will solve all the insecurities of food, energy or other disadvantages, nor will they remove crime. But there is a better chance of helping to reduce them if the environments are inclusive and there are the facilities available to support local needs.

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Figure 7.4 Vauban, Freiburg. Community engagement, sustainable environment, mixed uses and ecologically friendly transport – tram and cycles. Source: author.

Conclusion A general review, a broad patchwork of sources and some examples of local initiatives of course proves little, but it does give some pointers that are worth consideration. Security, when viewed in a wider context, crosses many boundaries, and is likely to involve many more stakeholders. The complex and interrelated factors involved in achieving a good quality of life and a sustainable environment require processes of integration and cooperation, especially when faced with competition for increasingly scarce resources. It needs good governance that is open and creates a balance between the strategic and urban level, and the empowerment of local communities to become more self-reliant and to care for their environment. Some of the examples discussed above show that this can happen positively and beneficially when communities get involved. Security, or lack of it, appears throughout the literature to be closely associated with inequalities. Whether it is food, energy or crime, it is the disconnected, deprived and disadvantaged communities that suffer most. This can be compounded when combined with a lack of trust, something that seems to be prevalent in some countries such as the USA and UK, which also turn out to be amongst the least equal societies in the developed world (Halpern, 2009; Wilkinson and Pickett, 2010). The reflection of distrust in the physical environment, through defensible space, and some aspects of security in design do little to bring

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communities together. It can reinforce fragmentation and separation, and often geographically discriminate and make inequalities more visible. Distrust breeds distrust, and unless action is taken to escape from a vicious circle, problems such as crime will prosper. Policies set by governments at national and local levels need to recognize the need to build social capital, and to enable citizens to engage. In the UK, the belief appears to be that ‘localism’ will do this, but as we have seen, in relation to planning this empowerment it is highly constrained. At the same time economic policies are pushing in the opposite direction, with the belief that markets are efficient, and that wealth will trickle down to the poorer sectors of society. There is little evidence for this, but rather the evidence suggests that it increases inequalities (e.g. Hanauer and Liu, 2012). Yet the small-scale initiatives touched on in this chapter offer some rays of hope. People do take initiatives, can be trusted, and generally what they do results in something positive. Community engagement and local involvement in meaningful ways are thus vital components in achieving a more secure environment, and providing a better quality of life for all. The suggestion is that the compact and sustainable city might provide the best potential to achieve this. Balancing social, economic and environmental sustainability, backed up with good governance, addresses many concerns, providing a context within which communities can help themselves. Planning and design of the sustainable city works best if it is well connected, where at the neighbourhood level there are facilities within walking distance. This, alongside good public transport, means that access is more equitable, not depending on the need for a car, which for many is unaffordable. Where the uses are mixed, and there is sufficient green space to allow for recreation and leisure, urban areas may be more engaging. And the process of development or regeneration should allow for participation, which as seen from some of the examples above leads to neighbourhoods, towns and cities that offer a better quality of life. But this does not occur in a vacuum, or in the absence of higher-level involvement. To happen, compact or sustainable cities need the commitment of both local and central government, to give visionary leadership, drive policy, regulate and give guidance and direction to strategic planning. Processes should be transparent and inclusive, and there should be a clear understanding of roles and responsibilities, and should open the way for communities to engage meaningfully (e.g. OECD, 2012). In the final analysis it is about living together on a small planet, and recognizing that where resources are finite, cooperation rather than competition may be the best strategy if everyone is to live harmoniously. Whether this can happen or not will depend on the direction that international governance and national governments take. The implication in this chapter is that the current dominant model of market liberalization, consumption and unrestrained growth, which drives division and inequalities, needs to change more towards green growth, sustainability-led and conservation-minded governance, and one that seriously tackles inequalities (e.g. Burdett et al., 2006). Concern over the quality of life in all its aspects, reducing inequalities though cooperation and inclusion are central to compact higher-density city concepts and it seems possible that this may also result in more secure and safe cities in the future.

Notes 1 A comprehensive listing of indicators can be found at www.iisd.org/measure/compendium/. The Millennium Development Goals have been extended into Sustainable Development Goals, see www.un.org/ga/search/view_doc.asp?symbol=A/RES/70/1&Lang=E.

The sustainable city 125 2 Food banks have been set up by numerous charities and churches. The Trussell Trust states: ‘Foodbanks help prevent crime, housing loss, family breakdown and mental health problems. A simple box of food makes a big difference. All food is donated by the public and sorted by volunteers. Frontline care professionals such as doctors and social workers identify people in crisis and issue a food voucher. Clients receive three days of nutritionally balanced, non-perishable food in exchange for their food voucher. Foodbanks also make time to chat and to signpost clients to other helpful services’ (Trussell Trust, 2012). 3 For the building and to an extent urban level, a useful checklist can be found at www.zedfactory. com/zedstandards.pdf. 4 www.sustainweb.org/cityharvest/. 5 See http://detroitagriculture.net/. 6 For example, see this initiative www.dracaenacentre.org/. 7 The need for policing is not denied, as crime in cities will take many forms from fear of crime, antisocial behaviour to serious, disruptive and organized crime. Even at its most serious, cities can turn around, witness Medellin, which, after heavy military and policing activity had removed the drugs cartels, has become a more inclusive, connected and safe city (Verfürth, n.d.). 8 There are numerous sources, but a good short analysis by Hildebrand Frey can be found in Chapter 5 of his Summary Report www.city-form.org/uk/pdfs/CityForm_US_Summary_Report.pdf.

References ACPO (2004) Secured by Design, Principles, www.securedbydesign.com ACPO (2010) New Homes, www.securedbydesign.com Audit Commission (2012) Local Quality of Life Indicators: Supporting Local Communities to Become Sustainable, Audit Commission Publications, Wetherby, UK Azmin-Fouladi, N. (2007) ‘Accessibility and user needs in transport, street audit toolkit’, in K. Thwaites, S. Porta, O. Romice and M. Greaves (eds), Urban Sustainability through Environmental Design, Routledge, London, pp. 112–122 Barton, H., Grant, M. and Guise, R. (2003) Shaping Neighbourhoods: A Guide for Health, Sustainability and Vitality, Spon Press, London Beacon Enterprise (2008) Our Strategy for 2008–2018, Beacon Community Regeneration Partnership, http://bcrp.org.uk/content/our-strategy-2008–2018 Bramley, G., Brown, C., Dempsey, N., Power, S. and Watkins, D. (2010) ‘Social acceptability’, in M. Jenks and C. Jones (eds), Dimensions of the Sustainable City, Springer, Dordrecht, Netherlands, pp. 105–129 Breheny, M. (1995) ‘Compact cities and transport energy consumption’, Transactions of the Institute of British Geographers NS, vol. 20, no. 1, pp. 81–101 Bristol City Council (2015) Quality of Life in Bristol, Business Change Directorate, Bristol City Council, www.bristol.gov.uk/qualityoflife Burdett, L., Cooksey, E., Christie, I., Whermmey, W., Chenoweth, J. and Clift, R. (2006) Using Science to Create a Better Place: Environment Agency Scenarios 2030, Science Report SC050002.SR1, Environment Agency, Bristol, UK Carey, J (2011) Who Feeds Bristol? Towards a Resilient Food Plan, Bristol City Council and NHS Bristol Coaffee, J. (2008) ‘Risk, resilience and environmentally sustainable cities’, Energy Policy, vol. 36, pp. 4633–4638 Commission of the European Communities (CEC) (2000) Green Paper on the Urban Environment, Brussels, European Commission Cooperatives UK (2009) Simply Legal, Cooperatives UK, Manchester Coraghessan Boyle, T. (1996) The Tortilla Curtain, Bloomsbury, London Cornwall Council (2011) Neighbourhood Planning Process, Cornwall Council Planning and Regeneration, Truro

126 Mike Jenks Cribb, J., Joyce, R. and Phillips, D. (2012) Living Standards, Poverty and Inequality in the UK, 2012, Institute for Fiscal Studies, London CSVR (2008) Adding Injury to Insult: How Exclusion and Inequality Drive South Africa’s Problem of Violence, Centre for the Study of Violence and Reconciliation, Braamfontein, South Africa Department for Communities and Local Government (DCLG) (2012) National Planning Policy Framework, DCLG, London Department of Energy and Climate Change (DECC) (2012) Annual Report on Fuel Poverty Statistics 2012, DECC, London, www.decc.gov.uk Department of the Environment, Transport and the Regions (DETR) (2000) Our Towns and Cities, The Future: Delivering an Urban Renaissance, Cm 4911 Urban White Paper, HMSO, London Deuchar, R. (2009) ‘The Outsiders’, RSA Journal, Autumn, pp. 28–31 De Zeeuw, H., Van Veenhuizen, R. and Dubbeling, M. (2010) ‘The role of urban agriculture in building resilient cities in developing countries’, Journal of Agricultural Science, November, pp. 1–11 Doward, J. (2012) The Observer, 2 December EEA (2009) Ensuring Quality of Life in Europe’s Cities and Towns, EEA Report No. 5/2009, European Environment Agency, Cologne Efus (2012) Security, Democracy and Cities, The Aubervilliers and Saint-Denis Manifesto, European Forum for Urban Security (Efus), www.efus.eu/eng/ Fajnzylber, P., Lederman, D. and Loayza, N. (2002) ‘Inequality and violent crime’, Journal of Law and Economics, XLV, April, pp. 1–40 Ferguson, N. and Woods, L. (2010) ‘Travel and mobility’, in M. Jenks, and C. Jones (eds), Dimensions of the Sustainable City, Springer, Dordrecht, Netherlands, pp. 53–74 Foresight (2011) The Future of Food and Farming, Executive Summary, Government Office for Science, London Frey, H. (2010) Urbanising Suburbia, Summary Report on Research Project, www.city-form.org/uk/ pdfs/CityForm_US_Summary_Report.pdf Frey, H. and Bagaeen, S. (2010) ‘Adapting the city’, in M. Jenks and C. Jones (eds), Dimensions of the Sustainable City, Springer, Dordrecht, Netherlands, pp. 163–182 Halpern, D. (2009) ‘Capital gains’, RSA Journal, Autumn, pp. 10–15 Hanauer, N. and Liu, E. (2012) ‘Rethinking capitalism’, RSA Journal, Winter, pp. 38–41 Happer, C., Philo, G. and Froggatt, A (2012) Climate Change and Energy Security, UKERC, www. ukerc.ac.uk Higgins, N., Robb, P. and Britton, A. (2010) ‘Crime in England and Wales 2009/10’, Geographic Patterns of Crime, Home Office, London, www.homeoffice.gov.uk/publications/science-researchstatistics/research-statistics/crime-research/hosb1210/ Hoegen, M. (2009) Statistics and the Quality of Life, Measuring Progress: A World beyond GDP, Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ), Germany, www.oecd.org/site/ progresskorea/globalproject/44227733.pdf IISD (2005) A Community Indicators System for Winnipeg, International Institute for Sustainable Development Publications, London, www.iisd.org/publications/ Jegou, F. and Carey, J. (2015) Creating Space for Sustainable Food Systems in Urban Communities: Practical Approaches and Examples for Cities, Strategic Design Scenarios Publishing Jenks, M., Burton, E. and Williams, K. (eds) (1996) The Compact City, A Sustainable Urban Form? E & FN Spon, London Jenks, M. and Dempsey, N. (eds) (2005) Future Forms and Designs for Sustainable Cities, Architectural Press, Oxford Jenks, M. and Kozak, D. (2008) ‘Polycentrism and defragmentation: Towards a more sustainable urban form?’, in M. Jenks, D. Kozak and P. Takkanon (eds), World Cities and Urban Form: Fragmented, Polycentric, Sustainable?, Routledge, Abingdon, UK, pp. 71–92 Jenks, M. and Jones, C. (eds) (2010) Dimensions of the Sustainable City, Netherlands, Springer, Dordrecht

The sustainable city 127 Karnchanaporn, N. and Kasemsook, A. (2008) ‘World class living?’, in M. Jenks, D. Kozak and P. Takkanon (eds), World Cities and Urban Form: Fragmented, Polycentric, Sustainable? Routledge, Abingdon, UK, pp. 293–302 Katz, P. (1994) The New Urbanism: Toward an Architecture of Community, New York, McGraw-Hill King, M. and Shaw, R. (2010) Community Energy: Planning, Development and Delivery, TCPA, London, www.tcpa.org.uk Marcuse, P. (2008) ‘Globalisation and the forms of cities’, in M. Jenks, D. Kozak and P. Takkanon (eds), World Cities and Urban Form: Fragmented, Polycentric, Sustainable? Routledge, Abingdon, UK, pp. 25–40 McGregor, A. and Roberts, C. (n.d.) Using the SPeARTM Assessment Tool in Sustainable Master Planning, www.arup.com/_assets/_download/download129.pdf Mercer (2015) Quality of Living Rankings, www.imercer.com/uploads/GM/qol2015/h5478qol2015/ index.html Newman, O. (1972) Defensible Space: Crime Prevention through Urban Design, Macmillan, New York OECD (2011) ‘An overview of growing income inequalities in OECD countries: Main findings’, in Divided We Stand: Why Inequality Keeps Rising, www.oecd.org/els/social/inequality OECD (2012) Compact City Policies: A Comparative Assessment, OECD Green Growth Studies, OECD Publishing, Paris OECD (2013) Better Life Index, www.oesdbetterlifeindex.org Office of the Deputy Prime Minister (ODPM) (2004) Planning Policy Guidance: 3-Housing, and 13-Transport, ODPM, London Page, B. and Langley, E. (2011) ‘A mind of its own’, in C. Huhne, J. Hayes, and M. Grimston (eds), New Statesman Supplement ‘Power to the People’, July, pp. 26–27 Robert, M, (2012) Combatting the Cold: Staying Warm in the Winter, www.uswitch.com/gas-electricity/ news/2012/12/06/combating-the-cold-staying-warm-this-winter/ Satterthwaite, D., McGranahan, G. and Tacoli, C. (2010) ‘Urbanisation and its implications for food and farming’, Phil.Trans.R.Soc.B., pp. 2809–2820 Stern, N. (2007) The Economics of Climate Change, Cambridge University Press, Cambridge, UK Suzuki, H., Dastur, A., Moffatt, S., Yabuki, N. and Maruyama, H. (2010) Eco2 Cities: Ecological Cities as Economic Cities, The World Bank, Washington DC The Prince’s Trust (2007) The Cost of Exclusion: Counting the Cost of Youth Disadvantage in the UK, The Prince’s Trust, London Trussell Trust (2012) The Trussell Trust’s UK Foodbank Network in 2012: An Introduction, www. trusselltrust.org Trussell Trust (2015) ‘Foodbank use tops one millions for first time says Trussell Trust’, www. trusselltrust.org/resources/documents/Press/Trussell-Trust-foodbank-use-tops-one-million.pdf UNDP (n.d.) Various HDI reports and statistics, United Nations Development Programme, http://hdr. undp.org/en/ UN Habitat (2007) Enhancing Urban Safety and Security, UN Habitat, Earthscan, London United Nations Economic Commission for Europe (UNECE) (2011) Climate Neutral Cities, United Nations, Geneva Ura, K., Alkire, S., Zangmo, T. and Wangdi, K. (2012) A Short Guide to Gross National Happiness Index, The Centre for Bhutan Studies, Timphu, Bhutan Urban Task Force (1999) Towards and Urban Renaissance, E & FN Spon, London Verfürth, E.-M. (n.d.) The Story of Medellín: From a Drug Behemoth to a Model City, www.digitaldevelopment-debates.org/issues/07-transition/city/the-story-of-medellin/ Wilkinson, R. and Pickett, K. (2010) The Spirit Level: Why Equality is Better for Everyone, Penguin Books, London Williams, K., Burton, E. and Jenks, M. (eds) (2000) Achieving Sustainable Urban Form, E & FN Spon, London

128 Mike Jenks Winnipeg (1997) City of Winnpeg Quality of Life Indicators, Strategic Planning Division, City of Winnipeg, Canada Winstone, R., Bolton, P. and Gore, D. (2007) Energy Security: Research Paper, vol. 7, no. 42, House of Commons Library, London World Bank (2012) 2012 World Development Indicators, World Bank, Washington DC, www.data. worldbank.org/sites/default/files/wdi-2012-ebook.pdf WREN (n.d.) Wadebridge Renewable Energy Network, www.wren.uk.com

Chapter 8

Density, compact urban form and sustainability in the Netherlands Jeroen Mensink and Frank van der Hoeven

Summary The Netherlands has a long tradition of planning compact urbanization. In view of this, how effective have the Dutch government’s policies been in relation to sustainable urban development, particularly in the Randstad region of the Netherlands? Have sustainability goals actually been met? We conducted a comparative analysis of post-war planning periods in order to demonstrate how the aim of preserving open landscapes has affected the shape and form of urban areas in the Netherlands. Our conclusion points to successes, but also to shortcomings. In past decades, the Netherlands focused on compact urbanization and achieved some success in planning public transport and maintaining a fairly strict delineation between open landscapes and cities. The open spaces in the Green Heart region, however, were seriously exposed to urbanization, and the focus on urban development in this open area was stronger than expected. Policies in past decades had a convincing effect in the cities, but left room for the urban development of the open spaces in between. Despite the good intentions of policy-makers to reduce and discourage the growth of car-use, highways in the Randstad are more congested than they have ever been.

Introduction The Netherlands has a long tradition of reclaiming land and using space efficiently. In order to reclaim land and to prevent it from flooding, the Dutch developed a strong culture of spatial planning and water management. For centuries, they fought against the sea and the water coming from the European hinterland through the Rhine and Meuse rivers. Maintaining human habitation on the Delta required careful planning, coordination and maintenance. Reclaiming land by turning lakes and marshy areas into fertile land, the Dutch gradually extended the area of useful land, after which new settlements were planned and built. Moreover, the Netherlands is a small country with a relatively large but dispersed population.1 It is part of the Dutch tradition to determine carefully how to accommodate the available space and consider what kind of use is allowed. Every square metre has a dedicated purpose that is regulated in planning documents, with differentiation between dwellings, commercial activities, amenities, transport, agriculture, nature and water. The Netherlands has thus earned its reputation for having a detailed system of spatial planning that has a measurable impact on how the country looks and functions. Nevertheless, the news that the government abolished the Ministry of Housing, Spatial Planning and the Environment six years ago has not yet sunk in internationally. The demise of the ministry

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was linked to its perceived ineffectiveness in implementing policies to uphold vital spatial qualities, and to a belief that spatial planning was no longer the task of national government. In this context, we address a number of thorny questions whose answers may undermine the reputation that the Netherlands still enjoys in the field of spatial planning, namely, what effect have these policy documents had on the sustainable urban development of the Netherlands, particularly in the so-called Randstad region, where another million inhabitants are expected to settle? How effective has Dutch spatial planning been in meeting its sustainability goals? Have the Dutch in fact built cities in a compact way? Have they been able to secure open spaces between the many cities? We conducted a comparative analysis of post-war planning periods in order to demonstrate how the aim of preserving open landscapes has affected the shape and form of urban areas in the Netherlands. In this chapter, we describe the effect of national policy on the density of the built environment and on modes of transport. Specifically, we address the link between compactness and the dispersal of the growing Dutch housing stock, and the impact that this has had on car mobility.

A short history of Dutch spatial planning First half of the twentieth century The industrial revolution of the late nineteenth century led to the uncontrolled growth of many Dutch cities. The response came – mainly in the 1920s and 1930s – in the form of carefully executed extension plans for most of these cities. After a number of these extension plans had been put into effect, attention shifted towards regional spatial plans (initially for urban agglomerations) and eventually to the national level. The first policy document to concern the entire country was the National Road Plan of 1927, an early example of spatial planning on a national scale.

Clustered dispersal (1973–1988) After the Second World War, the need to plan on a national scale became stronger than ever. Demand for housing – not only due to war damage, but also because of the continuing housing shortage and the strong and sudden growth of the population as a result of the postwar baby boom – was met with the large-scale industrialization of housing construction and planning, at the level of the cities, the regions and the country as a whole.

First Report on Spatial Planning Post-war spatial planning on a large scale first took shape in 1958, with the report entitled ‘The development of the Western part of the Country’, produced by the Working Committee on the Western part of the Country. This report focused primarily on the most urbanized part of the Netherlands, the Randstad. This densely populated western region of the Netherlands had just risen to fame, as academics from the Anglo-Saxon world had used the Randstad, now also known as the Green Heart Metropolis, as a showcase for an alternative metropolitan growth model. The Green Heart itself has only recently been adopted as a product of Dutch spatial planning policies. The Green Heart is the historical remainder of lowland Dutch city development

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that concentrated on an area around the edges of a vast marshy bog. Political and economic factors spared the marsh from development; the bog had separated the County of Holland from the Bishopric of Utrecht, once bitter enemies that fought for hegemony over key trading routes (De Graaf, 2005). The Randstad was and continues to be the area where over a third of the Dutch population lives and where the main centres of employment and economic development are located. It is also the nerve centre of government and policy. Given the high level of growth that was predicted in ‘The Development of the Western part of the Country’, there was a fear that the whole urban area would become unacceptably congested. For this reason, the national government proposed that buffers be retained between the towns and cities and that the central area should be kept open, in combination with a concentration of urbanization in a limited number of locations elsewhere in the country. In 1960 – two years after ‘The Development of the Western part of the Country’ – the report was followed by the Report on Spatial Planning (Nota inzake de Ruimtelijke Ordening, 1960). The very first policy document on spatial planning on a national scale, the report sketched out an outwardly focused model for growth in the Randstad around the open central area. Along with post-war reconstruction came growing prosperity, suburbanization and car mobility. According to Van der Cammen and De Klerk, the 1960s followed a pattern of decentralized growth. Families chose their place of residence based on factors of consumption instead of production, and people no longer necessarily worked in the place where they lived. The number of commuters more than doubled, from 747,000 in 1960 to 1,616,000 in 1971; a third of the labour force at the time. In the same period, the number of cars grew from 522,000 to almost 2.5 million (Van der Cammen and De Klerk, 2003, p. 173).

Second Report on Spatial Planning (Tweede Nota), 1966 When the Second Report on Spatial Planning was drawn up in 1966, the Netherlands was expecting the population to grow to 20 million people by the year 2000. Population growth would eventually slow down, but the initial shock of overcrowding convinced most policymakers of the need for spatial planning guidelines for the future. To paraphrase the Second Report: More and more people will have to deal with urbanisation and its consequences for the living environment, questions of recreational space, difficulties in the field of traffic and parking and the importance of clean water and air. Through these and similar issues, almost everyone has, in their daily life, to deal with what is happening in this country in terms of housing a prosperous and relatively strongly growing population in a relatively small and crowded area. (V&RO, Second Report on Spatial Planning, 1966, p. 1)

Third Report on Spatial Planning (Derde Nota), 1973–1983 After the oil crisis of 1973, the future looked a little less bright than before; and after realizing that the population would grow less rapidly than expected, the prognosis was adjusted to an expected population of between 15.4 and 16.1 million people in 2000. This

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Figure 8.1 Map from Second Report on Spatial Planning (1966) showing clustered dispersal

proved to be quite an accurate prediction, as the actual population in 2000 was a little under 15.9 million. Starting in the 1960s and continuing in the 1970s, people left the cities to live more comfortably elsewhere. Only those who couldn’t afford to move stayed behind in the pre-war districts, which also became home to increasing numbers of immigrants from Turkey and Morocco. It was during this period that the Dutch government developed and adopted the groeikern approach. Groeikern, or ‘growth municipality’, is the Dutch equivalent of the British ‘new town’ and the French ville nouvelle policies. The Dutch government decided to concentrate urban growth in a limited number of municipalities by giving these a specified quantitative target for increasing their housing stock, and subsequently their population and urban area. These ‘growth municipalities’ officially entered the planning stage at the time of the Third Report on Spatial Planning (V&RO, 1976, 1977), but the steep rise in the number of inhabitants in some of these municipalities could already be traced back to a decade earlier. Some of the ‘growth municipalities’ turned into independent towns, while others were merely an extension of larger agglomerations.

