SeaCities: Aquatic Urbanism 9819924804, 9789819924806

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Cities Research Series

Joerg Baumeister Ioana C. Giurgiu Despina Linaraki Daniela A. Ottmann Editors

SeaCities Aquatic Urbanism

Cities Research Series Series Editor Paul Burton, Gold Coast campus, Cities Research Institute, Griffith University, Southport, QLD, Australia

This book series brings together researchers, planning professionals and policy makers in the area of cities and urban development and publishes recent advances in the field. It addresses contemporary urban issues to understand and meet urban challenges and make (future) cities more sustainable and better places to live. The series covers, but is not limited to the following topics: . . . . . . .

Transport policy and behaviour Architecture, architectural science and construction engineering Urban planning, urban design and housing Infrastructure planning and management Complex systems and cities Urban and regional governance Smart and digital technologies

Joerg Baumeister · Ioana C. Giurgiu · Despina Linaraki · Daniela A. Ottmann Editors

SeaCities Aquatic Urbanism

Editors Joerg Baumeister Gold Coast Campus Sea Cities Research Lab Cities Research Institute Griffith University Gold Coast, QLD, Australia Despina Linaraki Gold Coast Campus Sea Cities Research Lab Cities Research Institute Griffith University Gold Coast, QLD, Australia

Ioana C. Giurgiu Gold Coast Campus Sea Cities Research Lab Cities Research Institute Griffith University Gold Coast, QLD, Australia Daniela A. Ottmann Faculty of Society and Design Abedian School of Architecture Bond University Gold Coast, QLD, Australia

ISSN 2662-4842 ISSN 2662-4850 (electronic) Cities Research Series ISBN 978-981-99-2480-6 ISBN 978-981-99-2481-3 (eBook) https://doi.org/10.1007/978-981-99-2481-3 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors, and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

Acknowledgements

The editors are thankful to all the chapter authors for their outstanding contributions to this book and all the chapter reviewers for dedicating their valuable time to improving the quality of this book. Moreover, the editors would like to thank Prof. Paul Burton, Director of Cities Research Institute for his contribution.

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This book explores the increasingly important global phenomenon of aquatic and amphibious urbanisation, showcasing fascinating new research fields and collaborations. It complements the previous publication, “SeaCities: Urban Tactics for SeaLevel Rise”, which examines prospects for urban development on land as a result of rising water levels. This is more relevant than ever because predictions about the increasing speed and height of sea-level rise and its consequences are becoming more and more dramatic, meaning that the pressure to act on the conversion of coastal cities is increasing faster and faster. Instead of responding to this pressure by reacting to specific rather than systemic conditions, we consider the overall breadth of potential solutions, which allows us to select the best measure for each case. The book’s systemic view of coastal cities demonstrates thereby how to turn the challenges of sea-level rise into exciting new opportunities for the development of coastal cities. This new book is the logical continuation of the previous publication and adopts a more radical approach by diving into an entirely new, water-based world. As a research expedition to a water-based terra incognita, it explores several individual, interlinked aspects including: . a novel taxonomy for aquatic cities that considers the entire urban system of communities, buildings, infrastructure and business opportunities; . a system map of wetland services and habitat provision at the water-land and natural-anthropogenic interface; . climate-adaptive eco-villages created by design thinking and co-design methods; . the use of artificial island growth processes adaptable to sea-level rise; . more efficient and sustainable food production systems like floating greenhouses for sustainable marine agriculture; . marine spatial planning providing answers to the challenges of planning for an increasingly urbanised seascape; . changing human perceptions and attitudes to living in an aquatic environment on the sea. As we are moving into new research territory, the chosen research approach is often exploratory, deductive, and by no means exhaustive. Instead of transferring terrestrial vii

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cities onto the water, this book returns to the aquatic origins of life and builds our knowledge and understanding of new forms of habitation in this fluid environment. These resulting topics follow SeaCities’ mission to develop the next frontier for human settlements by creating novel and innovative research-based design solutions and new urban policies. SeaCities is based at Griffith University’s Gold Coast campus and is part of the Cities Research Institute, one of the largest groups of urban researchers in Australia and works in partnership with a network of researchers from around the world. It is a world-first, highly interdisciplinary initiative, building on synergies between established disciplines including architecture and design, urban planning, marine biology and engineering, tourism and data science. If you would like to join the SeaCities team in this dialogue, you are very welcome to contact any of the authors or editors of this collection.