Third Report, part two: urbanization policy, 1977 Part two of the Third Report opened by explaining that the policy of dispersal was focused on the prevention of congestion and unbalanced urban development, and on the protection of open landscapes, ecological and scenic values and first-rate agricultural land, specifically in the large open spaces between urban areas. Its aim was to spread the population, employment and welfare facilities across the nation, but in a rather compact way, close to existing cities. The Third Report also noted the spectacular growth in car mobility and the fall in the use of public transport. It advised a reduction in the growth of car mobility in order to

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limit energy consumption and address environmental issues. Trips by car could be reduced through careful spatial planning, resulting in shorter daily trips and distances that could also be bridged by more environmental-friendly means of transport (such as walking, cycling and, to a certain extent, public transport). The aim of reducing the growth of car mobility related not only to intra-city traffic, but also to the relations between the different urban regions and different parts of the country (Third Report, part two: urbanization policy, 1977). In the Third Report, buffer zones and open spaces appeared on the planning map, but the Green Heart had not yet been introduced as a policy concept. Under the header ‘open spaces’, the report defined the ‘centre of the Randstad’ as a large open area that had to be maintained. Eleven official ‘growth municipalities’ were listed in the Third Report, and each of the four larger cities in the Randstad was linked with at least one ‘growth municipality’ situated in the area that was still considered an integral part of the Green Heart: Hoofddorp in the Amsterdam region, Zoetermeer in the region of The Hague, Capelle aan den IJssel in the Rotterdam region and Nieuwegein in the Utrecht region. The expansion of the Amsterdam agglomeration (Bijlmermeer, Amstelveen) and the Leiden agglomeration (Zoeterwoude) did not form part of the ‘growth municipality’ strategy, but made similar incursions into the Green Heart. The first three Reports on Spatial Planning in the 1960s and 1970s thus addressed the dispersal of the population and population growth, an equitable distribution of governmental institutes and the development of national infrastructure such as ports and airports. In the process, the reports defined the buffer zones that were designed to keep the cities of the Randstad separate from one other. As Boeijenga and Mensink put it: Two aspects that figured prominently were the desire to achieve equal opportunities for all citizens and the fear of excessively large concentrations of population in the cities, particularly in the west of the country. This policy was operationalized by spreading houses and businesses throughout the Netherlands [as clustered dispersal] and later by building mid-sized centres of urban growth, such as Zoetermeer, Nieuwegein and Purmerend, at some distance away from the main cities in the Randstad. (Boeijenga and Mensink, 2008, p. 11)

Towards compact urbanization Fourth Report on Spatial Planning (Vierde Nota Ruimtelijke Ordening), 1988 At the end of the 1980s there was a change in policy, from clustered dispersal to compact urbanization. Cities (original city cores in particular) were in decline and car mobility had exploded during the 1970s and 1980s. In order to be able to compete economically with other European cities and regions, it was time to switch back the focus to existing cities. As Boeijenga and Mensink write, ‘Change in the long-standing dispersal policy came in 1988 with the arrival of the Fourth Report. The growth centres were sapping the vitality of their parent cities. Roads between the two became clogged as residents, counter to the policy-makers’ intentions, travelled outside to their place of work’ (2008, p. 11).

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Fourth Report on Spatial Planning Extra (Vierde Nota Ruimtelijke Ordening Extra), 1994 According to Boeijenga and Mensink: In 1989 – on the eve of the parliamentary debate on the Fourth Report – the centre-right cabinet led by Ruud Lubbers (Christian democrat) fell and new elections were held. The new Lubbers cabinet (the third, now in coalition with the social democrats) took over the gist of the report but added some points of its own. This would become the Fourth Report Extra or Vinex. Environmental issues had loomed large in the election campaign, and spatial planning was mobilized to help reduce the impact on the environment. Two tasks dominated the agenda of the Vinex: to control the growth of car mobility and to tackle the range of environmental problems area by area. (Boeijenga and Mensink, 2008, p. 12) There was still no end to the post-war housing shortage. In order to facilitate compact growth, the government appointed 25 urban regions where growth should take place between 1995 and 2005. ‘One of the primary focus areas was to strive for a compact urbanization. By concentrating housing development sites and building in or near existing cities, the reasoning went, the growth of car mobility could be restricted and the surrounding landscape would be spared’ (Boeijenga and Mensink, 2008, p. 19).

Figure 8.2 Map from Fourth Report on Spatial Planning (1994) showing compact urbanization.

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Priority was given to the planning of new dwellings within the existing urban fabric. Only in the second instance were new dwellings built on the edge of existing cities, and only if there was no room in or adjacent to existing cities could they be built further away. By concentrating urbanization in this way, buffer zones between cities, such as the Green Heart, could remain open space. By largely taking up the growth in the urban regions or ‘stadsgewesten’, ecological and scenic values would be compromised to a minimum, unnecessary car mobility avoided, while the city’s support base was strengthened. According to the report, housing, employment and shops and services were to be situated within easy reach of each other by bike and public transport. (Boeijenga and Mensink, 2008, p. 12)

Compact urban Vinex areas The Fourth Report on Spatial Planning (VROM, 1988) and the Vinex addition (VROM, 1993) abandoned the ‘growth municipality’ strategy and introduced so-called ‘Vinex extensions’ to the Netherlands. All Dutch cities were growing within the same Vinex policy framework, but each in a different way. The city of Groningen decided to spread its city extensions on the edge of Groningen over various smaller sites. In Leeuwarden, the decision was made to build one big extension for new housing projects. The city of Zwolle did the same and combined all new developments on a single site. This was connected to the existing city with two new bridges, with the nearest one for pedestrians, cyclists and public transport only. In the case of The Hague and Rotterdam, the building of Vinex extensions in the remaining space between the two cities resulted in one continuous urban region that stretched from one city to the next. Inner-city housing development usually resulted in higher-density dwellings, often very similar to those in the surrounding area. In some cases, high density became a strong focal point, such as on Borneo and Sporenburg Islands in Amsterdam, with as many as 100 dwellings per hectare. Despite the term ‘compact urbanization’, however, most of the Vinex extensions on the edges of cities did not feature high densities. On average, density lay between urban and rural levels, at around 23 dwellings per hectare; in this sense, it fits Peter Hall’s definition of Vinex as ‘suburban’ (Hall, 2014). Of all the sites that Boeijenga and Mensink (2008) researched and mapped, the Roomburg site in the city of Leiden has the highest average density, with 40 dwellings per hectare. This is followed by De Aker (Amsterdam), with 35 dwellings per hectare, and Seandelft (Zaanstad), with 31 dwellings per hectare. IJburg (Amsterdam) comes in seventh place, with an average of 28 dwellings per hectare. The differences between sub-areas within sites are even greater. The centre of Saendelft has an exceptionally high density of 117 dwellings per hectare, De Nieuwe Hof in Nieuwland (Amersfoort) has 108, and the centre of Nesselande (Rotterdam) has 101 dwellings per hectare. IJburg (Amsterdam) features in the top ten twice with Haveneiland West and Steigereiland Noordbuurt, both with 70 dwellings per hectare.

Mobility and public transport In the policy documents that preceded the Vinex, there had been a clear emphasis on the development of a robust motorway network, as had already been planned back in 1927.

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Figure 8.3 Roomburg, Leiden. Source: photograph by Kees Hummel.

Figure 8.4 IJburg, Amsterdam. Source: photograph by Kees Hummel.

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Investment in rail had stalled. The concept of the ‘compact city’ meant that public transport had to be put back on the political agenda. As Boeijenga and Mensink write, ‘A key aim of the Fourth Report Extra was to reduce car mobility. To this end the public transport network was expanded considerably during the Vinex years. [. . .] Many Vinex sites were planned along existing railways and new suburban stations added [. . .] High-quality bus transit routes made an appearance too’ (Boeijenga and Mensink, 2008, p. 28). In fact, the largest share of government funding for the Vinex programme was used for infrastructure and public transport: €3.15 billion out of a total amount of €4.4 billion. This allowed for the construction of nineteen new train stations, often at the centre of Vinex extensions. The Vinex programme financed a number of high-quality public transport lines, including new tram and light rail connections, such as RandstadRail between The Hague and Rotterdam. It also contributed to the upgrading of high-speed train stations in The Hague, Rotterdam, Utrecht, Breda and Arnhem, so-called new key projects. In parallel, the government invested in a new freight railway line between the Port of Rotterdam and the German hinterland (the Betuweroute) and a high-speed rail line linking Amsterdam Schiphol Airport with the high-speed rail networks in Belgium and France. Besides optimising access to public transport, most of the municipalities put strict parking regulations into force, capping the availability of parking spaces in order to discourage the ownership of private vehicles. The overall effectiveness of these combined policies was heavily dependent on parking pressure, the proximity of the city core and the speed with which public transport connections were planned and executed. As a result, the Vinex policy had mixed results.

The Green Heart The Vinex extensions, with new residential areas in Leidsche Rijn (Utrecht), Noordrand (Rotterdam), Ypenburg (The Hague) and Oosterheem (Zoetermeer), pushed the envelope of the Green Heart firmly inwards once more. The Fourth Report also introduced the Mainport strategy. With its focus on the economic importance of expanding Schiphol Airport, the envelope of the Green Heart was almost entirely pushed out of the Haarlemmermeerpolder area. By the turn of the century, after four decades of spatial planning, the overall concept of the relationship between ‘urban areas’ and ‘open spaces’ had fundamentally changed. The Green Heart and the national buffer zones were no longer policy issues. With the contraction of the Green Heart, the buffer zone between Amsterdam and Haarlem and the buffer zone between Rotterdam and The Hague (Delft) had become separated from the Green Heart. The agglomerations of Rotterdam and The Hague had become merged through the new Vinex extensions in the area and the expanding greenhouse horticulture cluster. The buffer zone of Midden-Delfland, which was meant to keep the two agglomerations apart, held out relatively well. It is slowly being transformed into a recreational area, where agriculture is giving way to new woodlands and nature. In the west and in the east, however, Midden-Delfland has been bypassed by spatial developments. It is located in the midst of a large conurbation that combines the cities of The Hague, Delft and Rotterdam, their ‘growth municipalities’, their Vinex extensions, the Mainport Rotterdam (harbour) and the Greenport Westland (greenhouse horticulture). The daily urban systems of Rotterdam and The Hague are starting to merge, as evidenced by the extension of the Rotterdam metro towards The Hague Central Station and the renaming of Rotterdam Airport as Rotterdam-The Hague Airport.

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Figure 8.5 Ypenburg, Den Haag. Source: photograph by Kees Hummel.

The administrative regions of Rotterdam and The Hague voluntarily decided to merge into the Rotterdam The Hague Metropolitan Area. In a strange paradox, the environmental envelope of the Amsterdam Mainport (Amsterdam Airport Schiphol) continues to keep Amsterdam and Haarlem apart. The construction of additional housing in this part of the Green Heart is prohibited due to noise pollution and the external safety risks associated with large airports.

Recent developments Post-Vinex After the Vinex period, an upgrade (known as Vinac) was agreed, in line with the original Vinex Report. This extended the conditions of the programme from 2005 until 2010. After the Vinac was finalized, work started on the Fifth Report on Spatial Planning, but this report never made it through parliament. Changes to policy left less room for national control of Dutch spatial planning; from that time onwards, the provinces and municipalities were in control. This resulted in a new report in 2004, simply entitled the ‘Report on Space’, which dealt exclusively with issues that needed some form of control on a national scale. These were mostly major infrastructure projects, such as highways, barriers against water (sea and rivers), ports and airports. Housing was now the responsibility of local government. In 2010,

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this resulted in the merging of the former Ministry of Housing, Spatial Planning and the Environment (VROM) and the Ministry of Transport, Public Works and Water Management (V&W), to form the Ministry of Infrastructure and the Environment (I&M). In fact, this marked the symbolic end to spatial planning on a national scale. At the same time as this change in policy, the Netherlands was hit hard by the global financial crisis of 2008, which had a particularly strong impact on the housing market. In the period between 2008 and 2013, housing production repeatedly hit new lows. The real test of the new spatial planning arrangements is still to come, now that the housing market is improving.

Discussion Spatial policy and compact urban form Spatial policy has had a strong influence on urban form in the Netherlands. When one focuses on the details, the successes of Dutch planning policy become evident. The policy has not always been so successful on a larger, regional scale, however. The Randstad never became a metropolitan unit, which also affected the concept – and therefore the success – of the Green Heart. This may have been the result of changing planning objectives. Initially, in the 1950s and 1960s, the metropolitan area was seen as a negative development that had to be steered in a direction in which its growth could be contained. By contrast, in the context of globalization, the metropolis has become a vital asset to a country’s economic structure, a development that requires effort on the policy front. Spatial policy does give direction to planning, but it is more about correcting than steering. Policy documents not only shape society, but they are also an expression of that same society. Such documents sometimes bring about unintended effects that have to be corrected in a successive policy document. Ever since the first Report on Spatial Planning, the Dutch have been struggling with the issue of where the growing population of the Netherlands should live and work; and ever since the Second Report, the Dutch have been struggling to concentrate growth within specific areas, in order to keep other areas open. The Second and Third Report followed the policy of clustered dispersal within urban regions throughout the Netherlands. The Fourth Report and the Fourth Report Extra (Vinex) followed the compact urbanization approach, by requiring that housing be built within existing cities first, then on the edge of cities, and only then, if this was not possible, built further away. The latter category was the weak spot of the policy; it was an overflow valve, a way to develop housing within open areas, beyond the urban regions that had been identified for further growth. It is likely that the government wanted to avoid complicating the task of private developers, since it needed those same developers to realize the planned Vinex extensions in private–public partnerships. Nevertheless, in general, housing construction during the Vinex period was a success. New housing was realized in a rather compact way, within or close to existing cities, with good links to public transport nodes, combined with neighbourhood facilities and sometimes with room for offices and businesses. On a critical note, the new Vinex extensions failed to achieve high densities, with an average of 23 dwellings per hectare. Within the Netherlands, perceptions of Vinex are strangely negative. Whereas foreigners tend to applaud the decisiveness of developing bold new districts with strong urban and landscape design, Dutch architects, on the other hand, sometimes apologized for

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the fact they were designing for Vinex. Locally, ‘Vinex’ has become synonymous with somewhat dull suburban areas, inhabited by a selective demographic of white families with children.

Controlling the growth of car mobility The initial focus of the Reports on Spatial Planning was on car mobility. With the Fourth Report and the Fourth Report Extra, the focus shifted towards reducing the growth of car mobility. Inner-city locations, in particular, have shown a fall in car use. Paradoxically, the Vinex extensions are usually close to and well connected with ring roads and highways. Those close to major cities are also well connected to public transport lines and bicycle lanes to the city centre; examples include IJburg in Amsterdam, Stadhagen in Zwolle, Houten-Zuid in Houten and Ypenburg and Leidschenveen in The Hague. The smaller Vinex locations outside of the Randstad, however, are usually still strongly dependent on car infrastructure. One of the main goals of compact urbanization was to help reduce the growth of car mobility. Studies that were done show that there was some limit to mobility growth as an effect of Vinex policy. Vinex-extensions show a little less car use than extensions that were not part of the Vinex program. Situating urban development right next to

Figure 8.6 Stadshagen, Zwolle. Source: photograph by Kees Hummel.

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existing cities, with good connections with public transport, does seem to influence the car mobility of inhabitants. (Evaluation Urbanization Vinex, 1995–2005; Ministry VROM, Rigo and OTB, 2005) Almost 20 new train stations were built during the same period, as well as a number of high-quality public transport lines to connect new Vinex areas to existing cities. In addition, rail infrastructure was upgraded with new (international) high-speed rail connections and the renovation of railway stations in larger cities (Amsterdam, The Hague, Rotterdam, Utrecht, Arnhem and Breda). What started as a dispersal instrument (metro, tram and sprinter train connections to growth municipalities such as Nieuwegein and Zoetermer) turned into an instrument of densification (Noordzuidlijn Amsterdam and Randstadrail The HagueRotterdam).

The Green Heart The Green Heart began, more or less coincidentally, as a strategic military buffer zone between the County of Holland and the Bishopric of Utrecht. In the second half of the twentieth century, maintaining the area as an open and green buffer zone between the cities of the Randstad became a goal in itself. At present, the Green Heart is no longer protected by national spatial policy, and its fate lies in the hands of local government. Even though there is no national policy to protect the open area, however, this does not mean that it has already been filled with new developments. When it fell under national policy, the Green Heart had increasingly been used for development. By contrast, the provinces and the municipalities are protecting the open space, perhaps even more strictly than national policy ever did. The Province of Zuid-Holland (South Holland) employs a policy of strict contours2 to guarantee that open space will not be used for development. In the Province of Noord-Holland (North Holland), the presence of Schiphol Airport simply makes the development of the northern part of the Green Heart impossible.

Epilogue The Vinex era forms part of a longer tradition of spatial planning in the Netherlands. The first indications of this tradition were already evident in the early Reports on Spatial Planning, although it would only grow to maturity in later reports. The latter aimed to lessen the housing shortage and all worked on the basis of a rather strict separation between dwellings and other functions. But there were differences, too. Vinex marked the end of an era of government subsidies for housing, making room for more market involvement. Only after Vinex do we see a shift towards a stronger mixture of living and working, a stronger focus on energy-efficient buildings and better management of storm-water as a response to climate change. The importance of sustainability as an issue has become even more important in the Netherlands since the Vinex programme. The abolition of the Ministry of Spatial Planning, which brought an end to the national spatial planning policy, more or less coincided with the financial crisis that had a major impact on real-estate development. In the Netherlands in particular, the housing market collapsed and the pressure to prepare more locations for new housing projects evaporated. This situation recently changed, starting in the Randstad and particularly in Amsterdam, as the housing market picked up its former pace. At the same time, the focus on existing cities

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has become stronger, and cities such as Amsterdam, Rotterdam and Utrecht are looking for room for new houses within the existing urban fabric and even in existing buildings. The aim of spatial planning is now to densify the city at the local level. The Netherlands expects its population to grow by another million and is looking for space within city boundaries, such as IJ-banks, Buiksloterham and the Western Garden Cities in Amsterdam, and Kop van Zuid in Rotterdam. Even without a national policy document, but with local government in control, cities in the Netherlands are growing in a compact way. Development in the Vinex period showed that inner-city development facilitated higher-density building, reduced car mobility and supported public transport networks. Although the green, open buffer zones between cities have not been sacrificed for urban development since the end of the national protection policy, it may be too soon to draw a final conclusion.

Conclusion This chapter addressed the impact that national spatial planning policy documents have had on sustainable urban development in the Netherlands. We focused in particular on the case of the so-called Randstad: has Dutch spatial planning been effective in meeting its sustainability goals? Have the Dutch built cities in a compact way? And have they been able to protect open spaces between the many cities? National spatial planning policy played a substantial role in controlling the urbanization process in the Netherlands and facilitating growth in a rather compact way. After a period of clustered dispersal (so-called ‘growth municipalities’ or new towns), promoted in the first three policy documents, a new policy of compact urbanization resulted in growth within or on the edge of existing cities. This contributed to the economic success of these cities and reduced travelling distances for their inhabitants. In combination with investment in public transport, the policy had some impact on car-use, particularly in the Randstad. Although

Figure 8.7 Weidevenne, Purmerend. Source: photograph by Kees Hummel.

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the Vinex extensions resulted in compact urban agglomerations, the density of these areas themselves was, on average, not very high, leaving room for improvement. In most cases, the Vinex extensions showed a sharp delineation between the built environment and the open spaces between cities. There were a few exceptions, however, such as the area between The Hague and Rotterdam, where the policy had the unintended side effect that these two cities grew into one big urban agglomeration. The presence of Schiphol Airport, meanwhile, precluded the development of the northern part of the Green Heart.

Notes 1 Density on the scale of the Netherlands, according to the CBS (www.cbs.nl, consulted on 3 February 2016), based on data from 1 January 2014: the total surface of the Netherlands is 41,540 km2, of which 33,686 km2 is land and the rest water (19 per cent). At that time, the total number of people was 16,829 million (in March 2016 this figure reached 17 million). This translates into 500 inhabitants per km2 and 224 dwellings per km2. 2 Which is in itself odd, in view of the fact that these contours were one of the reasons that the Fifth Report never made it through the Dutch parliament.

References Boeijenga, J. and Mensink, J. (2008) Vinex Atlas, 010 Publishers, Rotterdam Burke, G.L. (1966) Greenheart Metropolis. Planning the Western Netherlands, St. Martin’s Press, New York De Graaf, R. (2005) Oorlog om Holland. 1000 – 1375, Uitgeverij Verloren, Hilversum Hall, P. (1966, 1977, 1983) The World Cities, World University Library, Weidenfeld & Nicolson, London Hall, P. (2014) Good Cities, Better Lives: How Europe Discovered the Lost Art of Urbanism, Routledge, London and New York Ministry VROM, Rigo and OTB (2005) Evaluation Urbanization Vinex 1995– 005, Ministry VROM, The Hague Van der Cammen, H. and De Klerk, L. (2003) Ruimtelijke ordening, van grachtengordel tot Vinex-wijk (3rd edn), Het Spectrum, Houten V&RO, Ministerie van Volkshuisvesting en Ruimtelijke Ordening (1966) Tweede nota over de ruimtelijke ordening in Nederland, Staatsuitgeverij, ‘s-Gravenhage V&RO, Ministerie van Volkshuisvesting en Ruimtelijke Ordening (1976, 1977) Derde nota over de ruimtelijke ordening in Nederland, Deel 2a en Deel 2d (Report on Urban Development), Staatsuitgeverij, ‘s-Gravenhage VROM, Ministerie van Volkshuisvesting, Ruimtelijke Ordening en Milieu (1988) Vierde nota over de ruimtelijke ordening; op weg naar 2015, Deel d: regeringsbeslissing, ‘s-Gravenhage: Staatsuitgeverij VROM, Ministerie van Volkshuisvesting, Ruimtelijke Ordening en Milieu (1993), Vierde nota over de ruimtelijke ordening extra, Deel 4: Planologische kernbeslissing, Staatsuitgeverij, ‘s-Gravenhage

Chapter 9

Security and density Hyper-surveillance, public safety and social sustainability Emil Jonescu

Summary Architecture provides a physical arrangement of buildings that defines space. It is also the physical host upon which contemporary closed circuit television (CCTV) and other digital surveillance technologies are embedded with little positive effect on sustainable behaviour. The discipline of architecture seldom proactively considers hyper-surveillance and decentralization into smaller diversified urban-housing nodes providing increased community security. Other disciplines conduct considerable research into propitious affordance in urban densification frameworks, and have developed a critical understanding of the negative psychological and physiological effects of CCTV surveillance. This research amalgamates fragmented interdisciplinary understanding of surveillance and proposes innovative cross-disciplinary research principles and application of quantitative surveillance data to better implement design strategies for urban sustainability of future cities and population densification frameworks. Furthermore, it provides an overview of sustainable design applications for compact living that translates to positive shifts in collective behaviours, and as a consequence, impacts on the social and cultural sustainability of cities. Providing a critique on local attitudes, this study concurrently applies critical international understanding to cities that are socially, economically and sustainably pressured to grow compact in the local context by examining Singapore. This chapter examines established patterns of architecture, space and form-initiated behaviours to understand how people engage with the built environment and each other.

Introduction Exponential population growth necessitates a sustainably responsible demand for densification of cities. There are similar expectations of our social and physical proximities to one another which must adapt to compact living. Urban composition consisting of a diversity of typologies and densities of architecture, public and private spaces, and people forms the critical components that directly impact on perceived safety, self-determination and behaviour, providing the backbone of social and cultural life in cities. Built ‘form’ and the intertwining urban spaces between them have inherent capacity to facilitate passive surveillance resulting from the physical presence of people and authority. This ‘implied’ surveillance exists through the perception that crime is less likely to occur in the presence of many. Densification (of cities) provides significant opportunities to harness this principle – the relationship between urban spaces, compactness and

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population provide safer and more socially sustainable public spaces without omnipotent CCTV systems. There are many examples of permanent surveillance environments, such as police custodial facilities (PCFs). Hyper-surveillance condition also exists in other settings, sectors and public spaces. Kwinana, a rapidly expanding centre in Perth’s south, is one of many municipalities that promote that anti-social behaviour is deterred through its expanding CCTV network capabilities, stating that it will cover ‘nearly every move made in Kwinana’s city centre’ (Lavalette, 2014, p. 1). The Eastern Reporter (9 September 2014), states ‘surveillance cameras will be installed in Maylands and around Morley Galleria by the City of Bayswater to improve safety and stamp out anti-social behaviour’. Although minimal access to a limited range of media sources was available 50 years ago, it is acknowledged that societal perception of crime is influenced and reinforced by media imagery and over-reporting – creating unwarranted societal concern (Goodey, 1971, p. 6). Government assurance that increased CCTV is required to counter crime creates disproportionate community concern – influencing perception of safety and modifying behaviours within urban environments. A fundamental concern is considerable existing evidence suggests that while society might acquiesce to it, CCTV does little to dissuade unwanted behaviours in urban contexts. In many cases it is a symptom of insufficient physical authority compounded by incompatible metropolitan planning. Decentralized urban nodes with higher population densities provide passive surveillance – a sustainable and effective surveillance strategy. Supporting this, Harries (2006, p. 24) promotes populated areas that stimulate ‘natural surveillance that has the effect of inhibiting violent crimes in so far as witnesses are more abundant and events are more likely to be reported to the police’. Moreover, ill-considered application of CCTV in urban contexts has the potential to significantly impact collective societal behaviour in unintended ways. Insufficient understanding of context-specific surveillance and its detrimental capacity to effect behavioural self-modification in unintended ways, potentially misused or misinterpreted, raises a critical area of interdisciplinary concern not limited to specialized buildings (PCFs). Moreover, hyper-surveillance involves all citizens that inhabit urban environments in contemporary cities therefore considered application is critical in instances of planned densification and urban infill. This chapter emphasizes that while a considerable body of research relating to CCTV implementation and resultant diminutive link to crime and criminals (the minority) in public space exists, insufficient research relates to the effects of hyper-surveillance on societal behaviours (of the majority citizens) under constant observation in urban spaces. Surveillance data could, however, be utilized to increase understanding, leading to improved design strategies promoting positive behaviour.

The misguided Panopticon model The preponderance of documented literature surrounding surveillance and behaviourshaping architecture stems from Jeremy Bentham’s (1787) theoretical omnipotent proposition, the Panopticon.1 This model concerns itself with exploiting architectural form, strategic positioning and lighting generating relationships of power between opposing yet interrelated parties in carceral contexts (prison guards and prisoners). It is evident that the desired outcome was a shift in the psychological perception of the observed vis-à-vis concealment of the observer, thus initiating a behavioural self-modification

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response in prisoners who had to assume the possibility that they were being watched at all times (Foucault, 1975, pp. 203–205). To this end, a permanent shift in psychology would be desired beyond release to ensure a continuance in self-modifying behaviour. Michel Foucault’s literature (Discipline and Punish) relating to control architecture provides a critical exposé of Jeremy Bentham’s philosophies, providing an instrumental historical account of panoptic architecture and greater built environment control philosophies, which arguably continue to influence existing ideologies.2 Government reports and publications which offer findings and design policy and recommendations continue to mirror many such enduring theories, highlighting the effort still required to shift outdated beliefs borne of limited understanding.

PCF staff and masses suffer longer period of hyper-surveillance than inmates As a nineteenth-century British philosopher, whose ideas on crime and punishment influenced and shaped both architectural and philosophical responses to jurisprudence, Bentham’s scriptures on law, democracy, utilitarianism and government influenced attitudes towards crime and punishment, ideals of permanent transformation and self-imposed behavioural regulation (Jonescu, 2013, p. 31). Bentham’s theorem, however, is misaligned in its endeavour – focusing entirely on the psychological impact on the inmate to the exclusion of the other significant contributor to the panoptic formula – the observer. This omission is particularly pertinent in contemporary society, where all citizens are surveilled – willing or not.3 Hyper-surveillance is justifiable in short-term custodial contexts to ensure the safety of detainees under duress as it enables adequate monitoring of ‘at-risk’ detainees displaying tendencies to self-harm. However, little concern appears to be apportioned to the effects on personnel working in the same environment over a number of years.4 Contemporary surveillance technology affordably augments inadequate human resources and architectural design. In prison contexts, however, inmates are imprisoned long-term (months to years) while, comparatively, staff work short-term shifts over a working week. As a ratio of time spent in hyper-surveillance environments, the principle of ‘gaze’ and ensuing paranoia shapes the behaviours of the observed and observer in ways that are fundamentally flawed and unintended.5

Little hyper-surveillance research on societal behaviours Hyper-surveillance-initiated behaviour modification, cynicism and distrust appears to have had little impetus on promoting research that seeks to understand behaviours of citizens under continuous ‘gaze’ in urban spaces within densely populated cities. Significant potential lies dormant here in the form of existing and future surveillance data which has capacity to highlight trends and patterns – the basis of urban design, architecture, planning and city-shaping strategies and education that positively contributes to societal behaviour and sustainability. This research proposes that the amalgamation of diverse empirical data sources provides essential and comprehensive overviews of known truths, substantiated through information from additional sources such as census data, government statistics and reports, and data recordings.

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Surveillance capacity and the built environment With today’s access to mobile phones, social media and video-sharing websites, as well as public and privately owned CCTV, GPS, Biometric Scanners, telecommunications interceptors and other networked technologies (banking, public transport etc.) tracking our every move, it is unlikely that our movements are not continuously monitored. Many public spaces are under constant authoritative surveillance, with societal and individual implications – loss of privacy and civil liberties.

CCTV no deterrence to unwanted behaviours or influence acceptable behaviour The urban environment – architecture of public and private buildings – complements strategic placement of electronic surveillance systems. The physical skin of a building creates habitable spaces within. They also provide structure that outlines the physical parameters and characteristics of urban spaces, designed to offer inhabitable community spaces and form potent instruments framing digital observation. Yet these man-made surroundings with embedded surveillance do not deter unwanted or influence acceptable behaviours. Arguably, re-active, they exist to capture evidence of ‘committed’ crime, with little correlation between increased surveillance capacities and proactive reduction in crime. Overwhelmingly, international evidence from Europe, US and Australia suggests that hyper-surveillance technologies provide little, if any, measurable data that demonstrates an impact on societal behaviours when compared with the physical presence of authority (Victorian Law Reform Commission, 2010, p. 62), in combination with authority, or other, as part of a collective surveillance approach (Isnard, 2001). Indifferent to the existence of extensive surveillance networks, and without benefit to community relationships and sustainable social behaviours, societies have become slaves to surveillance technologies that, when applied, eliminate human interaction between the observer and the observed. Increasingly such technologies implemented to gather data, whether by government, corporations, or in the hand-held devices of people, succeed in segregating diverse community groups and do not provide a measurable positive impact on society generally,6 or in targeted attempts to reduce crime, highlighted by extensive studies in the UK and US (Welsh and Farrington, 2002, pp. 42–45).

Alternatives to CCTV more effective measures of surveillance Studies in Tasmania, Australia, corroborate these findings, further adding that the ineffectiveness of CCTV networks could be set against simple, practical and arguably more effective measures to deter crime through reconfiguration of space within the built environment, creating physical barriers, elimination or adaptive reuse of problematic areas such as multi-storey carparks and laneways (Goodwin, 2002, pp. 34–44).7 Examples of sound design strategies that have resulted in safe communal environments in highly densified cities without overreliance on CCTV can be found in a number of Singapore examples and will be discussed further in the section ‘Singapore housing-city precinct, density, diversity and passive surveillance’.

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What kind of culture is shaped by the CCTV environment? Significant social science research (over the last 40 years) has established that densification can lead to more people living together, yet concurrently become increasingly isolated and indifferent (Altman 1975). In conjunction with contemporary communication technologies and implementation of surveillance technologies, it is argued, this further distances society physically – our interactions are more superficial (Turkle, 2012, p. 188). With this, spatial relationships and resulting behaviours will require long-term societal observation to determine technology and surveillance impact. What is apparent is that there is significant existing literature and research involving CCTV in public spaces and the link to crime, slightly less on the effects of surveillance on societal behaviours, and little, if any, on the effects of such surveillance on mass populations under constant surveillance in urban spaces.8 Police cultures form through shared experiences, hardships and an ever-present organizational unity in expression of grievances. Skolnick (1977, p. 53) confirms this, suggesting that this culture develops with little conscious effort on the part of individual officers, a situation that usually leads to exceptionally high levels of occupational solidarity, conformity and inward-facing organizational cultures,9 intensified by selective psychological profiling during the recruiting process. The nature of police work serves to unite police as a faction, yet concurrently divides them from the society (Skolnick, 1977, p. 53). In light of this, this research argues that the collective attitudes of citizens, and their response to built environments within modern highly densified cities, have the capacity to be mapped and produce trends and patterns that can contribute to design decisions that positively shape spatial-behavioural relationships. Mere surveillance technology gestures can lead to avoidance behaviours and ‘acting’ for the camera (Bloss, 2007, pp. 208–228).

Holistic approach: CCTV can be used to collect data for research Surveillance architecture within the built environment has the capacity to evoke behaviour modification responses that may be detrimental to functional intent. This suggests that as an authoritative and controlling instrument, more dedicated research is required to understand cause and effect, and decision-making on the physical manifestations of forming space in densified cities. Although research is conducted within the realms of some disciplines such as psychology, anthropology, sociology, and data-gathering organizations for the Australian Bureau of Statistics (ABS), considerably more is required from the disciplines of architecture and urban design, where a heavy practice-focus persists. Those who design the very environments discussed in this chapter have the unique opportunity to challenge current knowledge and attain a new understanding from increasingly diverse perspectives. This includes design intent and resulting post-occupancy research, utilizing existing and future surveillance data for purposes beyond surveillance itself, to understand patterns and trends that support design decisions, guidelines and planning and development policy. This suggests that while CCTV technology is ineffective in shaping behaviours, it could be valuable in gathering data that allows researchers to better understand how spatial parameters effect behaviour generally through patterns and trends – therefore predictability and probability.

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Mono-functional neighbourhood vs diversity and passive surveillance Collective perception of safety, personal space and territory in increasingly densified urban environments, such as Perth, a mono-functional precinct-based city under pressure to densify, is unlikely to develop through first-hand experience. What might be is subject to interpretation of known international examples of highly densified cities, such as first-hand experience and extrapolative projection based upon highly densified and populated cities such as New York, Hong Kong and Singapore (discussed later in this section). In 1960, 9 per cent of Singapore’s population lived in high-density public housing. Since the Housing Development Board (HDB) was created to develop ‘suitable’ housing, by 2005 the population living in public housing increased to 83 per cent, and has since been referred to as ‘one of the few cities where public high-rise living works’ (Tsang, 2007, pp. 89–90). Sceptically, Unwin (1912, p. 3) states that it was common to implicitly assume that overcrowding of buildings is necessary where it was not; moreover, anything other than a significant pecuniary obstruction dictating otherwise leads to high-density developments that would likely be inadequate at best. Unwin caveats this by highlighting that when land is expensive in ratio to the cost for the provision of roads, there is an advantage to be gained by overcrowding, yet there is nothing to be gained by high density when the ratio is reversed (Unwin, 1912, p. 3). Economic, spatial and population pressures in Singapore (as well as Hong Kong) continue to provide the HDB with sufficient design constraints – requiring sound planning principles. Developments require the formulation of innovative strategies to complex issues yet appear to seamlessly flourish around key city nodes that provide essential equitable access to services. It is important to note that critical ideas and philosophies in planning are due in part to a number of key critical texts. Unwin cites Ebenezer Howard as a key precursor to his book, however, during this period (Howard’s life in the 1800s, through to the completion of the Unwin’s book in 1912) the global population was 1–2 billion people and at this time it took approximately 100 years to reach the next billion. In 2016 we have 7.4 billion people reaching the next billion every 12 years (US Census Bureau, 2016). What needs to be considered when tethering to the ideals of planning are the global implications of continual population increase. It is clear that considerations for density cannot be considered upon economic constraints alone, but with this exponential population growth, every denomination of ‘sustainability’ in its broadest sense needs to be considered. Garden City planning principles advocate ‘natural principles of organization’ by situating detached exurban areas into clusters around a sub-centre which could be repeated, with a provision of ‘defining belts of open land’ between them (Unwin, 1912, p. 2). Garden City design principles prescribe a relationship between density and open space. Singapore more closely resembles Garden City design principles, whereas Perth which sprawls uncontrollably as an endless wave of suburban development, which is neither ‘natural’ nor organic, does not. The overarching principle that ‘organisation should find its expression in the form of the town which, instead of being a huge aggregation of units ever-spreading further away from the original centre and losing all touch with that centre’ (Unwin, 1912, p. 2), is the antithesis of what occurs in Perth. Considering Joondalup was Perth’s attempt to develop a satellite city, its sheer lateral expanse, lack of density, distance to Perth CBD and lack of cohesive relationship to any other supporting nodes has resulted in far from exemplary outcomes that in no way resemble the success achieved in Singapore. This in turn challenges social

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sustainability from the perspective of effective policing and passive surveillance. City of Joondalup CEO mentions that ‘Police often request CCTV footage to assist them to identify offenders’ and notwithstanding the introduction of a number of crime reduction strategies, Joondalup is reported to be ‘Perth’s new violence hotspot’ with a 33 per cent rise in crime statistics (2010–2012). Assaults, street robberies and anti-social behaviour ‘plague’ the area, while reported assaults dropped in Perth’s main nightlife precincts (O’Connell, 2012). This increase is but a portion of a 60 per cent increase since 2008. City of Joondalup’s Community Safety and Crime Prevention Plan 2009–2011 suggests there is community consensus on increasing CCTV infrastructure networks in targeted areas and increased involvement in Neighbourhood Watch, thus avoiding an omnipotent environment (City of Joondalup, 2008, p. 18). In fact the priority service highlighted by public consultation was the City of Joondalup ‘Public Areas Video Surveillance Project’, deemed to be a ‘significant and necessary crime deterrent’ (City of Joondalup, 2008, p. 17). Lewis Mumford asserted that unlawful activity and anti-social behaviours were afforded through anonymity – of spatial proportions, forms, attributes and densities of cities. Nodes that cluster around decentralized sub-centres with extended trading hours and high density over a small footprint encourage positive interaction between residents in public spaces such as those in Singapore, reducing the level of anonymity associated with ‘big city impersonality‘ which encourages ‘anti-social actions‘ requiring a ‘professional form of surveillance, by an organized police‘ (Mumford, 1938, p. 266). With this, our initial and enduring perceptions of security and sense of place are shaped by the urban and population density and level of activity in the environments we inhabit. As outlined in her influential work, Jane Jacobs (1961, p. 35) in The Death and Life of Great American Cities emphasizes the need for passive surveillance – eyes on the street that leads to safety, both real and perceived. Therefore higher density and increased physical participation and occupation of space are fundamental urban design components essential to creating socially sustainable environments (Cozens, 2011, p. 481). This suggests that densification of urban environments – not CCTV – shapes perception of security.

Diversity in the city and more holistic integration with density increase Perth aspires to come of age, to feel vibrant and safe, yet there appears to be significant reluctance and a clear lack of governance, underpinned by a lack of understanding. At present the city is at a critical juncture to develop more sustainably, and if it is not accepted now, requires foresight to accept that it will be. At the same time, however, Perth’s State Planning Minister was recently praised for approving a local municipality’s local Planning Scheme amendment to prevent higher density development to ‘manage infill’ (Rabe, 2015, p. 1), except for within 800 m around train stations and activity centres. The oversight here is that the majority of Perth’s public transport rail network and stations do not coincide with activity centres, thus the benefit is overstated. Infill for the sake of density without adequate transport hubs, amenities and infrastructure is pointless and will not achieve desired outcomes. Arguably ‘unforeseen’ consequences will in turn fuel further cynicism of the benefits of active densification, promoting sentiments that densification is untenable and not to be endorsed in Perth. Welldesigned and well-located high-density areas are positively impacted by the strengthening of public transport networks (Sung and Oh, 2011, p. 70). Mass transit systems provide diverse forms of sustainability, including social, economic, time, equitable access to public services such as health care and employment. Environmental sustainability from reduced vehicular

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use lead to reduced dependence on fossil fuels and emissions – just two examples of an infinite number of unquantifiable benefits considering the embodied energy cycle (Jenks and Burgess, 2004, p. 16). Singapore has a well-integrated public transport system (see Figure 9.1) and stations service highly densified urban precincts with a blend of typologies and uses that encourage activities. In comparison, Perth’s inner-city layout is primarily a grid, which prescribes developmental order and in conjunction with overregulation of development policy results in mono-functional precincts that limit functional interaction. Unlike Singapore, functional segregation in Perth leads to reduced diversity of people and experiences – contributing to the ‘doughnut effect’ (Forster, 2004, p. 110) as workers evacuate the city after work in favour of suburbia, significantly impacting on ‘life’ in Perth. Vast areas of the city are vacated after work hours, which represent an underutilization of infrastructure and security concerns. Successful examples in Singapore include both inner-city areas such as Clarke Quay, Bugis Night Markets, Chinatown, hotels and numerous shopping plaza precincts that coincide with transportation hubs (William, 2015).10 These examples comprise what Gehl (2010) suggests are important components of the urban environment that have some impact on perception, including well-planned recesses and places to pause, affordance design, lighting, layout, pedestrian accessibility, vegetation and a blended materiality. This, in unison with encouraging people to engage with one another through activities, is of critical importance to achieving an increased presence of people in urban environments.

Figure 9.1 Sign indicating MRT, LRT and Bus interchange in the foreground with nearby public housing district in background. Source: Joel Nathan (2015).

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The outcome of this activity and density is an increase in perceived and actual security and thus social sustainability and sustainable utilization of infrastructure. However, it is not just inner-city density that allows for more equitable access to amenities, services, restaurants and entertainment – public housing areas also benefit from density.

Singapore housing-city precinct, density, diversity and passive surveillance Public housing in Singapore, which is owned and administered by the Housing and Development Board (HDB), houses the vast majority of Singapore residents. In 2010, 57 per cent of the 3.77 million Singapore residents were housed in ten HDB areas (Department of Statistics Singapore, 2010). One of an additional two planning areas within the highest density, ‘Hougang‘ (with 216,700), comprises good public transport and activation, ‘void deck’ design provides favourable sightline across vast areas generating an ‘open surveillance’ (King, 2006, p. 33) with few areas for concealment, permeability and blurring of spatial territories, and safety through occupation of space (see Figure 9.2) and passive surveillance.11 Considering this density, the crime rate in Singapore, with a total population of 5.469 million in 2014, was 589 per 100,000 population (Department of Statistics Singapore, 2015), while the crime rate for Perth Metropolitan Area, with a population of 1.793 million (West Australian Planning Commission, 2012, pp. 5–73), was 11,175 per 100,000 population

Figure 9.2 Space between Hougang buildings offer permeable spaces and allows for integration of different ages and activities and for overlapping sightlines. Note: bench seating encourages passive surveillance sight lines to different areas of the housing precinct. Source: Joel Nathan (2015).

Security and density 153 Table 9.1 Overall country density per square kilometre ranking 2011 W/Ranking

Country

Population (P)

Area (A)

Density/km2

3

Singapore

5.535m

719 km2

7,814

4

Hong Kong

7.234m

1,104 km2

6,897

229

Australia

24.0m

7,692,000 km2

3.1

Source: compiled by author (data from The World Bank Population Density, 2015). Note: in each of the three examples above, typical parameters have been applied to calculate density: total population (P) divided by total land area (A) giving a density calculation of people per square kilometre (D/km2). This calculation does not consider whether land is currently built, unbuilt, or environmentally constrained, but is a density calculation based on a theoretical proposition that all land mass is accessible in each example.

during the same period, a figure 19 times higher than the total in Singapore (Western Australia Police Service, 2015, p. 2). Australia, in addition to providing residence to a less tolerant, more violent society generally, has a higher rate of assault than Singapore’s total crime rate (Bricknell, 2008, p. 3). The layout of Perth’s metropolitan area with its sprawling low density does not perform favourably to contributing to crime prevention through passive surveillance, and is not efficiently policed. Table 9.1 highlights the disparity in population density between Australia, Singapore and Hong Kong through ranking (mid-year population divided by land area in square kilometres). Of the three examples listed in Table 9.1, Hong Kong (Kwun Tong District) had one of the most densely populated areas with 55,204 persons over a square kilometre, well above the overall density for Hong Kong (Census and Statistics Department, 2012, p. 13).

Comparing Perth and Singapore densification of city and housing Dodson and Gleeson (2007, p. 8) highlight that currently densification through infill and redevelopment is a ‘fundamental element of Australian urban planning’. While there is scepticism around the benefits of achieving density to any international standard, there are some key aspects that require further debate. With adequate public transportation, increased density offers opportunity for economic, social and environmentally sustainable development with improved equitable access to basic services and visual presence of authority. ‘WA is the world’s largest single policing jurisdiction, the state being about 10 times the size of the United Kingdom and 3,532 times that of Singapore, is divided into two primary regions in the metropolitan area, the North and South Metropolitan Regions’ (Jonescu, 2013, p. 51). The physical layout of Perth’s metropolitan area extends up to 70 km north and south, and 50 km to the east from the CBD as outlined in Figure 9.3. The City of Perth (2015) has a total combined population of 22,324 residing in an area of 8 sq km, and thus a density of 2,790 people per square kilometre. According to the Australian Bureau of Statistics (2013), figures from June 2013 indicate that the population of Greater Perth was 1.97 million people, a figure equivalent to 78 per cent of the state’s total population (a population density of 315 people per square kilometre). With a population density of 1.0 person per square kilometre, this is less than the 3.0 people

154 Emil Jonescu

Figure 9.3 Extent of City of Perth Municipality (Perth Central) shown among the extent of Perth Metropolitan Area. Source: Redrawn by author (information from The Department of Planning, 2010).

per square kilometre for Australia as a whole, ‘the country’s vast openness means it has the lowest population density in the world’ (Australian Government, 2015). This expanse is to the significant detriment of achieving a visual presence of proactive law enforcement and thus an overreliance on technological surveillance must be employed. In Singapore, however, some of the most populated areas such as Bukit Merah and Hougang are located 4 km and 10 km away (respectively) from central Singapore, with other high-density areas some 20 km away forming their own decentralized nodes – all comprehensively sustained through critical infrastructure and services (see Figure 9.4). Within walking distance of Hougang Avenue 1, for example, there are: schools, two major supermarkets (one of them 24 hours), smaller convenience stores including 24-hours ‘7-Eleven’, fast-food, food courts, coffee shops, restaurants, several clinics, a community centre with sports and health activities and facilities, including programmes for the elderly, an underground Mass Rapid Transit (MRT) station and a bus interchange. Minton Rise and Watertown are considered private condominium developments. The former, located in the heart of Serangoon and Hougang housing estate, leverage many nearby amenities. The latter, being located at Waterway Point, a commercial precinct located at Punggol Central in District 19, forms a similar synergy with public housing areas capitalizing on proximity to amenities and transport. In Singapore, proximity to schools can be critical as the school registration system prioritizes children who live within 1 km of that particular school. These estates are gated,

Security and density 155

Figure 9.4 Densities by districts and subzones in Singapore. Source: redrawn by author (information from http://geodata-musing.blogspot.com.au/2015/06/the-densest-placesin-singapore-contd.html).12

however, William (2015) states ‘while these private estates themselves may be gated with security guards, once the residents leave the estate grounds, they are no longer under guard, however, because of the proximity to public housing estates, which are a hive of activity, with 24-hour amenities, residents can feel relatively safe’.13 In these estates, both private and public, seldom would the residents be subject to close circuit coverage. William (2015) suggests that ‘this is only viable because the density of the housing means there is a critical mass of people living within a relatively small physical area’ and the associated activities ensure there are always people moving around and hence a sense of security. ‘The activities also mean that often neighbours get to know each other and hence look (in an implicit rather than explicit manner) for each other’ (William, 2015). Another local Singaporean from Tanglin stated that for women there is a sense of safety that comes from a higher density, linked bus and MRT station interchanges, with all other amenities and services required within walking distance (Briggs-Bradford, 2015).

Diversity of ethnicity Briggs-Bradford (2015) notes that a key difference between Singapore and Perth is the diversity in the number of ethnic groups in Australia compared with Singapore and tolerance and behaviours that are appropriate within highly densified contexts. Singaporeans generally accept that the sense of security enjoyed throughout Singapore requires a trade-off between

156 Emil Jonescu

high-density living and appropriately modifying behaviour both within one’s own home, in communal spaces and in the urban environment. This chapter does not suggest that Perth commences building Hougang developments similar to that in Singapore. It does, however, highlight that there are many positive outcomes that can be attributed to higher-density urban environments, particularly around perceived safety, security, infrastructure maximization, access to services and amenities, more effective public transport systems, reduced dependence on CCTV due to more effective use of policing resources (currently 4,500 sworn officers, equivalent to two officers per 1,000 sq km) and generally improved economies of scale. CCTV does have an important strategic role to play in Singapore, Hong Kong and Australia and elsewhere for that matter, particularly in light of a changing world, with global risk of terrorism, to be used in real-time to proactively respond to imminent incidents and capture evidence.

Conclusion The shaping of cities, urban environment and architecture directly impacts on perceived social and behavioural norms. Increasingly, technology is implemented as a cost-effective, arguably functionally ineffective means to encourage acceptable behaviours. Yet this technology has the data gathering capacity to facilitate and augment design decisions that do achieve shifts in behaviour. While architecture and built infrastructure provides a physical armature that defines space, it also acts as the physical host upon which to embed surveillance technologies. Moreover, architecture forms the defining edge of different spatial typologies within the built environment. This chapter has established that the trend to increasingly rely on digital forms of surveillance to dissuade unwanted behaviours is ineffectual, as there is no direct physical presence of authority. This state of being more aptly defines what has become synonymous with prison environments, a mechanism of authoritarianism and control where behavioural selfmodification (of prisoners) over the long term is desired. While considerable research exists within these contexts, a paucity of research is apportioned to many urban spaces which reside in a state of hyper-surveillance, and offers a unique environment to research the psychological and physiological effects of everyday life under permanent surveillance conditions – an ill-considered side-effect that exemplifies what occurs when application oversight leads to functional incongruence. Society’s acceptance of surveillance technologies continues to be challenged by private and government bodies, typically under the guise of public safety and crime reduction. Although this proposal highlights that this argument is mute, it is critical to understand the possible long-term implications on community behavioural patterns. Research examining and juxtaposing local and international examples such as Perth and Singapore offers opportunities to understand how urban behaviours can be shaped through higher-density living and positively impacted predominantly as a result of passive surveillance in highly densified urban contexts. While inference can be made between different hyper-surveillance environments and systems in our society, problematic levels of urban-level CCTV surveillance already exist in many cities. This suggests that further investigation of data from such systems are likely to allow for capacity around developing intelligence to determine patterns of behaviour as

Security and density 157

it relates to national and international examples of densified urban spaces and built form. Through increased capability of built environment professionals, this empirical data-derived knowledge provides critical new and innovative mechanisms by which to consider how cities can be planned, formed, further developed and infilled with higher-density strategies to achieve safe and sustainable spaces.