Contents

Developing Aquatic Urbanism: A Taxonomy for 35 Tactics . . . . . . . . . . . . Joerg Baumeister

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Systemic Urban-Wetland Interdependencies . . . . . . . . . . . . . . . . . . . . . . . . . Ioana C. Giurgiu, Joerg Baumeister, and Paul Burton

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HydroPolis: How to Evolve Solutions for Floating Eco-Village Collectives? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Daniela A. Ottmann

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An Overview of Artificial Islands Growth Processes and Their Adaptation to Sea-Level Rise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Despina Linaraki, Joerg Baumeister, Tim Stevens, and Paul Burton

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Transferring the Plastic Sea into the Sea: Environmental Opportunities for Floating Greenhouses in Almería (Spain) . . . . . . . . . . . 121 Elisa Fernández Ramos, Joerg Baumeister, and Paul Burton Floating Jakarta: A Human Dimension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139 Rukuh Setiadi, Joerg Baumeister, and Alex Lo Marine Spatial Planning at the Municipal Scale: Lessons from China and Sweden . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 Thang Viet Nguyen, Joerg Baumeister, and Paul Burton

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Developing Aquatic Urbanism: A Taxonomy for 35 Tactics Joerg Baumeister

Abstract There is growing interest in water-based urban development, but there is no systematic approach to it. A matrix was created to combine viable development strategies with urban elements, producing 35 distinct options defined as tactics. This expands the land-based perspective to include a water-based perspective, providing a comprehensive range of solutions. The systematic collection of these options can support both the sustainable development of coastal cities and the innovation driving the creation of offshore cities.

1 Introduction Investing in floating platforms for building on water may seem like a peculiar concept, but there are valid reasons for aquatic urbanism. This practice dates back to the Bronze Age, where stilt houses on the water offered protection from enemies. Similarly, floating houses on Asian river deltas were used as a way to avoid flooding (Biggs 2010). To address traffic and population growth issues, Kenzo Tange proposed a plan for a sea bay urban center in Tokyo in the 1970s (Huebner 2021). Today, aquatic urbanism is widely published, such as the Oceanix City project by the Bjarke Ingels Group, UNHabitat, and others. Initially intended as a safe refuge for Pacific Islanders, the Oceanix City has transformed into a floating city expansion for wealthy South Koreans, promoted as the “First Floating City” (BIG 2022). The UN endorses the Oceanix City project and the concept of aquatic urbanism as a solution to rising sea levels and the crucial need for coastal city expansion (UN 2019). These pressing challenges must be effectively addressed, and to do so, the greatest number of development solutions must be considered. This will help ensure the best possible options are selected. J. Baumeister (B) SeaCities Lab, Cities Research Institute, Griffith University, Gold Coast Campus, Southport, QLD, Australia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. Baumeister et al. (eds.), SeaCities, Cities Research Series, https://doi.org/10.1007/978-981-99-2481-3_1

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The aim of this publication is to provide a comprehensive definition of all possible connections between the city and water, instead of being limited to conventional buildings on floating platforms like Oceanix City. This systematic compilation of urban-aquatic interactions can be utilized to choose the best single tactic, or combined into a tailored strategy using various tactics. Hence, the question arises: What tactics for aquatic urbanism can be identified? The research approach of this collection is innovative, yet existing knowledge can be utilized. Urban-aquatic connections have been thoroughly explored from a terrestrial perspective, such as in the field of sea level adaptation by the World Bank (World Bank 2017) and the United Nations Environment Program (Oppenheimer et al. 2019). Drawing from this, potential urban-aquatic connections were previously systematically outlined in the publication “20 Tactics for Sea-Level Rise” (Baumeister 2020). Its purpose is to aid the necessary transformation of coastal cities to protect over 400 million people worldwide from imminent sea-level rise and flooding events. The catalog of measures provides flexible solutions tailored to individual urban situations and economic conditions for cost-effective adaptation. This led to a comprehensive collection of 20 potential tactics at the city-water interface, which are ready to be incorporated into this study. However, they only consider a terrestrial viewpoint. The shift from a terrestrial to an aquatic perspective will complement this collection. This change not only alters the direction of observation, but also the focus of observation. Previously, the emphasis was on extending established cities with a wellorganized permanent population center in rural areas. The shift toward an aquatic perspective opens up new avenues of research as there are currently no standalone aquatic urban centers (so far).