Notes 1

2 3

4

5

6 7 8 9 10 11

12

The idea of shaping behaviour began much earlier though not as comprehensively documented as Bentham. In 1704 influenced by Fraud’s Workhouse in Florence, for example, Pope Clement XI (1649–1721) commissioned architect Carlo Fontana to design a ‘hospice’ addition to St Michael’s Hospital in Rome. Here, incarceration was designed to reinforce penitence. All solitary cells had sight-lines to an altar encouraging reflective guilt (United Nations Social Defence Research Institute, 1975, p. 15). These form the foundation of thought and the basis of initial research in contemporary literature and the way in which urban environments are formed. Its use in PCFs sees these surveillance networks cause increasing effect upon the employee rather than those detained. This is of concern considering the lack of specialized research in this area in the Criminal Justice System (CJS), and the inferred similarities to how surveillance occurs in the public realm. Existing research suggests that detainees spend relatively short periods under hyper-surveillance conditions (hours) when compared with staff (years). This is further highlighted through the concerns of those working under hyper-surveillance conditions, such as police personnel in PCFs where the observer, visitors and service providers are subjected to the constant surveillance, scrutiny and omnipotent powers of government organizations. Fearing government watchdogs to such a degree that surveillance shapes the way in which police carry out their duties is an undesirable by-product of hyper-surveillance environments. Within these environments the government watchdog is the omnipotent authority that investigates the actions of police, as they do with civilians in the public domain. Considering the interpersonal and spatial relationships examined in the urban contexts can at times be as volatile as they are in other frequently unpredictable and spontaneous environments, many other contributing factors need to be considered. Increasingly governments seek to pass laws to filter and store metadata tracing our digital footprint through our own devices. Critically, the problem with the gathering of mass data is that it may be misused. Significant research already exists in this field: Crime Prevention Through Environmental Design (CPTED), also Design Out Crime (DOC). Irrespective of the locus, built environment induces particular responses or norms in its inhabitants. Over time this behaviour translates to a unique culture – a ‘police culture’ which has been the subject of extensive research over the last 50 years. Consequently, the collective response, attitudes and sentiment relating to the use of CCTV is relatively consistent; working under hyper-surveillance conditions is considered to be unhealthy, and doing so should not be a long-term strategy. Singapore appeals to diverse groups of people occupying one area and ensures the typologies and related activities work cohesively to activate public spaces at all times, which is further enhanced by increased diversity of activities that encourage people to stay. Minton Rise with 1145 Residential Units, Waterway Point at Punggol with approximately 1000 units, examples of contemporary understanding of what high density is able to achieve. Assuming two persons per unit, these two developments alone will house the equivalent of half the population of North Perth, WA. http://north-perth.localstats.com.au/demographics/wa/perth/inner-northernsuburbs/north-perth. The datasets provided by the Singapore government and its statutory boards via Data.gov.sg are governed by the terms of use available at https://data.gov.sg/terms. To the fullest extent permitted by law, the Singapore government and its statutory boards are not liable for any damage or loss

158 Emil Jonescu of any kind caused directly or indirectly by the use of the datasets or any derived analyses or applications. 13 Here, as Mumford, Unwin and Jacobs advocate, smaller decentralized nodes each with their own centre, transportation hub, services and infrastructure allows for increased diversity, opportunities and safety resulting from higher densification and passive surveillance.

References Altman, I. (1975) The Environmental and Social Behaviour: Privacy, Personal, Space, Territory, Crowding, Brooks Cole, Monterey, CA Australian Bureau of Statistics. (2013) Regional Population Growth, Australia, 2012–13, Cat. no. 3218.0, ABS, Canberra, ACT, www.abs.gov.au/ausstats/[email protected]/Products/3218.0~2012-13~Main+ Features~Main+Features Australian Government. (2015) Our People: Population Today, www.australia.gov.au/about-australia/ our-country/our-people Bentham, J. (1787) Panopticon or the Inspection House. In The Works of Jeremy Bentham, edited by John Bowring, Simpkin, Marshall & Co, Edinburgh Bloss, W. (2007) ‘Escalating U.S. police surveillance after 9/11: An examination of causes and effects’, Surveillance & Society (Special Issue on Surveillance and Criminal Justice Part 1), vol. 4, no. 3, pp. 208–228, www.surveillance-and-society.org/articles4%283%29 /escalating.pdf Bricknell, S. (2008) Trends in Violent Crime no. 359. Canberra: Australian Institute of Criminology, www.aic.gov.au/publications/ current%20series /tandi/341-360/tandi359/view%20paper.html Briggs-Bradford, J. (2015) Interview of Justina Briggs-Bradford by Emil Jonescu, May 23, transcript, Clarke Quay, Singapore Census and Statistics Department. (2012) 2011 Population Census: Summary Results, Census and Statistics Department, Canberra, ACT, www.statistics.gov.hk/pub/B11200552011XXXX B0100.pdf City of Joondalup. (2008) Community Safety and Crime Prevention Plan 2009–2011, City of Joondalup, Perth, www.joondalup.wa.gov.au/Files/Community%20Safety%20and%20Crime%20 Prevention%20Plan%202009-2011%20-%20FULL.pdf City of Perth. (2015) Population Forecasts: The City of Perth population Forecast for 2015 is 22,324, and is Forecast to Grow to 35,378 by 2036, City of Perth, Perth, http://profile.id.com.au/perth/ about Cozens, P. (2011) ‘Urban planning and environmental criminology: Towards a new perspective for safer cities’, Planning Practice and Research, vol. 26, no. 4, pp. 481–508, http://dx.doi.org/10.108 0/02697459.2011.582357. Department of Statistics Singapore. (2010) Geospatial Data: Geographic Distribution of the Singapore Resident Population, www.singstat. gov.sg/docs/default-source/default-document-library/publications/ publications_ and_papers/geo_spatial_data/ssnsep10-pg25-29.pdf Department of Statistics Singapore. (2015) Singapore in Figures 2015, www.singstat.gov.sg/docs/defaultsource/default-document-library/publications/ publications_and_papers/reference/sif2015.pdf Dodson, J. and Gleeson, B. (2007) ‘The use of density in Australian planning’, Proceedings of the Third Australian Cities International Conference Held in Adelaide 28–30 November 2007, ARCN, Adelaide Forster, C. (2004) Australian Cities: Continuity and Change, Oxford University Press, New York Foucault, M. (1975) Discipline and Punish: The Birth of a Prison. trans. Alan Sheridan, Penguin Books, London Gehl, J. (2010) Cities For People, Island Press, Washington, DC Goodey, B. (1971) Perception of the Environment: An Introduction to the Literature, The University of Birmingham, Birmingham

Security and density 159 Goodwin, V. (2002) Evaluation of the Devonport CCTV Scheme. Crime Prevention and Community Safety Council, Tasmania, www.popcenter.org/library/scp/pdf/76-Goodwin.pdf Harries, K. (2006) ‘Property crimes and violence in United States: An analysis of the influence of population density’, Abstract, International Journal of Criminal Justice Sciences, vol. 1, no. 2, pp. 24–34, www.sascv.org/ijcjs/harries.pdf Isnard, A. (2001) ‘Can surveillance cameras be successful in preventing crime and controlling antisocial behaviours?’ paper presented at The Character, Impact and Prevention of Crime in Regional Australia Conference held in Queensland 2–3 August 2001, Australian Institute of Criminology, www.aic.gov.au/media_library/conferences/ regional/isnard1.pdf Jacobs, J. (1961) The Death and Life of Great American Cities, Random House, New York Jenks, M. and Burgess, R. (2004) Compact Cities: Sustainable Urban Forms for Developing Countries, Spon Press, London Jonescu, E. (2013) ‘Short-term custodial design is outdated: Developing knowledge and initiatives for future research and a specialised strategic architecture for police custodial facilities’, PhD diss., Curtin University Bentley, http://espace.library.curtin.edu.au/webclient/ StreamGate?folder_ id=0&dvs= 1440768578428~23&usePid1=true&usePid2=true King, R. (2006) The Singapore Miracle, Insight Press, Western Australia Lavalette, T. (2014) ‘Kwinana to expand CCTV surveillance’, Kwinana Courier, October 3 Mumford, L. (1938) The Culture of Cities, Harcourt Brace Jovanovich, New York O’Connell, R. (2012) ‘Joondalup a violent hotspot’, The West Australian, February 6 Rabe, T. (2015) ‘Planning rules see the light of day: Qualified support despite long delay’, Stirling Times, July 28 Skolnick, J. (1977) Justice without Trial: Law Enforcement in Democratic Society, John Wiley & Sons, New York Sung, H. and Oh, J. (2011) ‘Transit-oriented development in a high-density city: Identifying its association with transit ridership in Seoul, Korea’, Abstract, Cities, vol. 28, no. 1, pp. 70–82 The Department of Planning. (2010) Outer Metropolitan Perth and Peel Sub-Regional Strategy: Draft Urban Expansion Plan, The Department of Planning, Perth, www.planning.wa.gov.au/dop_pub_ pdf/plan_Outer_Metro_Perth_Peel_Part3.pdf The World Bank Population Density. (2015) http://data.worldbank.org/ indicator/EN.POP.DNST Tsang, S. (2007) Discover Singapore: The City’s History and Culture Redefined, Marshall Cavendish Editions, Singapore Turkle, S. (2012) Alone Together: Why We Expect More from Technology and Less from Each Other, Basic Books, New York United Nations Social Defence Research Institute. (1975) Prison Architecture: An International Survey of Representative Closed Institutions and Analysis of Current Trends in Prison Design, Architectural Press, London Unwin, R. (1912) Nothing Gained by Overcrowding: How the Garden City Type of Development May Benefit both Owner and Occupier, P. S. King & Son, Westminster US Census Bureau. (2016) World Population Clock, www.census.gov/popclock/ Victorian Law Reform Commission. (2010) Surveillance in Public Places: Final Report 18, Victorian Law Reform Commission, Victoria, www.lawreform.vic.gov.au/sites/default/files/Surveillance_ final_report.pdf Welsh, B. and Farrington, D. (2002) ‘Crime prevention effects of closed circuit television: A systematic review’, Home Office Research Study 252, The Research Development and Statistics Directorate, London, pp. 42–45, www.popcenter.org/Responses/video_surveillance/PDFs/Welsh%26Farrington_ 2002.pdf West Australian Planning Commission. (2012) Western Australia Tomorrow, Population Report No 7, 2006 to 2026, Forecast Summary, Local Government Areas of WA, West Australian Planning Commission, Perth, www.planning.wa.gov.au/dop_pub_ pdf/LGASummary.pdf

160 Emil Jonescu Western Australia Police Service. (2015) Monthly Verified Crime Statistics: 2014/15 Metropolitan Region, Western Australia Police Service, Perth, www.police.wa.gov.au/LinkClick.aspx?fileticket= BmI8CHpztvg%3d& tabid=1219 William, B. (2015) Interview of Benjamin William by Emil Jonescu, May 15, transcript, Hougang Avenue 1, Singapore

Chapter 10

Dense and ageing Social sustainability of public places amidst high-density development Keng Hua Chong, Kien To and Michael M.J. Fischer

Chong, To and Fischer

Summary We argue it is time to revisit urban development frameworks to bring in more social and people-centric approaches to designing and managing cities. Especially in high-density urban contexts where people face constant challenges of negotiating diversity in close proximity, and as global populations age, new design issues are posed for such components of social sustainability as liveability, quality of life, accessibility, equity, health, happiness, social capital and civic participation. It is projected that senior citizens will make up 21.1 per cent of the world population by 2050 (UN, 2013). Increased information availability make participatory changes in urban planning processes feasible, and will increasingly be demanded by new generations of seniors who are more educated, active and empowered. Top-down institutional urban planning cannot capture how each place and community interprets and deals with ageing and density locally. Based on case studies in Singapore and Japan, we propose that, for dense urban environments, much further specific attention needs to be placed on the role of public places and, in particular, collaborative, local place-making initiatives by and with senior urbanites. We call this the ‘ageing-friendly place-making’.

Introduction The two case studies presented in this chapter – Singapore and Japan, two of the most rapidly ageing countries in Asia – represent contrasting high-density urban forms: high-rise in the former and low-rise in the latter. Through comparative study, this chapter examines how public places in high-density contexts are being developed and used by differing ageing communities in relation to their changing needs, how participation is fostered or constrained, and how thereby social sustainability is made more robust and resilient. Recent heuristics among planners – such as ‘social sustainability’ (Woodcraft et al., 2012) and the ‘circle of sustainability’ (Magee et al., 2013) – have been suggested as frameworks towards the United Nations goals of Rio+20 and Habitat World Urban Forums in Napoli (2012) and Medellin (2014). We propose, on the basis of the two cases presented here, that for ageing-friendly dense urban environments much further specific attention needs to be placed on the role of public spaces and, in particular, collaborative, local place-making initiatives with and by senior urbanites. We call this ‘ageing-friendly place-making’.

162 Chong, To and Fischer

Concepts of social sustainability The concepts of social sustainability proposed by Woodcraft et al. (2012) and of the circle of sustainability proposed by Magee et al. (2013) and James (2015) are not very different. Both are premised on the increasing amount of information about urban patterns and usages (traffic flows, energy heat maps, time of day usage and other real-time mappable measures), available to planners, allowing a shift from only environmental and economic drivers to considerations of social issues such as liveability, quality of life, accessibility, walkability, green spaces, seating, pedestrian-only areas, equity, health, happiness, social capital and civic participation. Both are simple four or five principle heuristics for planners to keep in mind. Woodcraft (and his UK-based social enterprise, Social Life), focused on housing and urban regeneration, proposes four rubrics or dimensions: ‘amenities and infrastructure’ (past attempts), ‘social and cultural life’ (present experience), ‘voice and influence’ (shaping of future) and ‘change in the neighbourhood’ (impact over time) (Woodcraft, 2014). The time element (‘space for people and places to evolve’) is added to the ‘three pillars of sustainability’ or ‘triple bottom line’ identified by the UN Millennium Declaration (2000): environmental, economic and social pillars. Magee et al. (2013) reorder the heuristic as a set of four domains or social categories – economics, ecology, culture and politics – and argue that all are social conditions ‘embedded in the resilience and wellbeing of the social unit as a whole’, not externalities. By implicating each other they form a circle of social sustainability. The interactive or circle formulation is intended to help foreground social tensions among the domains, allowing them to be explicitly negotiated according to temporal (present, nearfuture, far future; or short-term versus long-term social benefits) and spatial (local, neighbourhood, city, regional) dimensions (James, 2015).

Concepts of ageing-friendly While all this is salutary as far as it goes, we will show in the two case studies that we need to go further for dense urban areas inhabited by ageing populations, and other demographic shifts such as increasing numbers in cities such as Tokyo of singles and new forms of intentional ‘families’ (residential units that differ from nuclear or multi-generation kinship-based families). Ageing populations demand more socially driven approaches in planning urban infrastructure. It is projected that senior citizens will make up 21.1 per cent of the world population by 2050 (UN, 2013), many of whom will live in cities. Not only more hard infrastructure such as healthcare, housing and transport need to be catered for, but also ‘soft infrastructure’ such as outdoor public places and social participation (WHO, 2007; Gehl, 2010). These soft infrastructures play a critical role in coping with the ageing process of the individuals, while providing a more liveable and enjoyable environment for all ages, particularly in the context of high-density living. For these purposes, we try to clarify a series of overlapping and often ambiguously used terms. First, we adopt the emerging emphasis on ‘ageing in community’ (Blanchard, 2013) rather than merely ‘ageing in place’. Second, we adopt the phase ‘ageing friendly environments’ to stress the changes that age cohorts undergo as they age, in preference to ‘agefriendly’ or ‘elder-friendly’ environments which often are more static in their projection of what senior citizens will want or need. Murata (2010) provides a useful example with the case of the Tama New Town in the hilly outskirts of Tokyo, developed as a ‘new town’ for baby boomers when they were in their twenties. Today both the residential buildings and

Dense and ageing 163

their residents have aged in ways that make the built neighbourhood less than satisfactory. In contrast, Cho and Kim (2016) provide a Korean example of a poor working-class residential area that has been spared gentrification, and yet has through various strategies managed to slowly upgrade public facilities such as outdoor railings and seating, as well as the houses themselves. We adopt the usage of Lehning et al. (2007) and Scharlach (2012) that an ageing-friendly community is one ‘where older residents can continue to engage in life-long interests and activities, enjoy opportunities to develop new interests and sources of fulfilment, and receive necessary supports and accommodations that help meet their basic needs’. We also endorse the view of the World Health Organization (2007, p. 72) that ageing friendly cities should emphasize enablement rather than just catering to disablement, and that in principle they should be friendly for all ages, not just ‘elder-friendly’. This is, of course, also the philosophy of ‘universal design’ that is slowly being incorporated into many architectural practices and building codes. A good example from Singapore is the recent introduction of a programme in the community of Yishun to train shopkeepers and other ‘eyes’ in the public to assist persons with dementia who wander into their premises, rather than shunning or shaming or hiding them. This is one of many elements of what we call the role of public spaces in ageing-friendly place-making.

Comparative study The following sections explore, through the case studies on Singapore and Japan, the role of public places particularly the collaborative, local place-making initiatives by and with the senior urbanites in high-density urban contexts. Materials are mainly drawn from literature review, site studies, qualitative interviews and sample surveys conducted in 2014–2015. The comparative study then leads to a discussion of social sustainability and our proposal of ‘ageing-friendly place-making’.

Singapore Singapore, a dense city-state, with a population of 5.5 million on 718.3km2, has a population density of 7,615 people per km2 (DOS, 2015) spreading almost homogeneously across the island. Aside from density, a key urban planning challenge is the sharp demographic age shift. The total fertility rate has been lower than the replacement rate for over 30 years, while the average life expectancy has increased from 50 (1963) to 82 (2010), fourth highest in the world (NPTD, 2013). Currently there are about 400,000 residents over 65 (10.5 per cent of the population); but some 900,000 baby boomers, born between 1947 and 1965 (NPTD 2013), began turning 65 years old in 2012. Over 25 per cent of the state’s current population will be over 65 by 2030. The shift in ratio of labour force to retirees has caused government planning to increase the population to 6.9 million, through pronatalist policies (policies promoting higher fertility), but mainly through immigration (NPTD, 2013). High-rise solutions have characterized Singapore’s centralized urban planning, supported with public transit to move people from housing to work. The Housing and Development Board (HDB) developed high-rise public housing estates, locally called HDB estates, which house about 82 per cent of the population (DOS, 2015). Housing block heights gradually increased from 12 to 15 storeys in the 1960s, to now 50 storeys at the Pinnacle at Duxton, completed in 2009.

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Singapore ageing policies While the government has consistently emphasized personal responsibility and families’ role in the care for elders in accordance with Singapore’s ‘minimalist approach to social welfare’ (Mehta and Briscoe, 2004), in fact over the past three decades inter-ministerial committees on ageing have convened to anticipate future needs and how government agencies can assist through urban infrastructure and social programmes (Chong et al., 2015a). The 1999 InterMinisterial Committee (IMC) Report called for collective efforts from each level of the society, including government, in realizing the vision of ‘Successful Ageing’ (IMC, 1999, p. 10). The Eldercare Master Plan 2001–2005, released in 2001 by Ministry of Community Development and Sports (MCDS), proposed community-based elder facilities be ‘planned and built as an infrastructure that is required for the community’ (MCDS, 2001, p. 15). The 2006 Committee on Ageing Issues (CAI) identified four strategic thrusts: housing, accessibility, healthcare and eldercare, and opportunities (CAI, 2006). The Ministerial Committee on Ageing (MCA) in 2007 added ‘participation’ as a key pillar of the ageing policy framework. The Committee on Ageing Issues (CAI), for example, called for more public places within housing estates and neighbourhood parks for seniors, in order to promote healthy, active living and social life. The committee also suggested the HDB and National Parks Board (NParks) work with Town Councils and grassroots organizations including the People’s Association and Resident Committees to promote ground-up initiatives, such as allowing residents to ‘own’ small plots of land for gardening and utilizing HDB ‘void deck’ space for senior activities (CAI, 2006, pp. 55–60). These ‘void decks’ are ground floor areas that are often intentionally left empty, but are considered important common areas for social activities in public housing. The idea was introduced in the 1970s to serve both relatively permanent uses (kindergartens, childcare centres, small commercial kiosks) and temporary ones (weddings, funerals, celebrations, casual gatherings, sitting). Void decks function as lobby lounges to enhance the sense of belonging to communities, or as spaces for events organized by the Residents’ Committees. In this section we examine several approaches of ‘ageing-friendly place-making’ that have taken place in Singapore in response to the high-dense, high-rise urban environment. Through various examples, we can observe the negotiation between the highly regulated land use planning and the diversity of community interests, as well as the collaborative efforts by these organizations and the community themselves.

Adding fitness corners and playgrounds To encourage seniors to participate more actively in sports and other community-centred activities, more senior citizens’ fitness corners and age-friendly playgrounds equipped with elder-friendly exercise equipment have been installed in various open spaces across the island, both within HDB estates and in parks and green spaces (Figure 10.1a) for seniors to exercise with their families and within the community, encouraging intergenerational bonding.

Formalizing underutilized void decks More open public areas have been made available within high-rise housing estates for seniors to interact and socialize. Even in the absence of formal activities, one can typically

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observe the seniors congregating in these spaces to socialize and take advantage of the shelter and seating provided. In response to the observed spatial practices of the elderly in using and appropriating these empty spaces (Chong and Cho, 2014), many void decks have been formalized and converted into ‘Senior Citizens’ Corner’ since the 1990s. These dedicated corners often come with standardized design – fixed concrete tables and steel chairs to prevent theft or vandalism, simple pantry with sink, storeroom with locks, and sometimes the space is surrounded by grille for additional security. Some are locked and were only accessible during certain hours. Nevertheless, some of them became popular when the senior communities were able to take control and re-appropriate these places. A few sites that we have identified were even initiated by the seniors themselves, who furnished the void deck with unwanted furniture, toys, paintings, exercise equipment, etc. entirely by themselves, only to be formalized as a Senior Citizens’ Corner later (Figure 10.1b). The success of the Senior Citizens’ Corners thus depends on the community themselves beyond the provision of infrastructure.

Converting open spaces to community gardens Since 1999 when Kampung Senang Organic Farm self-initiated the first community garden in Tampines (CAI, 2006), there has been a rising demand by senior residents to convert open spaces in HDB estates to gardening space. To accommodate the emerging needs yet within an institutionalized framework, NParks introduced the ‘Community in Bloom’ programme to offer a consultative approach to the residents, to enable them to set up community gardens.1 To date, over 600 community gardens have been started, with some 20,000 residents taking up gardening within their housing estates (Leong, 2013). Some community gardens became more successful than the others (Figure 10.1c), depending on whether a balance between exclusivity (to fence up to safeguard the plants) and inclusivity (to allow as many people as possible to enjoy the garden) could be achieved.

Introducing high-level public places Since 1990s, new HDB estates have been planned with higher density to accommodate population growth.2 Provision of public places in these estates thus called for different approaches. The ‘Multi-Storey Car Park’ (MSCP) was first introduced in 1980s to increase parking while conserving surface use.3 However, it also increases density, and only after several iterations was the potential of MSCP rooftops realized as public places. Since 2005, housing blocks have been planned around the MSCPs; and their rooftop gardens have been serving as new ‘Environmental Decks’ (E-deck) integrating and linking blocks (Figure 10.1d). This new high-level ground provides additional public places that are barrier-free and safe from vehicles. Many common facilities such as elderly exercise corners, landscape parks and community gardens are now located on these E-decks.

Collaborative place-making with senior communities With better education as well as more exposure to information and diversified access, the public begins to demand more involvement in decision-making and community planning. When it comes to planning of facilities for seniors, competition for space can create NIMBY (not-in-my-backyard) syndrome. In one case, opposition to a nursing home facility

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Figure 10.1 Formalization of underutilized pocket spaces within HDB estates to create ageing-friendly public places: top-left, a) Senior Citizens’ Fitness Corner; top-right, b) Senior Citizens’ Corner at void deck; bottom-left, c) community garden; bottom-right, d) Environmental Deck at rooftop of multi-storey car park. Source: authors.

transformed the design into a community-friendly building with green hanging garden facades. ‘Participation’ and ‘Inclusive Environment’ have thus become the recent key drivers when dealing with urban development. Residents are now consulted before improvements and place-making efforts are implemented at block-level (such as seating area, lift lobby and residents’ corner) and at neighbourhood-level (such as drop-off porch, playground, fitness corner and pavilion). Much of the participatory processes in community space planning take place in public forums such as Town Hall Meetings, dialogue sessions, block parties, mini-exhibitions and surveys organized by the authorities or town councils.4 On the other hand, some of these participatory co-design initiatives do not necessarily come from the government. An example is NTUC SilverCOVE Senior Activity Centre,5 where its design and programmes were results of participatory approach initiated by the designers together with the service provider. Senior Activity Centres (SACs) are integrated social service centres usually located at the void decks of high-rise HDB blocks where many seniors reside to help them maintain good health and strengthen their social networks (NCSS, 2016). In the case of SilverCOVE, a participatory workshop was conducted by the designers with the recently moved-in residents before the design of the centre actually commenced (Figure 10.2). The venue of the workshop was at the actual site of the new SAC underneath

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Figure 10.2 SilverCOVE Senior Activity Centre: (top) participatory workshop with senior residents; (bottom from left to right) completed design with open community lounge, modular medical hub, reading corner, herb garden facade. Source: authors.

their apartments, which allowed the residents to physically feel and visualize how this place could be. The workshop gathered the residents’ inputs on programmes, spatial requirements and design preferences for the SAC. These suggestions, ideas and desires, together with service provider requirements, helped to inform and shape the design. The final design of SilverCOVE departs from earlier SAC typology: it focuses more on the ambience (rather than functions), gives the elderly residents more freedom as well as empowers them to choose what they want to do in each space. With a modular room concept, adjustable partitions and mobile furniture design, these spaces are interchangeable to accommodate a variety of programmes (Figure 10.2). Post-occupancy survey has shown that this new eldercare typology and participatory co-design process foster a sense of ownership among the residents. The project has since become a precedent for public place design in future senior resident buildings.

Japan In 2014, 93 per cent of Japan’s population was urban (World Bank, 2016), urban density averaged 4,700 people per km2. Tokyo – with 32 million people or 38 per cent of Japan’s population – has a density of about 5,700 people per km2 (World Bank, 2015). Within Tokyo itself, urban density varies by district, either high-rise (e.g. Shinjuku district) or low-rise (e.g. Bunkyo district).6 In 1960, the Population Census of Japan introduced the term ‘Densely

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Inhabited District’ (DID),7 and counted 43.7 per cent of the nation’s population in DIDs on just 1.03 per cent of the land. In 2005, these figures had increased to 66 per cent of the population on 3.32 per cent of the land (Brumann and Schulz, 2012). Like Singapore, Japan urbanized rapidly after the Second World War, when it lost 4.2 million housing units. In 1955 the Japan Housing Corporation (JHC) was established to systematically plan and develop public housing nationwide along with community facilities, shops, schools, parks, hiroba (open space or plaza) and streets, adopting Western urban concepts such as ‘neighbourhood units’ and ‘pedestrian networks’. As in Singapore, housing estates became leading developments. They provided relatively good living environments during the high economic growth period of 1960s and 1970s (Fujii, 2015). One public rental housing type, called danchi, accommodated collective, affordable living. From a predominantly low-rise city (average 1.6 storeys in the 1960s), by the 1980s Tokyo had become a conglomeration of low-, mid- and high-rise structures. By the late 1990s, remnants of the older Tokyo in central wards had become increasingly isolated and even threatened pockets within the new metropolis (Waswo, 2013). In addition to urban density, Japan is the world’s most aged country with 30.79 million people over 65, or 24.1 per cent of the population, and is projected to be 39.9 per cent by 2060 due to the low fertility rate (UN, 2013). Some 40 per cent of households currently contain elderly people, the majority of which are households with an elderly person living alone or as a couple (Japanese Cabinet Office, 2013). Japan has taken a nationwide top-down approach with a number of measures to address various ageing issues.8 Japan’s city with the highest number of seniors, Akita, has become a member of WHO’s Global Network of AgeFriendly Cities (WHO, 2016). As in Singapore, various approaches to improve public spaces are carried out either by the authorities or the community. In Tokyo, we have also observed place-making initiatives by seniors. The low-rise, high-density and small-scale context intensifies the negotiation between public and private realms, but also challenges the people to work more collaboratively.

Revitalizing matured housing estates The JHC became the Urban Renaissance Agency (UR) in 2004, with a new mission to revitalize public housing including creating new landscaped community public spaces (UR, 2016). Many UR properties have not been densely developed; so can accommodate more buildings (Fujii, 2015).9 Takeda (2012) found that the creation of varied functional spaces in larger open spaces, including parks around the housing blocks and green walking trails, attract more older people to use them for daily activities. He recommends transforming hiroba into social places for multi-generational exchange, and proposes to build a system engaging senior volunteers in daily maintenance of the estates, which could lead to new ways of using these open spaces.

Reclaiming public roads into hokoten In Japan, ‘pedestrian zones’ or car-free zones are called hokousha tengoku (literally ‘pedestrian paradise’), or hokoten for short. They are truly havens for pedestrians. The streets are closed to car and sometimes bicycle traffic usually on specific weekends and at specific times, so that people can enjoy safer walking on the road, shopping, watching street performances

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and socializing, which in turn are expected to boost the number of visitors, shoppers and commercial activities. Pedestrianization of public roads has become particularly popular to cater for seniors and the rising need for more public space in the high-dense city. The first hokoten was formally organized in Ginza, Tokyo in 1970, as a response to surge in traffic accidents and environmental issues during the period of high economic growth and rapid increase in car ownership (Metropolitan Police Department, 2016). Since then, hokoten have been designated in many modern shopping districts as well as traditional shopping streets, or shotengai, in Tokyo and other cities. We look at two cases of shotengai in Tokyo – Sugamo and Togoshiginza. Sugamo evolved over generations around the Koganji temple, a popular destination that draws some 20,000 visitors (mostly elderly women) daily. On the other hand, Togoshiginza, one of the longest shotengai in Japan (1.6 km), is known for traditional food and dining culture. These shotengai consist of three- to four-storey shops and houses lining up on both side of the streets, providing a human-scale, fine-grained streetscape enjoyed by pedestrians. Self-organized business communities have formed in both shotengai and they have regularly updated websites.10 They have renovated the streets to level the sidewalks with the streets to create a barrier-free environment, safer for seniors especially those in wheelchairs. They work with the local police to ban car access during designated hours,11 and organize festivals throughout the year. Many seniors live in the shotengai, run the shops and serve the other seniors – a ‘seniors-serve-seniors’ business model. In fact, Sugamo is well known for being ‘Harajuku for grandmas’ (Heine, 2008, p. 94).12 Togoshiginza is seen to cater to seniors, and also teenagers and young families with small children.13

Appropriating open spaces and gaps between buildings Our field surveys uncovered several ageing-friendly place-making initiatives in the two shotengai, undertaken with or by the elderly. In both sites, pockets of vacant spaces have been turned into resting social places or playgrounds, with seats and landscaped gardens for the public. At Sugamo, there are innovative bollards designed as seats at the plaza that was converted from an unused crossing (Figure 10.3a). Benches form a circle making an inviting public area in front of Koganji temple. Other clusters of chairs along the main street are set up by some shop owners. Our interviews revealed that the business community and senior residents set up most of these places. In Togoshiginza, many roadside-dining spaces can also be observed, set up by trans-generational family restaurants (Figure 10.3b). In both shotengai, almost all of the interview respondents said that they want to continue to live, work or visit there (To and Chong, 2014). In Togoshiginza, a particularly interesting approach to optimize space usage in highdensity context is the utilization of gaps between buildings. These gaps were planned and built to comply with Japan’s fire protection code. The widths vary, from a narrow 15 cm to as wide as 2 m (To and Chong, 2014). As the width of the gap expands, many creative ways of appropriation by the residents also increases accordingly (Figure 10.4).

Transforming Roji into shared community event-space Yanaka, Nezu and Sendagi (collectively known as ‘Yanesen’, combining the first syllable of each name) are adjacent neighbourhoods in Bunkyo district filled with high-density but

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Figure 10.3 Appropriating open spaces and reclaiming public streets to create ageing-friendly public places in Tokyo: top-left, a) resting place aside Sugamo shotengai’s entrance; top-right, b) pedestrianisation with roadside-dining at Togoshiginza; bottom-left, c) a roji in Yanaka; bottom-right, d): small street becomes car-free for both ways from 7:30am to 9am daily; and on sundays, a flea market pops up as seen in the backdrop. Source: authors.

low-rise traditional Shitamachi (literally Low Town) in Tokyo. The largely densely built twoto three-storey houses were blended in a network of shotengai, narrow public streets and roji (alleyway), small plot size yet ubiquitous greenery and open spaces, with numerous old but popular temples. According to Muminovic (2014), Yanesen can be an example of an intensity of ‘smallness’, a unique quality of urban character in Tokyo across different scales (from architectural details to entire neighbourhoods), inherited from its historical urban fabric. Public and private spheres of the houses, streets and alleys overlap (Figure 10.3c). Furthermore, our field surveys have witnessed a number of traffic management signs in different parts of Yanesen, which primarily limit car access during specific days and/or specific hours or permanently, and for one-way or both (Figure 10.3d). These car-free initiatives have provided safer environments for pedestrians and other pop-up civic activities such as roadside flea markets and children football playing on the street. In Yanaka, an active community movement involving many elderly residents has improved small and local streets by celebrating them as a ‘historic inheritance’ and re-designating them as civic spaces. They proclaim the rights to participate in urban change by shaping a

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Figure 10.4 Appropriating gaps between buildings along Togoshiginza shotengai. Source: authors.

common vision of the meaning, governance and future of these shared spaces, creating a neighbourhood constitution, organizing art events and festivals, engaging new participants in shared property rights, proposing new criteria for assessing urban change, telling diverse narratives and experiences, and publishing them in a popular local magazine called Yanesen. As public streets and numerous roji are very narrow, and many roji and gathering places are on private land with customary shared usage, demarcation between public and private spaces has been blurred (Figure 10.3d). Well-publicized maps and tours of historical assets in the community serve as an education tool about community interests and rights over those shared spaces. The movement together with many initiatives has been a symbolic yet politically powerful strategy (Sorensen, 2009). The emerging practice of strong community governance of ‘shared private spaces’ in Japan suggests that a united local community can have a strong voice in decision-making processes at their locality. In Sugamo and Togoshiginza, we also observed that many shops and eateries expand their service areas into the side roji. Besides optimizing the space between buildings and enhancing the connection between main street and roji, this also invites visitors and residents to socialize in these spaces.

Discussion In both Singapore and Japan, we have noted various initiatives to create new ageing-friendly public places. In Singapore this is done through creative use of void decks – senior fitness corners, Senior Citizens’ Corners and Senior Activity Centres – and as housing estates and

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car-parks increased in density and height, a new typology of E-deck was introduced. A participatory approach in designing these public places with the communities of seniors has recently started, such as in the case of SilverCOVE SAC. In Japan, we see ageing-friendly public places designed both by the UR, and by senior residents taking their own initiatives: turning public streets and traditional shopping streets shotengai into pedestrians’ hokoten, networks of lanes and alleys roji into shared community event-spaces, open spaces and gaps between buildings into enjoyable social places. These improvements are local, ground-up and small-scale, yet have great impacts on the social living environments. To discuss the social sustainability of these government-led public place implementations and ground-up place-making initiatives, we build on three common dimensions shared among the social sustainability frameworks by Woodcraft (2014), Magee et al. (2013) and James (2015) – physical and temporal dimensions, and voice of the community.

Physical dimension The physical dimension should involve integration with social design. In Singapore, the introduction of new public places such as community gardens or Senior Citizens’ Corners was a response to existing lifestyle pattern of the seniors. Rather than wholesale redevelopment, it proceeds as a kind of ‘urban acupuncture’, stimulating the community nervous system to become healthier. The layout, height and accessibility of the E-deck have gone through several design iterations, in order to find better connectivity with the everyday lifestyles of residents. In Japan, the context of low-rise housing facilitates a blurring of boundaries between public and private lands. Spaces become more shareable than in high-rise building contexts where walls make such sharing more difficult. To achieve more ageing-friendly designs, more prototyping with seniors and other residents could make these places more adaptable (e.g. reconfigurable furniture to suit different needs at different time),14 and more variety (from formal set-up to informal occupation),15 to cater for the diverse interests enjoyed by different communities across ages (Chong et al., 2014).

Temporal dimension Sustainability is about ensuring future needs and growth. As such, the temporal dimension of these public places cannot be ignored. The design should allow space for the community to evolve, and allow different functions through negotiation of social goals. For example, the success of the Senior Citizens’ Corners in Singapore or the creative use of gaps or vacant lands between buildings in Tokyo depend on the extent the community can appropriate these spaces themselves, and determine how and when they want to use them. Here, constant negotiation is important, especially when there is more than one community accessing the public place. The time-based pedestrianization of shotengai in Tokyo provides an example. We also need to strike a balance between exclusivity and inclusivity, so that while more people should be able to access and enjoy the public place, we can still promote a sense of ownership in some of the residents to really take care of the place and ensure its sustainability, as seen in the community gardens, some Senior Citizens Corners at void decks and Silver COVE SAC in Singapore. Therefore, planning should take a more incremental approach in this respect, to empower the community to co-own and co-develop the place, and to allow negotiations between different groups to achieve different goals when consensuses are made.

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Voice of the community In both Japan and Singapore, we witness a rising trend in citizen participation in planning and urban design, more so in Japan than Singapore. The younger generation of senior citizens, being more educated, wealthier, healthier and more active than the earlier generations, is also more vocal in how they would like their environment to be. Yanaka in Japan is a good example of how the senior community celebrated the historic district through various ground-up movements, improved the local streets through shared resources such as the emerging practice of ‘shared private lands’. It requires strong community governance, building on a heightened awareness of ‘rights to the city’ (Harvey, 2003). Various examples of place-making initiative in Japan show a strong bottom-up processes with support from local authorities; while in Singapore, many of such initiatives have been ‘reactive’ responses to organically formed public life, or top-down implementation with public consultation. Public engagement of seniors in Singapore has only begun to take place recently, mostly through exhibitions and focus groups, but it certainly points towards a direction that is more inclusive. Clearly, the local cultural and political contexts have to be taken into account in formulating participatory strategies to include the voice of the community. Through the case studies in Singapore and Japan, we have examined how public places have been developed or redeveloped in response to the ageing trend and within the high-density urban environment. Despite two different local contexts, we could see common threads in terms of social-spatial integration, creative appropriation, temporal negotiation and community participation. The lessons learned from the two cases, we believe, could be applicable in other high-density urban contexts facing similar issues of population ageing to achieve a more socially sustainable development through the process of what we call ‘ageing-friendly place-making’.

Notes 1 Community gardens are usually located on unused land next to HDB blocks or within public spaces after consultation with various stakeholders including the Town Council and Citizens’ Consultative Committee. The Residents’ Committees usually manage them. 2 For example, Sengkang and Punggol New Towns were planned with gross plot ratios of 3.0 to 3.4 persons as compared to the previous 2.8 (URA, 2008). 3 Such high-rise, high-density infrastructure only gradually became acceptable in mid-1990s, when residents felt that MSCP was safe and affordable to use (The Straits Times, 13 Jan 1995, p. 29). 4 www.hdb.gov.sg/fi10/fi10328p.nsf/w/UpgradeWhatsNRP?OpenDocument. 5 SilverCOVE is a subsidiary of NTUC Health. Its first centre was conceptualized and designed by COLOURS: Collectively Ours, a design consultancy specializing in collaborative place-making. 6 Population density (people per km2) in 2010 by Japan Area Ranking List: Shijuku district: 17,899.6; Bunkyo district: 18,269.3. 7 Densely Inhabited District is defined as groups of contiguous enumeration districts, each of which has a population density of 4,000 inhabitants or more per km2, and whose total population is 5,000 or more. 8 The fundamental framework of those measures is based on the ‘Aged Society Basic Law’ – Act No.129 (1995) – which comprises six fundamental principles: (1) change of awareness on ‘elderly people’, (2) establishment of social security system to secure peace of mind in people’s old age, (3) utilization of the elderly’s will and capability, (4) strengthening regional power and realization of stable regional society, (5) realization of safe and peaceful living environment, and (6) preparation for ‘90-year-aged human life’ from the younger time and realization of generation circulation (Japanese Cabinet Office, 2013). Japan has also promoted more employment, social activities

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9 10 11

12 13 14

15

(voluntary work) and continual learning opportunities suitable for the elderly (Japanese Cabinet Office, 2012). It is also more efficient and economical to build them on UR’s land as the land costs are relatively inexpensive and sometimes even free. www.sugamo.co.jp; www.togoshiginza.co.jp. Sugamo is pedestrianized during specific hours: 7:30–9am and 3–6pm on weekdays, and 12–6pm for weekends and holidays, except the 4th, 14th and 24th of each month with a separate timing. Togoshiginza is catered for pedestrians specifically at 3–6pm on weekdays and at 2–7pm on weekends and holidays. Harajuku is a famous pedestrian shopping street in Tokyo especially attractive to teenagers. For instance, on a weekday afternoon, based on pedestrian count of 15min interval (4:45pm–5pm), it was interesting to observe that majority of the pedestrian were in fact non-seniors (27 seniors compared to 402 non-seniors). While they provide ample seating with clean and neat environment, it was observed that the formalized Senior Citizens’ Corner with fixed layout were usually difficult to use, impossible to move or rearrange such that there are often more elderly sitting on their own chairs, in more private corners between building blocks, sheltered walkway, or in the shades under the trees. Surveys and research have revealed diverse preferences and needs among seniors with varied genders, age groups, ethnicities, educational attainments, health conditions, income levels, etc. As a result, seniors tend to perceive and use spaces and services differently. Senior Activity Centres, for example, attract more female than male based on author’s survey (Chong et al., 2015b).

References Blanchard, A. (ed.) (2013) Aging in Community, Second Journey, Chapel Hill, NC Brumann, C. and Schulz, E. (eds) (2012) Urban Spaces in Japan: Cultural and Social Perspectives, Routledge, London Cho, M. and Kim, J. (2016) ‘Seoul: Coupling urban regeneration with age-friendliness: The Neighbourhood Regeneration Project in Jangsu’, Creative Ageing Cities Symposium, SUTD-MIT International Design Centre Summit, Singapore Chong, K.H. and Cho, M. (2014) ‘Appropriating traditions in contested space: Creative place making by elderly’, International Association for the Studies of Traditional Environments (IASTE) Working Paper Series, vol. 261, pp. 40–63 Chong, K.H., Jia, Z., Loo, D. and Cho, M. (2014) ‘Singapore housing and public space for elderly’, Beyond Globalization: Remaking Housing Policy in a Complex World, European Network for Housing Research (ENHR), Edinburgh Chong, K.H., Jia, Z., Loo, D. and Cho, M. (2015a) ‘Successful aging in high-density city state: A review of Singapore’s aging policies and urban initiatives’, in Francis G. Caro and Kelly Fitzgerald (eds), International Perspectives on Age-Friendly Cities, Routledge, New York and London Chong, K.H., Yow, W.Q., Loo, D. and Patrycia, F. (2015b) ‘Psychosocial well-being of the elderly and their perception of matured estate in Singapore’, Journal of Housing For the Elderly, vol. 29, no. 3, pp. 259–297 Committee on Ageing Issues (CAI) (2006) Report on the Ageing Population, Ministry of Community Development, Youth and Sports (MCYS), Singapore Department of Statistic (DOS) (2015) Yearbook of Statistics Singapore 2015, Ministry of Trade and Industry, Singapore Fujii, S. (2015) ‘Revitalization of public housing to create care bases for senior citizens’, USJI Voice, vol. 5, pp. 1–4 Gehl, J. (2010) Cities for People, Island Press, Washington, DC Harvey, D. (2003) ‘Debates and developments – The right to the city’, International Journal of Urban and Regional Research, vol. 27, no. 4, pp. 939–941

Dense and ageing 175 Heine, S. (2008) Zen Skin, Zen Marrow: Will the Real Zen Buddhism Please Stand Up? Oxford University Press, Oxford Inter-Ministerial Committee on the Ageing Population (IMC) (1999) Report of the Inter-Ministerial Committee on the Ageing Population, IMC Workgroup on Cohesion and Conflict in an Ageing Society, Singapore James, P. (2015) Urban Sustainability in Theory and Practice: Circle of Sustainability, Routledge, Abingdon and New York Japan Area Ranking List (Nihon-Chiiki Banzuke) (2010) http://area-info.jpn.org/to21010006130001. html Japanese Cabinet Office (2012) ‘Section 4: Creating an environment in which elderly persons can thrive’, The Aging Society Annual Report, Tokyo Japanese Cabinet Office (2013) The Aging Society Annual Report, Tokyo Lehning, A., Chun, Y. and Scharlach, A. (2007). ‘Structural barriers to developing “aging-friendly” communities’, Public Policy and Aging Report, vol. 17, pp. 15–20 Leong, C.C. (2013) ‘Community in Bloom: Giving citizen gardeners room to grow’, Urban Solutions, Issue 3, Centre for Liveable Cities, Inter-Ministerial Committee on Sustainable Development, Singapore Magee, L., Scerri, A., James, P., Thom, J.A., Padgham, L., Hickmott, S. et al. (2013) ‘Reframing social sustainability reporting: Towards an engaged approach’, Environment, Development and Sustainability, vol. 15, pp. 225–243 Mehta, K.K. and Briscoe, C. (2004) ‘National policy approaches to social care for elderly people in United Kingdom and Singapore 1945–2002’, Journal of Aging and Social Policy, vol. 16, no. 1, pp. 89–112 Metropolitan Police Department, Japan (2016) www.keishicho.metro.tokyo.jp/kotu/kisei/hoko.htm Ministry of Community Development and Sports (MCDS) (2001) Eldercare Master Plan (FY2001 to FY2005), Singapore Muminovic, M. (2014) ‘The intensity of smallness and urban character. The case studies of Yanesen and Jiyugaoka precincts in Tokyo’, in Oliveira, V., Pinho, P., Batista, L. and Patatas, T. (eds), Our Common Future in Urban Morphology, FEUP, Porto Murata, H. (2010) ‘From “age-friendly” cities to “aging-friendly” cities: Japanese experience’, Agefriendly Cities With Cooperation and Participation Regional Conference, Hong Kong National Council for Social Services (NCSS) (2016) ‘Eldercare Services’, www.ncss.gov.sg/social_ service/eldercare_services.asp National Population and Talent Division (NPTD) (2013) A Sustainable Population for a Dynamic Singapore, Population White Paper, Singapore Scharlach, A. (2012) ‘Creating aging-friendly communities in the United States’, Ageing International, vol. 37, pp. 25–38 Sorensen A. (2009) ‘Neighborhood streets as meaningful spaces: Claiming rights to shared spaces in Tokyo’, City and Society, vol. 21, no. 2, pp. 207–229 Takeda S. (2012) ‘Study on revitalization of housing complexes through utilization of open spaces based on residents’ activities’, 2nd International Conference on Archi-Cultural Translations through the Silk Road, Mukogawa Women’s University, Nishinomiya, Japan To, K. and Chong, K.H. (2014) ‘Traditional shopping streets in Tokyo: Physical and social dimensions of creative place making by the elderly’, Great Asian Street Symposium, National University of Singapore, Singapore, pp. 144–152 United Nations (UN), Department of Economic and Social Affairs, Population Division (2013) World Population Ageing 2013, UN, New York Urban Redevelopment Authority (URA) (2008) Master Plan 2008, Singapore Urban Renaissance Agency (UR) (2016) Homepage, www.ur-net.go.jp/profile/english/kiseki/index. html Waswo, A. (2013) Housing in Postwar Japan: A Social History, Routledge, London and New York

176 Chong, To and Fischer Woodcraft, S., with Hackett, T. and Caistor-Arendar, L. (2012) Design for Social Sustainability, Social Life, London Woodcraft, S. (2014) ‘Understanding and measuring social sustainability’, Journal of Urban Regeneration and Renewal, vol. 8, no. 2, pp. 133–144 World Bank (2015) East Asia’s Changing Urban Landscape: Measuring a Decade of Spatial Growth, World Bank Publications, Washington, DC World Bank (2016) ‘Urban Population’, http://data.worldbank.org/indicator/SP.URB.TOTL.IN.ZS World Health Organization (WHO) (2007) Global Age-friendly Cities: A Guide, Geneva, WHO World Health Organization (WHO) (2016) ‘Age-friendly city Akita’, https://extranet.who.int/age friendlyworld/network/akita-2/

Chapter 11

Creating green space in the compact city A Swedish perspective on a global issue Walker Wells, Tigran Haas and Hélène Littke Wells, Haas and Littke

Summary Replete with large and small parks and green spaces, swimming piers, waterfront promenades and woodsy natural areas, all directly adjacent to urban neighbourhoods, contemporary Stockholm offers a narrative spanning more than a thousand years of the complex dynamic between the application of density as a primary growth management strategy, while providing the diversity of green spaces needed to create a truly sustainable urban form. The ongoing revitalization of Stockholm’s inner core, based on a ‘city building’ policy to expand the dense, walkable, mixed-use urban form of older neighbourhoods into former industrial areas and low-density inner ring suburbs, is putting severe pressure on remaining green spaces. What can we learn from a city that is world-renowned for its green values and focus on sustainability in regard to the allocation, distribution and function of green space? As new waves of city building or densification occurs, what strategies are being used to preserve existing and create new types of green urban spaces so Stockholm can continue to evolve as a global leader in urban sustainability?