2 Matrix This publication will employ a method similar to that used in the previously mentioned publication “20 Tactics for Sea-Level Rise” by constructing a matrix that blends urban elements with various strategies. The matrix will have urban elements listed on the horizontal axis, including the physical, economic, social, and technical components of a city. These components, which view cities as holistic urban systems, are described as follows (Baumeister and Ottmann 2015): “Buildings”: Residential, commercial, industrial, cultural, and other building structures. “Production”: Industry, commerce, retail, aquaculture, agriculture, and forestry. “Community”: Culture, spirituality, education, research, recreation, governance, and politics. “Infrastructure”: Transport, water, sewage, waste, power, and communication. “Natural Environment”: Sun, air, biomass (plants, animals), minerals, and water.

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Fig. 1 Urban elements (Baumeister 2020)

These urban elements will be adopted from the publication “20 Tactics for SeaLevel Rise” (Fig. 1). The “20 Tactics for Sea-Level Rise” matrix also included a vertical dimension that categorized city-water interactions based on a terrestrial perspective. The four categories were “Protect,” “Accommodate,” “Retreat,” and “Advance.” This publication builds on that foundation by adding an aquatic perspective, offering a complete range of solutions for the challenges of sea-level rise. The strategies in this publication’s matrix will be based on the definition of the three physical aquatic conditions of structures “Float,” “Dive,” and “Stand” (Biran and López-Pulido 2014), which will be added to the matrix as the three new aquatic strategies. “Float,” refers to structures floating on the surface (Vtotal > W/γ) “Dive,” refers to structures floating in an equilibrium state in the water (Vtotal = W/γ) “Stand,” refers to structures located on the seabed (Vtotal < W/γ) Vtotal thereby represents the total volume of the body and W/γ is the weight divided by the specific gravity of the water (Fig. 2). The three new aquatic strategies can also be combined in various ways. For example, a structure that floats on the water surface could have elements that are diving in the water, or vice versa. Other possibilities include hybrid structures that combine elements that are fixed to the seabed with floating platforms or submerged bodies. Although the combinations are not specifically listed as individual strategies, they should still be considered as potential additions. Fig. 2 Aquatic strategies

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Fig. 3 The composition of the Matrix with tactics 21–35 completing the previous publication “20 Tactics for sea-level rise”

The proposed example of aquatic urbanism that incorporates all three strategies is the 1980 “Sea Cities” project developed by Hall Moggridge et al. and the Pilkington Glass Age Development Committee (Starch Ild and Holahan 1980). The project aimed to create an independent sea city with a size of 1 × 1.5 km, capable of housing at least 30,000 inhabitants on a sandbank in the sea. The egg-shaped outer wall construction, with integrated 50 m high residential buildings, follows the “stand” strategy, while dozens of public buildings such as theatres, schools, restaurants, and shopping centers within the protected ring follow the “float” strategy. Lastly, a marine zoo is located beneath the water surface, following the “dive” strategy. The authors of this book belong to the “SeaCities Lab” research group, whose name fortuitously corresponds to the Sea Cities project and aligns with its aim to provide innovative solutions to the problems of today. The Sea Cities project serves thereby as an example of the potential of aquatic urbanism. It raises the question of how much of the components needed for a self-sustaining and ecological city have been integrated, highlighting the importance of this systematic collection of tactics. The 15 potential tactics for aquatic urbanism will be determined by combining the three new strategies (“float,” “dive,” and “stand”) with the five urban elements in a matrix. This matrix expands upon the terrestrial perspectives of “20 Tactics for sea-level rise,” so the new tactics will be numbered starting at 21 (Fig. 3).