Introduction Contemporary Stockholm offers a narrative spanning more than a thousand years of the complex dynamic between the application of density as a primary growth management strategy, while providing the diversity of green spaces needed to create a truly sustainable urban form. Contemporary Stockholm is experienced as a city replete with large and small parks and green spaces, swimming piers, waterfront promenades and woodsy natural areas, all directly adjacent to urban neighbourhoods. It is both compact, with a population density of 3300 persons/km2, and exceptionally green, with over 70 per cent of the land area exhibiting some type of vegetation. Ninety per cent of the population lives within 300 metres of a green space, with the amount of space varying from approximately 5 m2/person in the city centre to more than 50 m2/person in the periphery (Spacescape.se, 2010). This condition results from a combination of serendipity and intention, stemming from the City’s geomorphology, historic land holdings by the Crown and Church of Sweden, an early embrace of modernist ideas related to sanitation, public health and access to light and air, a political emphasis of maintaining a high level of public land ownership, recent planning and development policies that emphasizes density and urbanism, successful advocacy and, more recently, local politicians embracing sustainability as a way to distinguish Stockholm among other cities in Europe and internationally.

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Maintaining the current volume of open space is increasingly a challenge. The ongoing revitalization of Stockholm’s inner core based on a ‘city building’ policy established in the 1980s, to expand the dense, walkable, mixed-use urban form of older neighbourhoods into former industrial areas and low-density inner-ring suburbs, is putting severe pressure on remaining green spaces. The Green Walkable City, a strategic green space plan that links to the Stockholm comprehensive plan, demonstrates that 1.5–2 per cent of the city’s urban green space has been developed during the last 15 years (Stockholm.se, 2015). This decrease in the quantity of green space is often justified by an increase in the quality, through integrated planning, a focus on ecosystem services, and higher levels of maintenance (Littke, 2015). What can we learn from a city that is world-renowned for its green values and focus on sustainability in regard to the allocation, distribution and function of green space? As new waves of city building or densification occurs, what strategies are being used to preserve existing and create new types of green urban spaces so Stockholm can continue to evolve as a global leader in urban sustainability?

A green city emerges From the early days of settlement, Stockholm’s location on a series of islands placed at the convergence of a large freshwater lake and the Baltic Sea created in a unique and dramatic relationship between the built form, open space and nature. However, it was not until well into the development of the city that green space was intentionally introduced in the planning and building of neighbourhoods. The oldest part of the city, Gamla Stan or Old Town, features the narrow winding streets and dense development that is typical of many medieval European cities. The few open spaces are market squares or gathering spaces around churches or municipal buildings. In the 1700s, a formal plaza and courtyard were introduced during reconstruction of the royal palace, but these areas were not accessible to commoners. The Gamla Stan waterfront, now largely accessible and a fundamental part of the city’s open space network, was a gritty industrial area used to load and unload goods and to dispose of waste. Setting aside open spaces for recreation, health or aesthetic purposes remained a minor factor as Stockholm expanded to the north and south, to Norrmalm and Södermalm, from the early 1800s to 1920s. During this period a uniform, rectilinear street grid was established with areas, mostly on the periphery, set aside for green space. The typical development pattern during this period was five- to seven-storey buildings that enclosed full city blocks. The inner plazas or gardens of these housing blocks provided limited green space for the residents, along with meeting more practical concerns such as stabling animals, trash incineration, drying laundry and storage of wood for heating. Public green space allocation was limited and occurred in response to challenging topographic features or to meet functional needs. The steep granite palisades of Södermalm were effectively unbuildable and today maintain a natural-like quality and offer spectacular views of the city. Other open spaces were established in conjunction with church construction, primarily as cemeteries. These green spaces were often the only break in the continuous line of building facades (Nilsson, 2006). The main historical force behind the large amount of green space in contemporary Stockholm is the Crown. These include Humlegården and Gärdet in Östermalm, and Haga and Ulriksdal on Norrmalm. Starting in the mid-1800s, these areas were opened as public parks, providing access to green space in some of the most densely developed areas of the city (Figure 11.1). The legacy of royal land ownership also enabled the protection of ‘green wedges’, which extend from the urban core outward for 15–40 miles into forest, agricultural,

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Figure 11.1 ‘Green wedges’ extend from the urban core outward for 15–40 miles.

or cultural reserves (Popenoe, 2000) and continues to the present, with the 1995 establishment of the Royal National City Park in central Stockholm. Starting in early 1930s with the incorporation of health concerns into modern architecture, neighbourhood planning shifted away from enclosed city blocks and towards compositions of thin buildings, often arranged in response to the surrounding topography (Deland, 2006). Green spaces around and among the buildings were considered essential aspects of neighbourhoods. Standards related to green space allocation, or limits to the amount of land area that could be covered by buildings, began to be formalized. This ethos, of balancing development with open space, continued as the city expanded outward. This period also saw the initiation of a multifunctional approach to urban green space. Starting in the 1940s, the Stockholm City Gardener, Holger Blom, recognized the recreational, health, ecological, architectural and cultural aspects of urban green space and shifted the focus of park planning towards functionalistic objectives of providing fresh air and public accessibility (Lövrie, 2003).

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With the introduction of the subway in the 1960s, greater Stockholm embarked on an ambitious plan to manage growth by creating a series of compact residential communities. Each featured some type of central shopping area with a grocery store, restaurants, other retail shops and various services clustered around a subway stop. In many locations it was possible to generate real-estate values that could support construction of up to ten-storey residential towers near the station, surrounded by three- to five-storey apartments and townhouses. Building at this density made it possible to integrate relatively large natural and green spaces into the neighbourhoods and preserve forested areas and agricultural land between these clusters of development. In the late 1970s, the focus of planning shifted towards revitalization of the decaying inner core. It was also a time of renewed interest in historic neighbourhoods and city life. The planning response was a return to the creation of enclosed city blocks with internal courtyards, but now influenced by the modernist priorities of incorporating access to light, fresh air and green space. A new generation of urban infill projects seeking to address the dynamic between density and green space arose (Nilsson, 2006). South Station is one of the first developments to follow this pattern. Built in the late 1980s above a rail corridor, the post-modernist plan features a pattern of partially closed city blocks, a formal allé serving as an axial organizing feature, several small public parks and a large park that incorporates elements of renaissance design. The purpose of the green areas is aesthetic, recreation or mobility. While seen as a fairly successful example of ‘city building’ through densifying and expanding urban character, the focus is clearly on formal urban design considerations rather than ecological concerns. A major outcome of the 992 Rio Earth Summit was the application of sustainability to urban development. Sustainability is a complex and often elusive term that draws on at least five intellectual traditions: capacity, fitness, resilience, diversity and balance (Neuman, 2005). Sustainable urbanism (Farr, 2008) applies these concepts in an interdisciplinary approach to urban planning and urban design for contemporary cities, neighbourhoods and settlements, often with ecological and green connotations (Marcus et al., 2013). Through several landmark projects, including the internationally recognized Hammarby Sjöstad, Sweden has advanced its own, rather original, approach to sustainable urbanism (Tsenkova and Haas, 2013). The plan for Hammarby Sjöstad extended the urban character of Södermalm south across Årstaviken waterway to create several new neighbourhoods fronting onto a former industrial harbour. A main impetus for integrating urban ecology, natural systems, clean transportation and energy efficiency into the plan was that the Hammarby area was the proposed location for the athlete village in Stockholm’s bid for the 2004 Olympics. The overall open space objective for Hammarby Sjöstad was to create a sequence of linked green spaces with various aesthetic, recreational, functional (primarily water management) and ecological purposes. Among the guiding principles were that residential open spaces should be available within 50–300 metres from homes, be sunlit, have a good microclimate, and be designed for play, relaxation and socializing. An open space standard was adopted of 50 m2/apartment when the development density reached one apartment per each 25 m2 of land area (Detaljplan for Sikla Kaj, 1999). Setting this performance standard for the area of green space enabled the designers to determine what areas were best suited for parks and other public uses, what natural or ecological functions could be allocated to the remaining spaces, and what spaces could be multifunctional, particularly drainage channels and the waterfront (Figure 11.2). The careful integration of buildings, open spaces, infrastructure

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Figure 11.2 Hammarby Sjöstad integrates natural functions such as wetlands into the urban form.

and natural systems led Hammarby Sjöstad to be recognized as a leading global example of sustainable urban development. Stockholm’s current sustainable urbanism flagship project, Norra Djurgårdsstaden or Stockholm Royal Seaport, is expanding on the innovations at Hammarby Sjöstad, in both design and municipal planning requirements. The project is heavily influenced by its location adjacent to Djurgården, a large former holding by the Crown on the east side of the city, which was established as the world’s first National City Park in 1995. Creation of the Park was largely the result of advocacy efforts to restrict intrusion by various public or cultural institutions or real-estate development. Having such a significant area with natural qualities in the middle of a major metropolitan area generates new needs and opportunities for a thoughtful and informed approach to restoration ecology and managing the interface between the national park and surrounding neighbourhoods. A primary goal is to foster biodiversity through restoring the oak forest and coastal wetland areas and extending these areas into the Norra Djurgårdsstaden development area.

Impact of land tenure on green space requirements The challenge facing Stockholm today is how to effectively integrate multifunctional open spaces into contemporary spatial and economic models of neighbourhood planning and real-estate development. Requiring an allocation of green space as part of development projects was a commonly used and relatively straightforward early strategy. Historically the City of Stockholm, like many other Swedish municipalities, held ownership of a majority of the

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land within the city boundaries. When a new district was selected for development, the City, as the landowner, could simply require that the developers construct or provide funding for green spaces in exchange for a long-term ground lease. In situations where the land was being sold, the negotiated sale price would take into consideration the public amenities to be provided. Public land ownership is fundamental to ambition and outcomes of Hammarby Sjöstad and Norra Djurgårdsstaden, as well as Western Harbor in Malmö. Each of these projects is located in former industrial areas that were owned or consolidated by the city, thus placing the local government in a leadership role for setting sustainability standards. In Malmö the inspiration for the design was a 2001 building exhibition Bo01, for Hammarby it was the 2004 Olympic bid, and for Stockholm Royal Seaport it was selection by the Delegation for Sustainable Cities as a national model of sustainable urbanism and as one of 17 projects internationally to receive support from the Clinton Climate Initiative. In each case, the city conducted ‘developer dialogues’, to shape and refine the vision for the area, which ultimately resulted in a ‘consortium agreement’ among several development companies. Specific details were then determined for each block and parcel, including requirements for energy efficient and healthy construction practices and the provision of green space. As the owner, the city could accept a below market land price in exchange for commitments to provide public infrastructure or amenities, construct high-quality buildings, or achieve other sustainability objectives or certifications. In instances where the city issued ground leases and thus retained long-term ownership of the land, there was further rationale to accept a lower price in exchange for improvements that provided ongoing value to the public (Wells, 2014). In recent years, Sweden has increasingly shifted towards neo-liberal economic policies. Federal subsidies to local governments have decreased significantly, causing many cities to sell land assets, at the highest price for land that the market will bear, in order to generate revenue. High land cost causes developers to focus on maximizing the building area and reduce commitments to open space and public amenities. The ability to gain shared value, by crafting a customized green space strategy through the developer dialogue process, is diminished. This is causing a renewed use of district or even citywide development standards and sustainability certifications.

Measures and mechanisms for creating green space Lot coverage or floor area ratio maximums were commonly used planning tools when establishing the detailed development standards during the final stages of the developer dialogue process. The approach taking for the Hammarby plan, to adjust the total volume of open space, based on the development density, was an important refinement. Starting in early 2000s, planners recognized the need for more sophisticated standards to clarify the role and function that each green scape should play in the larger fabric and function of the neighbourhood. Were they to be decorative, support recreation or factor into larger ecological or sustainability objectives (Westin, 2014)?

Green Area Factor The comprehensive plan for Norra Djurgårdsstaden includes a standard for achieving a Green Area (or Biotope) Factor. This innovative planning tool was created to augment urban green spaces by bring a systems perspective to the local level. Objectives of the Green Area

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Factor are to support the presence of keystone and indicator species in the local and regional ecosystem, climate adaptation, recreation and social capital. The Green Area Factor is calculated by dividing the area that supports various ecological functions by the total development area (GAF = Eco-Effective Area/Overall Parcel Area). Multiple measures can be applied in site planning, civil engineering, landscape design and building design to introduce ecological function, each having a weighted value. Development projects are required to tally up the weighted value of the various features and arrive at an aggregate score determined by the City. A major goal of the plan for Norra Djurgårdsstaden is to extend keystone species for biodiversity – oak trees, frogs, several species of birds and specific evergreen trees – into and through the urbanized neighbourhood (Göransson, 2013). The requirement is to achieve a factor of .6 or greater, or that 60 per cent of the total parcel area, including those areas occupied by building footprints, must provide some type of ecological, biodiversity or resilience benefit. Some of the eligible features are providing soil of a certain depth, habitat for pollinators, green roofs and green walls. Achieving a factor of .6 demonstrates that the designers and developers have been able to shape the project so that the majority of the area exhibits environmentally beneficial features. The green area factor is also valuable as symbolic representation of the relationship between building and landscape in an urbanized area, by showing how the ground area taken up by buildings, pathways and paved plazas is compensated by green roofs and walls and increased vitality of the remaining green areas (Stockholms Exploaterings Kontor, 2013).

Green neighbourhood rating systems The green area factor has served as a valuable tool in recent planning efforts, but this is just one dimension of neighbourhood sustainability. To produce a holistic certification system for sustainable urban planning in Sweden, the HCS project (Hållbarhetscertifiering av Stadsdelar) was introduced in 2010. BREEAM Communities, the Leadership in Energy and Environmental Design for Neighborhood Development (LEED ND), the Japanese CASBEE for Urban Development and several other systems were evaluated according to differences and similarities to Swedish conditions and procedures. The conclusion of the analysis was that BREAMM Communities provided the best fit, as it was developed with a European sensibility and thus more in keeping with Swedish development practices than the North American-focused LEED ND (HCS, 2011; Sharifi and Murayama, 2012). BREEAM was launched in 1990 as an environmental assessment method and rating system for buildings. The BREAMM Communities standard was developed in 2010 to ‘improve, measure, and certify the social, environmental and economic sustainability of large-scale development plans by integrating sustainable design into the master planning process’ (BREAMM, 2012). The standard covers the three commonly recognized factors of sustainability – economy, social equity and environment – by assessing issues including housing, transport networks, community facilities and green infrastructure. The objective is to provide a method for considering sustainability at the very early stages of design when site-wide solutions can have the greatest impact. BREAMM Communities includes a number of assessment issues relevant to green space, such as preparing a biodiversity action plan, water resource management and green infrastructure. The emphasis, however, is on process aspects such as completing needs assessments, rather than on providing specific indicators or metrics.

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In 2011 ten workshops were held by HCS to give the Swedish Green Building Council recommendations on how to implement BREEAM C into a Swedish framework for sustainable urban planning. The requirement in BREEAM C that the allocation of green areas should be based on an assessment of both the social needs of residents and extant ecological features and functions is in keeping with the Sociotope and Biotope mapping completed by the City of Stockholm in 2000–2002 (Ståhle, 2006) that served as key reference for establishing the specific biodiversity, recreation and climate adaption criteria in the Green Area Factor. Rather than BREAMM C replacing the Green Area Factor, both could be applied concurrently in an iterative planning and open space design process.

Reevaluating urban green spaces Human well-being is the focus of an emerging type of urbanism that combines historic ideas of city making and urban design with contemporary aspirations regarding sustainability, resilience (Rees, 2010), the emotional and intuitive ideas in Biophilic Urbanism (Beatley, 2009) and emerging research into well-being and happiness (Bratman, 2015). Scale has traditionally been the critical factor in maximizing the value of green space in dense urban conditions. Most discussions of scale focus on what type of physical amenity can provided in a given space, or in a New Urbanist context, what type of space is appropriate given its location along the Transect (Duany and Talen, 2002; Talen 2002). Larger, connected areas are recognized as a necessity for enabling the movement of species through urban neighbourhoods or providing recreation space. Modest-sized but contiguous areas can support water management and urban farming and even some degree of biodiversity, primarily of plants, birds and insects. Neighbourhood pocket parks and plazas serve the recreation needs of children or places for relaxation for adults. What is often overlooked, however, is an exploration of a community’s emotional or psychological needs and the potential for spaces to provide a cascading series of benefits to people, other species and the larger environment. A biophillic city recognizes the essential need for daily human contact with nature (Beatley, 2012) and emerging research is showing that mental health and well-being benefits can be achieved through even small insertions of nature and biological function into urban places (Beatley, 2011). Biophilic design consists of three interrelated strategies. The first strategy, Direct Experience of Nature, is accomplished by providing opportunities to experience the varying qualities of light, air movement and temperature, water, plants, animals, weather phenomena, natural landscapes and ecosystems, and fire. The second strategy is to provide Indirect Experience of Nature by incorporating images of nature, natural materials, natural colours, simulating natural light and air, naturalistic shapes and forms, evoking nature, information richness, age, change, and the patina of time, natural geometries and biomimicry. The third approach is to focus on the Experience of Space and Place by offering places featuring prospect and refuge, organized complexity, integration of parts to wholes, transitional spaces, mobility and wayfinding, and cultural and ecological attachment to place (Kellert and Calabrese, 2015). Providing direct experience with nature and enhancing the experience of place are expressed in how the green area factor credits green roofs and walls and the inclusion of bee and bird habitat. The ecosystem services diagram of Hammarby Sjöstad also represents the combination of access to nature and place making. Including functioning ecological processes, rather than the approximation of nature found in parks and plazas, is integral to the neighbourhood design, although stormwater management is the only system clearly evident

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to residents. Future development plans have the potential to bring more of these processes out into the open and create more dynamic biological interactions. For example, the San Francisco Public Utilities Commission living machine projects out of the building facade and engages with the public sidewalk, bringing a biologically based water treatment system into direct interaction with the citizenry in both a decorative and functional way. There is also the potential to enhance interactions among species and raise awareness of biodiversity. Examples include the placement of birdhouses and apiaries in urban contexts (Figure 11.3), or, as in Norra Djurgårdsstaden, passageways for terrestrial species such as frogs and toads linking to the large areas of the National City Park. But it is in the Indirect Experience of Nature that biophilia may hold the greatest promise for creating a livable compact urbanism. This category recognizes possibility to create biophilic

Figure 11.3 Birdhouse at Hammarby Sjöstad to promote biodiversity.

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experiences through clever manipulation of the built environment. In dense areas where the cultivation of actual green features, even on vertical surfaces, is not possible, an authentic biophilic experience could potentially be achieved by placing photographs of natural scenes on building facades and interiors, simulating the colour temperature of natural daylight with programmed LED lights, introducing fractal geometric patterns, and incorporating systems and features like living machines that are based on biomimicry. While this approach may be perceived as a fake approximation of nature, from a biophilic perspective it may be a means to generate the health and well-being benefits in places where providing actual green space is severely limited. Because these many strategies are decoupled from the traditional location of green space – the ground plane – they can be applied on multiple levels of high-rise development and more fully integrated with building design. Successful implementation of biophilic urban planning and design strategies depend on the context and character of local leadership (Reeve, 2014). Stockholm’s long tradition of connectedness with nature, striving for sustainability and legacy of urban green space may be the key for letting biophilic ideas flourish. Some examples already in place in Stockholm include the organic shapes deployed in the turn-of-the-century Jugent building along Strandvägen, and more recently the perforated and laminated panels with plant motifs, used for balconies in the rehabbed Million Program communities of Rinkeby and Tensta.

Looking ahead Returning to the original question – what can we learn from a city that is world-renowned for its green values and focus on sustainability in regard to the allocation, distribution and function of green space? The case of Stockholm shows clearly the dynamic tension between, on the one hand, the vast potential to infuse green into the urban fabric through the approaches of ecological urbanism, landscape urbanism and biophillic cities, while, on the other hand, the pressing need to prevent actual urban green spaces from disappearing due to the need for housing and a continuing real-estate boom. Addressing this condition may require a radical change in the way urbanists think about, plan and design neighbourhoods and cities. As the ecological, sustainable, resilient and biophilic aspects are introduced, it is critical to keep sight on the fundamental human aspects of urban form making and to work towards a common goal – urban ecology and urbanism as a way of life (Haas, 2015). As the city building trend continues and Stockholm grows incrementally denser, it is essential for planners, politicians, developers and the public to respect the open space traditions of the city while exploring all options to create more compact, multifunctional and impactful green spaces to support the sustainable city.

References Beatley, T. (2009) ‘Biophilic urbanism: Inviting nature back to our communities and into our lives’, Wm. and Mary Envtl. L. and Pol’y Rev., vol. 34, p. 209 Beatley, T. (2011) Biophilic Cities, Integrating Nature into Urban Design, Island Press, Washington, DC Beatley, T. (2012) Imaging Biophilic Cities, City Green Issue 4, Centre for Urban Greenery and Ecology, Singapore Bratman, G. (2015) ‘Nature experience reduces rumination and subgenual prefrontal cortex activation’, Proceedings of the National Academy of Sciences, July

Creating green space in the compact city 187 BREEAM (2012) Communities Technical Manual SD202 Deland, M. (2006) ‘The social park 1900–1939’, in P. Clark (ed.), The European City and Green Space: London, Stockholm, Helsinki and St. Petersburg, 1850–2000, Ashgate, Farnham UK Detaljplan for Sikla Kaj (1999) City of Stockholm Duany, A. and Talen, E. 2002. ‘Transect Planning’, Journal of the American Planning Association, vol. 68, no. 3, pp. 245–266 Farr, D. (2008) Sustainable Urbanism, Urban Design with Nature, John Wiley & Sons, Hoboken, NJ Göransson, N. (2013) Norra Djurgårdsstadens Grönytefaktor, City of Stockholm Haas, T (2015) ‘Beyond the sustainable urban design roadmaps’, Journal of Urban Design, pp. 1–3, Commentary, doi: 10.1080/13574809.2016.1114716 Hållbarhetscertifiering av stadsdelar (2011) Steg 1, slutrapport Kellert, S. and Calabrese, E. (2015) The Practice of Biophilic Design, www.biophilic-design.com Littke, H. (2015) ‘Planning the green walkable city: Conceptualizing values and conflicts for urban green space strategies in Stockholm’, Sustainability, vol. 7, no. 8, pp. 11306–11320 Lövrie, K. (2013) The Green Space as a Characterizing Element of Townscape and Urban Design— Object, Concepts and Structure, PhD thesis, Swedish University of Agricultural Sciences, Alnarp, Sweden (In Swedish) Marcus, L., Balfors, B. and Haas, T. (2013) ‘A sustainable urban fabric: The development and application of analytical urban design theory’, in J. Metzger and R.A. Olsson (eds), Sustainable Stockholm – Exploring Urban Sustainability in Europe’s Greenest City, London, Routledge Neuman, M. (2005) ‘The compact city fallacy’, Journal of Planning Education and Research, vol. 25, no. 1, pp. 11–26 Nilsson, L. (2006) ‘The Stockholm style: A model for building the city in parks 1930–1960’, in P. Clark (ed.), The European City and Green Space: London, Stockholm, Helsinki and St. Petersburg, 1850– 2000, Ashgate, Farnham UK Popenoe, D. (2000) Private Pleasures, Public Plight: Urban Development, Suburban Sprawl, and the Decline of Community, Transaction, New Brunswick, NJ Rees, W. (2010) Thinking Resilience, The Post Carbon Reader Series: Foundation Concepts, Santa Rosa, Healdsburg, CA Reeve, A. (2014) Mainstreaming Biophilic Urbanism in Australian Cities: A Response to Climate Change, Resource Shortages and Population Pressures. doctoral diss. Queensland University of Technology, School of Earth Environmental and Biological Science Sharifi, A. and Murayama, A. (2012) ‘A critical review of seven selected neighborhood sustainability assessment tools’, Environmental Impact Review Assessment, vol. 38, pp. 73–87 Spacescape.se (2010) Park and Nature Supply in Stockholm, www.spacescape.se/pdf/TillgangRapport_ 101208.pdf Ståhle, A. (2006) ‘Sociotope mapping: Exploring public open space and its multiple use values in urban and landscape planning practice’, Nordic Journal of Architectural Research, vol. 19, no. 4, pp. 59–71 Stockholm.se (2015) The Green Walkable City, www.stockholm.se/Fristaende-webbplatser/Fackfor valtningssajter/Stadsbyggnadskontoret/Grona-promenadstaden/ Stockholms Exploaterings Kontor (2013) Grönytefaktor, Hjorthagen Talen, E. (2002) ‘Help for urban planning: The transect strategy’, Journal of Urban Design, vol. 7, no. 3, pp. 293–312 Tsenkova, S. and Haas, T. (2013) ‘Planning sustainable communities – Europe’s new model for green living in Stockholm’, Plan Canada Journal, vol. 53, no. 1, pp. 22–29 Wells, W. (2014) ‘Sweden the green giant’, Planning Magazine, American Planning Association Westin, S. (2014) The Paradoxes of Planning: A Psycho-Analytical Perspective, Ashgate, Farnham, UK

Part III

Compact resource management, greening and integration with urban form

Chapter 12

Green Plot Ratio and MUtopia The integration of green infrastructure into an ecological model for cities Boon Lay Ong, Ole Fryd, Dominique Hes, Tuan Duc Ngo and Lu Aye Ong, Fryd, Hes, Ngo and Aye

Summary As urban population continues to grow in terms of both number and percentage of people on the planet, the role of urban greenery will grow in terms of significance. Unfortunately, the value of urban greenery is currently contested – on the one hand, the environmental and ecological value of greenery is well established, but on the other hand, urban greenery is a man-made construction that consumes much energy and resources and, not uncommonly, further contributes to pollution through the use of pesticides. A significant value of ecosystem services through greenery is that its presence promotes an aesthetic response as part of our overall attraction to nature, or biophilia. This chapter discusses the application of the Green Plot Ratio (GPR) into a Precinct Information Management (PIM) tool to investigate the effects of urban greenery in cities. The GPR is a tool that can be used to quantify the extent of urban greenery in a given project. The current project applies GPR to an existing PIM application – MUtopia – to enable an investigation into how one might consider greenery as part of densification strategies. Sustainable infrastructure and green infrastructure are seen to serve different purposes: the first relates to energy, water supply and waste management while the second deals with matters of health, biodiversity and air quality. Ideally, and in certain contexts, the two may overlap. We propose a model in which both agendas can be integrated within a single model. The integration of greenery into an evaluative tool for urban design has the added value of promoting design and aesthetics as an expression of human ecological behaviour.

Introduction As cities and urban living become the primary form of human habitation, the need to ensure that our cities are sustainable becomes ever more urgent. For many reasons, a primary strategy to contain the impact of a growing human and urbanized population on the planet is to physically contain if not reduce the area that our cities occupy and to increase the density of these urban areas. To achieve this, we need to increase both the sustainable infrastructure and the green infrastructure of our cities. Sustainability and urban greenery are seen to serve different purposes: sustainable infrastructure design focuses on the management of energy, water and waste (Kibert, 2008) while green infrastructure deals with matters of health, biodiversity, air quality and climate change (Byrne et al., 2009; MEA, 2005; Nowak and Dwyer, 2007). This is, in part, a result of their separate origins: sustainable infrastructure design

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developed as an engineering response to excessive energy consumption and consequent impacts on greenhouse gas (GHG) emissions, while green infrastructure evolved from the geography and ecology disciplines, where the primary concern has been with nature and our relationship with it. Their concerns overlap, of course, and we now recognize that both contribute to the overall sustainability of human society. The ideal state is to integrate them. We propose that the Green Plot Ratio (GnPR) (Ong et al., 2012; Ong, 2002) can usefully help us measure the ecological resilience and health of our cities. The ultimate objective of the GPR is to give a more complete indicator to assess the effective greenery within cities. Going beyond the leaf area index (LAI) used to monitor natural ecosystems, to an urban-based metric. We incorporate this into a computer simulation and visualization software – MUtopia (Mendis et al., 2012) – which provides a vehicle for developing this integration.

Partnership with nature For us, truly, there are no ‘surroundings’. I can lose my hands and still live. I can lose my legs and still live. I can lose my eyes and still live. . . . But if I lose the air I die. If I lose the sun I die. If I lose the earth I die. If I lose the water I die. If I lose the plants and animals I die. All of these things are more a part of me, more essential to my every breath, than is my so-called body. What is my real body? (Forbes, 2001, p. 291) It is extremely difficult for us to imagine ourselves and human society as part of nature. The quotation above, from the late Jack D. Forbes, Native American writer and Professor Emeritus and former Chair of Native American Studies at the University of California at Davis, presents a perception of self that, at best, we find poetic. It does not reflect the way we see ourselves nor is it reflected in the way we treat the environment. The recent interest in biomimicry and biophilia helps to further emphasize this point. Access to nature benefits us in ways that we do not currently associate with nature. Biomimicry suggests that our current scientific laws are not the only things we can learn from nature, we can apply these laws to solve our problems as the solutions to human problems are not necessarily different from solutions that other living systems have evolved to survive in the wild. While the Biophilia Hypothesis, first put forward by Edward O. Wilson (Wilson, 1984), suggests that our mental health and well-being are not just part of our innate make-up or our reactions to events and people around us but linked to an access to nature. Nature keeps us well beyond just providing us with food and medicine. The cultural and abiotic components of nature do not exist separately from the biotic and we, as humans, do not have ultimate authority over how we may construct sustainable human societies. Rather, if we are to be sustainable, we need to engage and adopt more of nature’s own solutions to sustainability. We need to see ourselves as part of nature and see our survivability as linked to the abundance of what we currently see as a separate ‘Nature’.

Our aesthetic response to nature The benefits of greenery are very well documented (Forest Research, 2010; Kaplan, 1995; McPherson et al., 2011; Nowak and Dwyer, 2007; Roy et al., 2012), ranging from rainwater

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retention, removing air pollutants, carbon sequestration, reducing the Urban Heat Island effect to increasing biodiversity and promoting health and well-being. Greenery also contributes to the attractiveness and value of the location. Our sense of place is closely linked to the availability of greenery (Kellert et al., 2011; Kellert and Wilson, 2011). That is why one of the most common ways to personalize a space is to install a potted plant, a vase of flowers or even pictures of greenery. The sense of well-being that greenery provides leads to improvements in productivity and creativity while reducing absenteeism. One study shows a 12–15 per cent increase in productivity with no increase in errors in laboratory conditions (Lohr, Pearson-Mims, and Goodwin, 1996). While a later study showed that just a 40 second mini-break looking onto a green roof resulted in significant improvement in sustaining attention (Lee et al., 2015). A study in Norway reported a 25 per cent overall reduction in reported illness symptoms (Smith and Pitt, 2011). Kathleen Wolf (2004) reports that places with greenery are viewed as destination places, where visitors may be less frequent but are willing to stay longer and pay more for food, car parking and goods. This aesthetic response to nature is captured in the current trend towards biophilic design (Kellert et al., 2011). Our attraction to nature, however, lies beyond its visual appeal. We are attracted to nature physically, as places to go to and stay in. This attraction is closely linked to the climatic impact of plants on our immediate environment. Plants moderate the environment, controlling the air temperature both in keeping it cool and in keeping it warm. This can be deduced from the extreme temperatures of the desert versus the more habitable temperatures of adjoining greener regions. We seek the shade of the tree when hot but the radiant heat of the sun when cold. When sustainable building design results in climatically more desirable environments, they can also result in aesthetically more attractive places (Ong, 1997, 2012a, 2012b).

The Green Plot Ratio The Green Plot Ratio (GPR) (Ong, 2002) was introduced in 2002 to draw attention to this ecological partnership with plants. At that time, the role of green infrastructure and the significance of ecosystem services were still an emerging concepts (Benedict and McMahon, 2002). Deployed primarily as a tool for architectural planning and design, GPR has, as its motivation, an underlying premise to see the built environment as an ecosystem. If widely implemented, implementing GPR will enable cities to be monitored as ecosystems the way natural ecosystems are today (Myneni et al., 1997). GPR is based on the assumption that the benefits of greenery are directly related to leaf area and density. The ability of plants to convert CO2 to O2, transpire and thus reduce the surrounding air temperature, provide shade, retain water, reduce wind flow are all dependent on the leaf area index (LAI) (e.g. Brown, 2011; Lovell and Taylor, 2013; Mell et al., 2013). These relationships between LAI and various environmental factors such as solar radiation interception, air temperature and wind speeds and its value to GPR have been summarized elsewhere (Ong, 2014).

GPR as a measure of healthy human ecosystems The health of natural ecosystems and of the planet as an ecosystem are currently quantified by satellite through their normalized difference vegetation index (NDVI), which has a direct

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correlation with LAI values. Can NDVI or LAI values be applied to measure the health of our cities? We instinctively reject the idea. But consider these facts. Green infrastructure is proving to be more effective in providing cities with ecosystem services than purely engineered solutions. Greenery is necessary to our health and well-being. There are even moves towards using the environment as a third teacher (Strong-Wilson and Ellis, 2007). The modern society is characterized by its apparent detachment from nature. Green infrastructure, however, suggests that we need more greenery than we might think. How much more? If, as some suggests, urban agriculture is also to become a mainstay of our cities (Cockrall-King, 2011), then will the question become not how much greenery we want, but how much can we grow? A time may come when we understand that the more urban greenery we have, the more economically and ecologically resilient our cities can be.

Modelling the city as ecosystem Our man-made cities are a part of the planet and they rely on and feed into natural ecosystems. As a result, we need to consider our cities as ecosystems also, as being ‘open, dynamic, unpredictable, and multiequilibria’ (Alberti, 2005). Ecosystems’ boundaries in nature are amorphous, as one distinctly recognizable ecosystem (e.g. a forest) blends into another (e.g. a river). In the same way, our cities blend into and are part of the natural environment in the same way that all natural (and man-made) ecosystems on earth are inter-dependent. The key to the resilience of any ecosystem is the maintenance of resource flows between ecosystems and within the ecosystem. From this perspective, the ecological approach to the city is to map the flow of resources within the city and between the city and the environment. Hence, the study of greenery in our project should not be purely

Figure 12.1 Conceptual difference between sustainable modelling and ecological modelling in MUtopia. Source: authors.

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focused on target outcomes (e.g. zero energy) but on material flows (e.g. water, air, CO2). As a result, the inclusion of greenery may result in higher energy consumption in particular buildings but lower energy consumption for the city and vice versa. In terms of energy, the ecological approach does not identify energy consumption as a primary concern but on the impact on the environment (impact on GHG emissions, heat, air pollutants and so on). Even the production of air pollutants itself is secondary to the impact of these pollutants on other resources and living things and dependent on the mechanisms available to dilute or remove the air pollutants. We need to move beyond sustainable design to ecological design. MUtopia offers a way of doing this. As shown in Figure 12.1, the difference in ecological modelling is that most of the inputs to and outputs from the site are linked to other sites, which will have their own ecological parameters. Currently, in sustainable building design, sites are evaluated independently and expected to meet specified goals. In ecological design, however, the considerations of each site are dependent on neighbouring sites, which determine what resources are available and what wastes are recyclable.

MUtopia The integration of GPR into MUtopia (MUtopia, 2015) involves an elaborate inspection of each process in MUtopia and how the impact of greenery can be modelled. In some instances, the relationship between greenery and the process flow is indirect and complex (e.g. energy), while in others it is somewhat easier to track (e.g. water and wastewater). MUtopia is a Precinct Information Management (PIM) web-based platform that manages its data both spatially, as a geo-spatial model, and quantitatively, tracking flows in terms of energy, waste, water, transport, social benefits and economic impact. What it lacked was a greenery module and information about the impact of greenery on these flows, which is being presented here. The core of MUtopia is a geo-spatial model linkable to rendering engines including GoogleMaps Earth and WebGL. A Precinct is divided into land parcels characterized by their Land Use (LU). Land parcels with the same LU carry the same properties and are capable of similar processes (e.g. commercial LUs have facilities for commercial uses, are expected to be in use during commercial hours, Mon–Fri 8–6pm, Sat 8–12pm, and be air-conditioned to thermal comfort standards). Individual LUs, however, may have unique overrides to specify a behaviour specific to the land parcel. Public spaces, such as streets and parks, are also predefined LUs and have properties and processes just as other LUs. Energy, water and wastes from private LUs are linked to the grid (the utilities and sewage systems embedded in the public LUs). The properties and behaviour of the precinct are defined through the LU parcels. For example, the electricity consumed by individual buildings is delivered through grid power lines in the public LUs, which may in turn obtain their electricity from an external supply. Any energy loss in transition is captured within the LU parcels themselves. LU parcels can be active, for example, and be the source of onsite energy production. Similarly, sewage flow is not modelled separately but captured within the relevant LU parcels. MUtopia aggregates the behaviour of the precinct through the management of the individual LU parcels.

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The GPR module The GPR module is a set of properties and processes attached to an LU parcel. It comprises a parent Landscape module with Hardscape, Greenery and Waterbody child modules (Figure 12.2). The impact of each child on the various flows – energy, water, waste, property prices – is defined through different algorithms. Hardscape in the GPR module refers to the parts of the Landscape that are not planted. Hardscape components tend to require maintenance and consume energy. There may be some pollutants in the water runoff from the hardscape. Waterbodies in the GPR module provide cooling through evaporation and absorption of solar radiation. At night, some of the waterbody’s heat is lost to the air through convection and to the sky and surroundings via radiation. Evaporation continues but at a lower rate. The Greenery child is further divided into ‘Plant’ and ‘Soil’ sub-children. Each ‘Plant’ has relevant properties, including plant species, canopy size and LAI. Soil is modelled in terms of its thermal conductivity value, its water retention and reusability and impact of air pollutants (Yong et al., 2012). The behaviour of soil is dynamic and its composition varies over time. Thermal conductivity, for example, is related to water content and soil structure. Reusing soil, in most instances, through decomposition also changes soil composition, water retention and thermal conductivity. Air pollution can be

Figure 12.2 GPR and MUtopia outcomes – note that GPR will impact the level of greenery and LAI is embedded in the type and maturity of the plants used. LAI will impact the measured outputs – water retention, transpiration, air temperature, GHG emissions, carbon sequestration and VOC emissions. Source: authors.

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both adsorption by the soil and emission of volatile organic compounds (VOCs) from decomposing materials.

Applied LAI values The leaf cover of any plant changes over time, depending on environment, soil conditions and maintenance. Conventionally, LAI is often measured rather than assigned and used in fairly restricted circumstances depending on the purpose for which it was measured – for example, in agriculture and ecological monitoring (Gower and Norman, 1991). Under these circumstances, the variability of LAI values is either not an issue (it is the value measured) or restricted (e.g. in a plantation or forest comprising a single or dominant species). The application of LAI to the more amorphous context of urban landscape design does not meet these narrow conditions (Ong et al., 2012). As a result, LAI values used in GPR need to be assigned standardized values. In Singapore, these values have been obtained as an average measured from a number of in situ plants (Tan and Sia, 2009). For the purpose of regulatory submission, the plants are assumed to be mature. They are also assumed to be normally maintained and grown under recommended soil and maintenance conditions. It should be noted that the LAI of deciduous trees will be seasonally varied.

Energy The influence of greenery on energy consumption is multifaceted. Depending on its design, some landscapes may need little to no energy to maintain. In every city, wild plants will invade any piece of land or building left unattended for a sufficient length of time. Wild plants may grow on walls and roofs unless forcibly removed. Theoretically, at least, the simple act of growing plants should not require any humansourced energy or water inputs. However, most installed greenery will need to be maintained, often not only requiring energy and water but also producing toxic runoff if pesticides, in particular, are not used selectively and with care. This practice is controversial, with strong arguments on both sides, and part of the reason why greenery is not currently a de facto sustainable option. But if we join human and natural systems, then we need to have a marinating relationship with the system and that requires inputs depending on the choice of greenery. More significant is its impact on the energy consumption of the building and precinct. Greenery can reduce cooling energy through shade, reduce heat loss through wind speed reduction and reduce air temperature through transpiration. Soil provides significant insulation and thermal mass. The impact of greenery on energy consumption depends on its location and density. LAI impacts transpiration, wind speed and shading quality. The modelling of transpiration is complex but can be modelled by coupling the leaf CO2 and water vapour pressure against that of the surrounding air as a function of available photosynthetically active radiation (Kim and Lieth, 2003).

Carbon sequestration Carbon sequestration is currently estimated using indirect methods based on tree species or a combination of soil and biomass (Falloon, Smith, Szabó, and Pásztor, 2002). It is also possible to directly compute carbon sequestration by measuring the rate of photosynthesis as

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a function of LAI and sunlight, assuming other parameters to be either negligible or constant (Kim and Lieth, 2003).

Water and waste In sustainable building design, water and wastewater need to be considered together. This is because one of the primary concerns of green infrastructure is to recycle as much of the wastewater as possible and reduce the level of pollutants re-entering the natural ecosystem. Sustainable water and waste management in cities need to be considered at several levels (Otterpohl, Grottker, and Lange, 1997). Control at the source is today a common and important component of waste management. Separation of wastewater into different degrees of organic and inorganic wastes, levels of pollution and toxicity enables the wastewater to be treated efficiently and effectively. The GPR module can be used to model wastewater treatment at different levels, from stormwater to sewage depending on technology applied. The modelling of water and wastewater is linked physically to the plumbing and sewerage layout. In that sense, it is somewhat easier to schematically define (Figure 12.3. Although the model shown here is drawn independently of neighbouring LU parcels, it should be noted that except for weather components, the sources and sinks are linked to other LU parcels which need to be evaluated in tandem. The internal uses of water represented are again simplified for this proof of concept modelling. It can be extended and developed as the need arises in future developments. The precinct-level representation of water and wastewater management is, however, not a simple aggregate of individual LU parcels. Perhaps more than in the case of energy, the treatment of wastewater and production of potable water are currently better delivered at the precinct level. In terms of greenery, the issue here is whether or not precinct-level treatment will result in better utilization of greenery and space than in situ treatment. Greenery is generally considered to increase water consumption. The value of greenery in terms of water is, first, reduction of additional water consumption through appropriate planting and the use of plants to help recycle waste and rain water. The main source of

Figure 12.3 Modelling of water and wastewater flows in an LU parcel with and without GPR in MUtopia. Source: authors.

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water loss is through transpiration and depends on solar radiation, ambient air temperature, humidity and wind speed.

Transport The impact of greenery on transport is currently undetermined. If, as Wolf (Wolf, 2004) has argued, the presence of greenery increases visitations, greenery could lead to an increase in overall travel for the precinct. On the other hand, inhabitants of the precinct might travel less outside the precinct if more of their needs are met within the precinct. Additionally, the presence of greenery might encourage walking and bicycling and reduce overall vehicular use within the precinct. Given its complexity, transport has been left out and is not modelled within the current version of GPR module.

Social/economic The social and economic benefits of greenery are interrelated and not always directly quantifiable. Its contribution to health and well-being is also well researched but not in monetary terms (Maas et al., 2006; Park et al., 2011). A recent paper (Wolfe and Mennis, 2012) claims that greenery, contrary to conventional practice, reduces incidences of crime (assault, robbery and burglary, but not theft). Are these benefits related? Can they be assumed to be integral, that is, the increase in property value is concomitant with better health and lower crime? How do we quantify the value of lower crime, better health and greater productivity? The economic benefits of greenery are currently researched in terms of property value (Sander, Polasky, and Haight, 2010; Voicu and Been, 2008), increases in visitation, length of stay and prices (Wolf, 2004) and of individual trees. Jim and Chen (Jim and Chen, 2006) report 7.1 per cent and 13.2 per cent increase in property prices as a result of greenery and water bodies respectively. Some of the findings overlap and are interdependent. The current version of GPR module assumed an estimated increase in property value at 10 per cent.

Discussion MUtopia modelling with GPR As a proof of concept, the current model uses only highly indicative measures of greenery impact. Where possible, the values obtained from literature research are incorporated, but for the most part, educated estimates and assumptions were made. It is expected that MUtopia will both contribute directly to research the relationships between GPR and expected benefits as well as be developed further to incorporate research findings regarding these relationships. Figure 12.4 shows an output from one of the test runs of MUtopia indicating the impact of greenery on individual buildings (or LU parcel) and the precinct as a whole, before and after. The results are purely demonstrative and do not reflect any research or actual dataset. The purpose of presenting this work is to demonstrate the potential and implication of the work. There are several aspects needed for this model that are currently unavailable. The GPR module integrated with MUtopia will help to identify and to some extent provide an initial skeleton for such research. The module itself is a research tool, allowing us to explore the

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Figure 12.4 MUtopia modelling of a precinct showing the level of GPR and impact on energy, water and social value and property prices (indicative figures). Source: authors.

interactions between different systems and processes. To some extent, it is a model that may never be complete, as it reflects the state of our understanding of the city as an ecosystem.

MUtopia, GPR and urban density Given the benefits that urban greenery can provide, the ability to model the impact of greenery on resource flows will help planners and governments mitigate some of the negatives associated with densification. The ability to represent the benefits of greenery over all the key indicators provides a way to demonstrate that density does not need to mean a loss of amenity or ecological services. Indeed, as the case of Singapore demonstrates, it is possible to increase density and greenery concurrently (Newman, 2013).

Conclusions The contribution of this chapter is to propose a model of the city as an ecosystem incorporating both sustainable and green infrastructural measures. While many models of the city as an ecosystem exist, none have been developed into a computational modelling tool. Existing tools such as CITYGreen (CITYGreen, 2015) reflect research work on ecosystem services and greenery and are not yet linked to engineered services. Of interest, however, is the ability of CITYGreen to incorporate NDVI satellite images into its model. Other tools, like ENVI-Met (Envi-Met, 2015), model only one aspect of urban greenery, in this case, the effect of greenery on thermal (temperature, relative humidity and wind) environment. MUtopia is the only tool currently available that spans across all the outcomes of interest and can be expanded to include new areas of interest.

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The work presented here has two specific innovations: one, it integrates ecological services with engineered services; and two, through spatial visualization, it provides an outlet to explore design, which we deem an important but currently missing link in most models. This ability to explore design allows us to also investigate the application of biophilia. The underlying argument in this case is that human ecology includes this dimension of aesthetic understanding. GPR-MUtopia provides us with a tool to quantify and regulate the implementation of urban greenery. It also allows us to visualize the city from an ecological perspective. We are able to determine not just how much greenery exists in the city but also how visually appealing such a city might be. The GPR-MUtopia model takes us much closer to a single model of the city as an ecosystem. It is able to address questions of subjectivity while quantifying the effects of design proposals. The ability to address these subjective issues is linked to our suggestion of a tighter human–nature ecosystem model of the city. If we begin by seeing nature as antagonistic to humans, the GPR module will allow us to design complementary but separate spaces for humans and for nature. As we then learn, by necessity of economics and land availability, to combine the two – nature and human spaces – GPR-MUtopia will again facilitate the implementation of such proposals. Design will be more necessary than ever at this stage. When we finally reach that stage, when we see nature as itself differentiated, that there are gradations to nature (that wild need not mean poisonous snakes, but at the same time, that poisonous snakes can safely be given habitat in our cities too), we may finally be able to design our city as an ecosystem, one that is different from natural ecosystems but which is integrated into nature.

Acknowledgements This project is made possible with seed funding from the City of Melbourne. The funds are received through the Urban Landscape department of the City as part of a project on urban greenery in the private realm. We are also grateful for the facilities and programming assistance provided by the MUtopia project, in particular, the unstinting help of Mr Oliver Lade. Peer refereeing is often regarded as a necessary nuisance and an obstacle to publication. It has been our pleasure to benefit from the incisive and encouraging advice of several colleagues, especially C.Y. Jim, Alex Lo and Jason Byrne. We would particularly like to thank Alex Lo (Griffith University), Tony Matthews (Queensland University of Technology) and Jason Byrne (Griffith University) for their generous assistance in locating appropriate scholarly literature for this chapter. We are also grateful to Philip Joo-Hwa Bay and Steffen Lehmann who encouraged and gave constructive feedback to the writing of this chapter.

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202 Ong, Fryd, Hes, Ngo and Aye Byrne, J.A., Gleeson, B., Howes, M. and Steele, W. (2009) ‘The limits of ecological modernization as an adaptive strategy’, in S. Davoudi, J. Crawford and A. Mehmood (eds), Planning for Climate Change: Strategies for Mitigation and Adaptation for Spatial Planners Earthscan, London, pp. 136–154 CITYGreen. (2015) Sustainable landscape systems for greener cities, www.citygreen.com/ Cockrall-King, J. (2011) Food and the City: Urban Agriculture and the New Food Revolution, Prometheus, Amherst, NY Envi-Met. (2015) Numerical simulation of the microclimate dynamics, www.envi-met.com/#section/ intro Forbes, J.D. (2001) ‘Indigenous Americans: Spirituality and ecos’, Daedalus, vol. 130, no. 4, pp. 283–300 Forest Research. (2010) Benefits of Green Infrastructure: Report to Defra and CLG Forest Research, Farnham, Farnham Gower, S.T. and Norman, J.M. (1991) ‘Rapid estimation of leaf area index in conifer and broad-leaf plantations’, Ecology, vol. 72, no. 5, pp. 1896–1900 Jim, C.Y. and Chen, W.Y. (2006) ‘Impacts of urban environmental elements on residential housing prices in Guangzhou (China)’, Landscape and Urban Planning, vol. 78, no. 4, pp. 422–434 Kaplan, S. (1995) ‘The restorative benefits of nature: Toward an integrative framework’, Journal of Environmental Psychology, vol. 15, no. 3, pp. 169–182 Kellert, S.R., Heerwagen, J. and Mador, M. (2011) Biophilic Design: The Theory, Science and Practice of Bringing Buildings to Life, John Wiley, Hoboken, NJ Kellert, S. and Wilson, EO. (2011). ‘The Biophilia Hypothesis’, Island Press, Washington DC. Kibert, C.J. (2008) Sustainable Construction: Green Building Design and Delivery (2nd edn), John Wiley, Hoboken, NJ Kim, S.-H. and Lieth, J.H. (2003) ‘A coupled model of photosynthesis, stomatal conductance and transpiration for a rose leaf (Rosa hybrida L.)’, Annals of Botany, vol. 91, no. 7, pp. 771–781 Lee, K.E., Williams, K.J.H., Sargent, L.D., Williams, N.S.G. and Johnson, K.A. (2015) ‘40-second green roof views sustain attention: The role of micro-breaks in attention restoration’, Journal of Environmental Psychology, vol. 42, pp. 182–189 Lohr, V.I., Pearson-Mims, C.H. and Goodwin, G.K. (1996) ‘Interior plants may improve worker productivity and reduce stress in a windowless environment’, Journal of Environmental Horticulture, vol. 14, pp. 97–100 Lovell, S.T. and Taylor, J.R. (2013) ‘Supplying urban ecosystem services through multifunctional green infrastructure in the United States’, Landscape Ecology, vol. 28, no. 8, pp. 1447–1463 Maas, J., Verheij, R.A., Groenewegen, P.P., De Vries, S. and Spreeuwenberg, P. (2006) ‘Green space, urbanity, and health: how strong is the relation?’, Journal of Epidemiology and Community Health, vol. 60, no. 7, pp. 587–592 McPherson, E.G., Simpson, J.R., Xiao, Q. and Wu, C. (2011) ‘Million trees Los Angeles canopy cover and benefit assessment’, Landscape and Urban Planning, vol. 99, no. 1, pp. 40–50 http://doi.org/ http://dx.doi.org/10.1016/j.landurbplan.2010.08.011 MEA. (2005) Millenium Ecosystem Assessment: Ecosystems and Human Well-being (Vol. 5), Island Press, Washington, DC Mell, I.C., Henneberry, J., Hehl-Lange, S. and Keskin, B. (2013) ‘Promoting urban greening: Valuing the development of green infrastructure investments in the urban core of Manchester, UK’, Urban Forestry and Urban Greening, vol. 12, no. 3, pp. 296–306 Mendis, P., Ngo, T., Aye, L., Malano, H. and Rajabifard, A. (2012) ‘Innovative modelling and visualisation platform for sustainable cities – Mutopia’, International Conference on Sustainable Built Environments (ICSBE 2012), Kandy, Sri Lanka, pp. 1–8 MUtopia. (2015) A research-driven modelling and visualisation platform for sustainable precincts, http://mutopia.unimelb.edu.au/ Myneni, R.B., Ramakrishna, R., Nemani, R. and Running, S.W. (1997) ‘Estimation of global leaf area index and absorbed PAR using radiative transfer models’, Geoscience and Remote Sensing, IEEE Transactions on, vol. 35, no. 6, pp. 1380–1393

Green Plot Ratio and MUtopia 203 Newman, P. (2013) ‘Biophilic urbanism: A case study on Singapore’, Australian Planner, vol. 51, no. 1, pp. 47–65 Nowak, D. J. and Dwyer, J. F. (2007) ‘Understanding the benefits and costs of urban forest ecosystems’, in J.E. Kuser (ed.), Urban and Community Forestry in the Northeast, CHAP, Springer, New York, pp. 25–46 Park, J. J., O’Brien, L., Roe, J., Ward Thompson, C. and Mitchell, R. (2011) ‘The natural outdoors and health: Assessing the value and potential contribution of secondary public data sets in the UK to current and future knowledge’, Health & Place, vol. 17, no. 1, pp. 269–279 Ong, B.L. (1997) ‘From homogeneity to heterogenity’, in D. Clements-Croome (ed.), Naturally Ventilated Buildings: Buildings for the Senses, the Economy and Society, E and FN Spon, London, pp. 17–33 Ong, B.L. (2002) ‘Green Plot Ratio: An ecological measure for architecture and urban planning’, Journal of Landscape and Urban Planning, vol. 965, pp. 1–15 Ong, B.L. (2012a) ‘Ecology and the aesthetics of heat’, in J.-P. Thibaud and D. Siret (eds), Ambiances 2012, International Ambiances Network, Montreal Ong, B.L. (2012b) ‘Warming up to heat’, Senses and Society, vol. 7, no. 1, pp. 5–21 Ong, B.L. (2014) ‘Green Plot Ratio and the role of greenery in low carbon living’, in S. Lehmann (ed.), Low Carbon Cities, Earthscan, London Ong, B.L., Ho, A. and Ho, D.K.H. (2012) ‘Green Plot Ratio – past, present and future’, iNTA2012 – Tropics 2050, Singapore, www.inta2012.org/ Otterpohl, R., Grottker, M. and Lange, J. (1997) ‘Sustainable water and waste management in urban areas’, Water Science and Technology, vol. 35, no. 9, pp. 121–133 Park, J.J., O’Brien, L., Roe, J., Ward Thompson, C. and Mitchell, R. (2011) ‘The natural outdoors and health: Assessing the value and potential contribution of secondary public data sets in the UK to current and future knowledge’, Health & Place, vol. 17, no. 1, pp. 269–279 Roy, S., Byrne, J. and Pickering, C. (2012) ‘A systematic quantitative review of urban tree benefits, costs, and assessment methods across cities in different climatic zones’, Urban Forestry and Urban Greening, vol. 11, pp. 351–363 Sander, H., Polasky, S. and Haight, R.G. (2010) ‘The value of urban tree cover: a hedonic property price model in Ramsey and Dakota Counties, Minnesota, USA’, Ecological Economics, vol. 69, no. 8, pp. 1646–1656 Smith, A. and Pitt, M. (2011) ‘Healthy workplaces: Plantscaping for indoor environmental quality’, Facilities, vol. 29, no. 3/4, pp. 169–187, https://doi.org/10.1108/02632771111109289 Strong-Wilson, T. and Ellis, J. (2007) ‘Children and place: Reggio Emilia’s environment as third teacher’, Theory into Practice, vol. 46, no. 1, pp. 40–47 Tan, P.Y. and Sia, A. (2009) Leaf Area Index of Tropical Plants: A Guidebook on Its Use in the Calculation of Green Plot Ratio, Centre of Urban Greenery and Ecology, Singapore Voicu, I. and Been, V. (2008) ‘The effect of community gardens on neighboring property values’, Real Estate Economics, vol. 36, no. 2, pp. 241–283 Wilson, E.O. (1984) Biophilia. Book, Harvard University Press, Cambridge, MA Wolf, K.L. (2004) ‘Public value of nature: economics of urban trees, parks and open space in Design with Spirit’, Proceedings of the 35th Annual Conference of the Environmental Design Research Association. D. Miller and J.A. Wise, Environmental Design Research Association, pp. 88–92 Wolfe, M.K. and Mennis, J. (2012) ‘Does vegetation encourage or suppress urban crime? Evidence from Philadelphia, PA’, Landscape and Urban Planning, vol. 108, no. 2–4, pp. 112–122 Yong, R.N., Nakano, M. and Pusch, R. (2012) Environmental Soil Properties and Behaviour (Vol. 5), Elsevier, Amsterdam

Chapter 13

Decentralized water and energy infrastructure Integration into compact urban form Martin Anda

Summary There are new approaches to environmentally sound technologies for water, energy and waste systems in compact cities and these can be effectively integrated into buildings and districts for sustainable living in higher-density urban areas to avoid augmentation of the traditional centralized systems. In the case of decentralized water systems integrated into buildings and districts, the sources of rainwater and groundwater are demonstrated. With the massive issue of urban waste management, minimization and recycling are the key, and while readily achievable with municipal solid waste, a focus is given to construction and demolition waste and how some countries are successfully integrating this material into their compact built form. Solar PV and battery storage systems are leading in the renewable energy revolution and already integrate well into denser urban environments. Finally, in order to avoid the ‘rebound’ affect, the use of smart metering and feedback systems are explained as essential features of eco-technology integrated into the sustainable compact city.

Introduction: centralization vs decentralization Cities around the world are under increasing pressure from rising populations, ageing and overstretched infrastructure, lack of affordable housing, the urban heat island effect and suburban sprawl, sending people ever outwards away from their places of work and social activity. All this signals the need for new approaches to urban planning, design and renewal for the creation of quality, high-density urban development. Climate change, a result of greenhouse gas emissions from unsustainable industrial era technologies such as fossil-fuelled power supply and transport systems, is causing significant impacts on cities. One example is declining rainfall in populated regions where narrowly defined criteria for decisions taken on service delivery choices result in expensive and fossil energy-intensive infrastructure such as large-scale seawater desalination plants or severe impact on ecosystems such as occurs with the construction of more dams. Moreover, rapidly diminishing natural resources and environmental destruction are occurring globally from the growth, particularly suburban sprawl, of large cities. Suburban sprawl is often uncontrolled to accommodate population growth, and water and energy reticulation networks, as well as extraction networks for urban wastes, extend ever further. These networks are supplied from industrial-era centralized water supply and wastewater treatment plants and fossil fuel energy generation plants, as well as urban waste collection trucking to peri-urban landfill disposal sites, that contribute to urban air pollution and resource depletion.

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Adaptations of these networks and infrastructures have occurred in some places such as ‘third pipes’ reticulating treated wastewater back to homes and gardens for non-drinking water supply and photovoltaic power supply systems installed on home and factory roofs making an appreciable contribution to local electricity generation. Some coastal cities and rural towns also attempt to install wind farms on their fringes to reduce fossil fuel dependency and harness abundant local renewable resources. However, these emerging new adaptations are often faced with regulatory challenges, network load management constraints, funding difficulties alongside cross-subsidized business-as-usual (BAU) models and various other barriers as a result of governance arrangements perhaps also from the industrial era. The increased density of urban form, both in urban renewal along for example new light rail corridors and in greenfield developments where new urban villages are constructed at activity centres, present the opportunity for new business models and green infrastructure for decentralized water, energy and waste management solutions (Ho and Anda, 2006; Anda et al., 2010; Rauland and Newman, 2011; Chae and Kang, 2013; Goldthau, 2014). Studies are now emerging that focus on the technology options, their different scales of operation, and how these lead to reduced costs and carbon footprints (Shahabi et al., 2014; Walker et al., 2014). Lehmann (2015), in particular, describes how more sustainable and compact low-carbon cities can be achieved with an approach he calls ‘carbon engineering’ through greater attention to the use of timber in construction and urban greening. In these new approaches to urban development, it is often the case that BAU centralized water and energy connections are implemented along with the already commonly accepted household-scale rooftop PV, rainwater tanks and greywater reuse systems. These household-scale technologies may result in a slight decrease in demand on the centralized infrastructure when seen across significant parts of the city. Nevertheless, decentralized infrastructure using district-scale technologies (and ‘satellite’ technologies – infrastructure that operates alongside centralized systems) is able to service a project beyond the limitations that individual buildings pose. The integration of these eco-technologies can occur across different urban forms: within the buildings (single detached dwelling, multi-residential townhouses or apartment house, tall inner-city apartment building and civic, institutional and commercial buildings); within districts (a neighbourhood block, an entire suburb); and within a whole city. The integration can occur as varying socio-technical systems: building-scale technologies owned and operated by the occupiers; district-scale technologies (could also be satellite systems in parallel with the centralized systems) owned by utilities or local government and maintained and operated by contractors; and distributed technologies owned at the aforementioned building or district scales and operated under a community cooperative or citizens’ federated model. In this chapter I will present several case studies of the eco-technologies that can be used to support compact urban form, A key success factor is where these technologies and systems are not just deployed as hardware but also realize a reliable service for people. The benefits of the work include transitions to sustainable living in compact urban form through careful selection, design and integration of economically viable eco-technology.

Water supply systems The conventional urban water system can be characterized as an ‘open cycle’. In other words, water is extracted from the natural environment, put to urban uses, and along with

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food consumption and industrial operations and other activities that generate wastewaters, the treated or untreated effluent is then discharged to the natural environment. ‘Closed cycle’ water systems are those that take a localized approach to water sources, efficiency and reuse. In closed cycle systems, nutrients as well as the water are reclaimed for reuse. Most large cities in the modern industrialized world are served by centralized water systems having arisen from a period when water and other resources were considered to be plentiful, cheap energy was available and the ideal solution for maintenance of public health was disposal of wastes to waterbodies. Water sources that can be considered for decentralized systems in compact cities to supply buildings and districts are as follows in priority order: • • • • • •

rainwater harvesting (where occurring in sufficient quantities); surface water (where freshwater lakes or rivers fill or flow adequately nearby); stormwater runoff (where sufficient rainfall occurs); groundwater abstraction (where aquifers exist and not overly impaired); seawater desalination (where the urban area is near the coast); greywater or wastewater recycling (where fit-for-purpose applications are required; e.g. toilet flushing and landscape irrigation).

To make use of the above sources the following engineered interventions would be required: • • • • • •

for rainwater harvesting – roof catchment, gutters, downpipes, storage tanks (above ground for least expense), pumps and filters; for surface water – pumps, storage tanks, filters and pumping again; stormwater – runoff catchment, storage tanks (usually below ground), filters and pumps; groundwater abstraction (where aquifers exist and not overly impaired); seawater desalination (where the urban area is near the coast); greywater or wastewater recycling (where fit-for-purpose applications are required, e.g. toilet flushing and landscape irrigation).

The following cases demonstrate three different sources that can be applied to compact cities: • • •

Rainwater harvesting at The Grove Library in Cottesloe, Western Australia. Groundwater third pipe scheme at WGV, Western Australia. Seawater purified from the Perth Wave Energy Project on Garden Island, WA.

The Grove Library in the Perth suburb of Peppermint Grove in Western Australia, consisting of a fully integrated water management system, was implemented in order to optimize water efficiency by maximizing the use of rainwater, groundwater and recycled water. The Grove’s rainwater system’s design comprised six in-ground concrete tanks and 11 aboveground steel tanks in the basement of the building. Rainwater storage was designed to meet 100 per cent of the internal water demand (taps and toilet cisterns) in an average rainfall year, saving up to 730,000 litres per annum (Dallas et al., 2009). The total capacity of all the tanks was 254,000 litres that was carefully designed to meet the internal demand considering the high and low occupancy rates of the building (Josh Byrne and Associates., 2011). The rainwater was used internally after going through both micro-filtration and UV disinfectant units that treated the water for potable use (Josh Byrne and Associates, 2011).

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WGV by Land Corp is a 2.1 ha compact urban infill development located in the City of Fremantle, Western Australia that will comprise a diverse range of housing styles and living options, including four multi-residential sites (each with approx. 12–20 apartments) and 23 single homesites. WGV will demonstrate leading-edge water management, resulting in a mains water reduction of 70 per cent compared to the Perth average. A community bore based on sustainable stormwater recharge principles fully reticulated to all lots via below ground purple pipe is a key component making the water savings possible. A range of onsite stormwater infiltration initiatives are included with the intent for all stormwater to be infiltrated locally. Connection of each lot to the community bore via the third pipe in this development seeks to eliminate the use of scheme drinking water supply for ex-house use, that is, principally on irrigation. Over 40 per cent of the metro water utility Water Corporation’s supply ends up being used on Perth’s residential gardens. The non-potable distribution pipework (the ‘purple pipe’) was installed as well as the lot connections and all lots will be provided with dual metering – one for mains water and one purple meter for the community bore connection (Irrigation Australia, 2015). CETO is a submerged wave energy convertor technology used in Perth Wave Energy Project, a world-first wave energy power and water supply system connected to the urban grid. It could be retrofitted to coastal towns as their demand for power and water grows as they continue to increase in population and compactness. A CETO unit has submerged buoyant actuators that move up and down by the ocean swell. Movement of the actuator drives the pump that pressurizes seawater through a pipeline to the shore. This pressurized water runs hydro-turbines at an on-shore facility and generates energy to desalinated water by reverse osmosis. Three CETO 5 units are installed 3.5 km offshore and are submerged in water approximately 24 m deep, with the capacity of 240 kW. The reverse osmosis pilot plant has the capacity of 1000 m3/day. Important factors to consider when designing for a decentralized water system in compact urban form are as follows: •

•

• •

• •

Matching the roof catchment area available and the historic rainfall data and trends to the expected demand – for example, to a combination of toilet flushing and clothes washing machines. For a groundwater supply, matching the local catchment area available for stormwater runoff infiltration and the historic rainfall data and trends to the expected demand – for example, to landscape irrigation, in order to achieve a long-term sustainable yield. Sizing the storage tanks to maximize the yield through as much of the year as possible and as an optimization between the catchment area and the expected demand. A cost-benefit analysis to determine if the land area available is of such value that storage tanks can move from above ground to below ground then more land is available for other higher value uses. Having a reliable disinfection product specified, such as UV. Validation monitoring during commissioning to confirm all aspects successfully operating before handover.

Wastewater minimization and recycling Wastewater collection, treatment and disposal is one of the biggest challenges for compact urban form. If wastewater generation can be minimized in the first place, then enormous

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infrastructure challenges can be overcome. If the remaining wastewater can be recycled as locally as possible, then it may even be possible to use existing sewer networks and trunk mains from the previous low-density development to service the proposed new high-density urban redevelopment. Avoiding augmentation of existing sewer networks can save an urban redevelopment project millions of dollars. Implementing water efficient fittings and fixtures in homes and offices as well conservation behaviours not only saves water but also reduces wastewater generation. With lower wastewater flows, more comprehensive approaches to treatment and recycling can be put in place locally. Recycled water is usually treated wastewater that is further treated to varying qualities that is ‘fit for purpose’ for its intended use. It can then be used for: • • • • • • • • •

irrigation of sports grounds, golf courses and public open spaces; industrial processing; groundwater replenishment; toilet flushing, clothes washing, garden watering; environmental benefits (e.g. maintaining wetlands and aquifers through recharge); irrigation of food crops; irrigation of non-food crops (e.g. trees, woodlots, turf, flowers, parks and gardens, green walls and roofs); construction, dust suppression; fire-fighting.

Consider the following very different cases of water recycling within high-density cities: • •

recycling wastewater for reuse within a building – the Solaire apartments in New York, USA; greywater recycling for toilet flushing and heat recovery – the Arnimplatz apartments in Berlin, Germany.

Solaire apartments with 1,000 occupants is one of five buildings built in 2003 in Battery Park City, an area adjacent to the Wall Street financial district in New York, and is a positive example of urban environmental management. As well as high levels of energy efficiency and rainwater harvesting, the building recycles wastewater by means of a Membrane Bioreactor (MBR) in the basement. The treatment plant uses the MBR plant to produce a high-quality effluent. The recycling process includes treatment with hollow fibre microfiltration membranes, treatment with ultraviolet light to kill bacteria, and both oxygen-based and non-oxygen-based treatment to remove nitrogen to comply with New York’s direct reuse standards. Out of some 100,000 litres per day that are recycled, 30,000 litres per day are used to flush toilets, 40,000 litres per day go to the cooling tower and 20,000 litres per day are used for landscape irrigation. Arnimplatz project involved construction of three apartment buildings with underground parking and commercial units. The complex is on a site of 2,080 sq m comprising 41 units, four commercial units with total residential and commercial area: 4,500 sq m. Greywater from the apartments is collected in the basement to a Moving Bed Bioreactor (MBBR) treatment plant. The MBBR is composed of several tanks and in the same plantroom as a cogeneration CHP (combined heat and power) engine so that the integrated two systems provide preheat of hot water to apartments and recycled greywater to all apartments for

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toilet flushing. The gas-fired (CHP) plant directs exhaust waste heat exchange to hot water supply. The heat recovery yield from the greywater recycling system is 11,000 kWh pa. This integrated system is fully economic due to relatively high costs of water and sewage being 5 Euros/kl (approx $AU7/kl cf $AU2/kl in Australia), the high cost of electricity, low capital cost of plant per 41 apartments as well as low cost of finance in the current economy. Cases can also be shown for wastewater systems in compact urban form that recycle nutrients for local food production, for example, by direct diversion and treatment of urine, and others where anaerobic digestion is used for biogas and electricity generation. These cases demonstrate in a very preliminary manner the diversity of solutions for wastewater recycling. The process of deciding and selecting the most appropriate decentralized wastewater system for a building or higher density district needs to consider the following factors: •

• • • •

Is the rationale to reduce scheme water requirements by recycling wastewater or to overcome the need for augmentation of the existing local sewer connection? Either of these can result in discounts on headworks contributions. What are the quantity, quality and space requirements? These factors influence the design and sizing of the treatment process, components and storage tanks. What will be the end use of the treated water and variability of seasonal demand? This may determine the need for top-up scheme water and connections. Will surplus wastewater need to be removed from the site? Will the removed solids be recycled on site – for example, by composting, or taken to the central treatment plant to avoid investment in a full black-water treatment system onsite?

Solid waste and resource recovery Zero waste to landfill is a goal set by many jurisdictions around the world as part of better environmental management. This can be achieved generally through a combination of avoidance of waste generation and minimization through good design, reuse of materials instead of disposal, recycling by conversion of the waste material into new products (Lehmann, 2012) and any final residue into waste-to-energy plants by various means. However, only very few cities and countries in the world have come close to this goal. Achieving low levels of waste generation has great benefits for the modern compact city, as more effective waste recycling collection and processing facilities can be integrated into the urban form and avoid the need for trucking large volumes through the city to distant landfill sites. Moreover, it is possible also to recycle wastes into the built form and operations of the compact city. First, consider components of the various waste streams. Solid waste is typically categorized into three streams being 1) municipal solid waste (MSW) that includes both organic fraction and many other solids, 2) commercial and industrial (CandI) wastes and 3) construction and demolition (CandD) wastes from the building and civil works industries. Recovery from each of these waste streams while integrating into compact buildings and districts can be achieved in general as follows: •

MSW: the organic fraction and solids recyclables can be collected separately with the former destined for on- or off-site composting or anaerobic digestion to biogas while the latter is sent for recycling off site or innovative materials recovery locally such as paper manufacturing or plastic furniture.

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•

•

CandI: generally comprises organic waste – for example, food waste 35 per cent; paper and cardboard 22 per cent; plastics 13 per cent; metals 8 per cent; CandD 7 per cent; glass 2 per cent; other 8 per cent; and non-recoverable 5 per cent. Various targeted resource recovery strategies can be put in place for these with waste-to-energy the last and least preferred strategy due to its high capital cost to set up. CandD: this waste largely comprises masonry materials such as sand, concrete and bricks as well as so many other building materials including wood, glass, plastics and metals. Some of this material can be recovered and reused directly in other building projects. Others can be readily recycled into new products such as concrete, rammed earth, reconstituted fibre board, furniture and public art.

Consider three cases with a focus on CandD resource recovery: • • •

A city nearly at zero waste to landfill – San Francisco. A country nearly at zero waste to landfill – The Netherlands. A building constructed largely of CandD wastes – The Environmental Technology Centre at Murdoch University.

San Francisco currently has a 78 per cent diversion rate, and is aiming to become a zerowaste city by 2020. San Francisco is aiming to recycle 90 per cent of waste, with the final 10 per cent being composted. This will eliminate the need for thermal treatment (‘incineration’) of waste (SF Environment, 2014), a method that usually attracts much community outrage. The City has a Construction and Demolition Ordinance that requires maximum recycling and reuse of construction and demolition (CandD) debris material. By law, CandD debris material removed from a project must be recycled or reused. No CandD debris can be taken to landfill. For example, San Francisco Community Recyclers (SFCR) operates Building ReSources, a used building materials business, and also manages several drop-off recycling centres (Materials for the Future Foundation, 2001). The Netherlands is amongst those countries that have most successfully reduced dependence on landfill (