3 Tactics The combined tactics are the result of a systematic approach and can be referred to as a taxonomy describing the different types of tactics for the future development of aquatic urbanism. To make the scheme easy to understand, the tactics will be described in general terms and demonstrated through examples of well-known human aquatic activities (Bryhn et al. 2020). These activities include: Aquatic buildings, such as residential, commercial, industrial, cultural, and other structures. Aquatic production, including mineral extraction, fishing, aquaculture, forestry, industrial activities, tourism, and leisure.

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Aquatic communities, which involve research and education, religious practices, and the use of water for recreation and aesthetic enjoyment. Aquatic infrastructure, including shipping and transportation, freshwater production, waste management, renewable energy production (e.g. wind, wave, current, and tidal power), electricity and communication transmission (e.g. cables), and security and defense (military). Marine environment protection and support, such as conservation of animals, plants, minerals, air, and water. It is important to note that the examples given are not exhaustive and do not represent all possible applications for each tactic. New developments may also be not included.

3.1 The Float Strategy This strategy involves structures that either float freely on the water surface due to their buoyancy or structures that are anchored to the seabed. Special consideration is given to ships, which are primarily designed for mobility. Semi-submerged floating structures, where the buoyant bodies are partially submerged, have several advantages, such as reduced wave resistance and lower sensitivity to wave movements. As the size of a structure increases, its sensitivity to wave motion decreases, making very large floating structures (VLFS) particularly suitable for aquatic urban development (Wang and Tay 2011) (Fig. 4). Tactics 21–25. Tactic 21: Buildings on floating platforms are the simplest form of the “float” strategy. Instead of mimicking land-based construction, buoyancy devices can also be incorporated into the buildings, making them truly aquatic. Tactic 22: Floating production facilities can be moved on the water, allowing for flexibility and adaptation to changing work processes by rearranging production lines. Tactic 23: Floating communities can admire the water’s aesthetic value and enjoy it through activities such as swimming and jumping in a floating pool. Tactic 24: Floating infrastructure is unique, taking advantage of wave movement, e.g. for energy production and low friction for transportation (e.g. for transport).

Fig. 4 Float strategy

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Tactic 25: Floating structures have impacts on the marine environment, such as shading and creating new habitats like artificial floating coral reefs.

3.2 The Dive Strategy This strategy balances the buoyancy with the relative weight of structures in water, or traction ropes are attached either to the seabed or to buoyancy bodies on the water surface to create the equilibrium. An advantage of the “dive” strategy is the reduced influence of waves. When used by humans, one disadvantage is the complex design of a watertight pressure hull and its necessary supply of breathing air and all other vital necessities. The “dive” strategy balances the weight of structures in water with their buoyancy, or by using traction ropes or chains attached to either the seabed or floating bodies on the surface. A benefit of this approach is reduced wave impact. However, for human use, the challenge is designing a watertight pressure hull and providing essential supplies such as air and other necessities (Fig. 5). Tactics 26–30. Tactic 26: Diving structures can be used for more than just specific applications like diving bells in the oil and gas industry. Diving hotels and restaurants offer for example a unique underwater experience which is the reason why they are becoming increasingly popular in the tourism and food industries. Tactic 27: Diving production facilities can cultivate seaweed like algae, or raise and harvest fish and shellfish. Tactic 28: Diving communities can have access to scuba gear or stay in submarine structures to obtain the required oxygen. Tactic 29: The use of diving infrastructure is expanding, such as through floating tunnels and energy storage systems that harness water pressure. Tactic 30: Diving structures can have a positive impact on the marine environment, such as with the use of “fish-attracting devices” that help to establish new marine ecosystems.

Fig. 5 Dive strategy

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Fig. 6 Stand strategy

3.3 The Stand Strategy The “Stand” strategy is dependent on sea depth. The oil and gas industry has extensive experience in installing permanent rigs at depths up to 500 m (Hafez and Ismael 2013). Although direct contact with the water surface is not common, shallow areas exist even in international water more than 200 nautical miles from land. Hence, like the two previous strategies, this is not limited to coastal deployments or complex constructions. Disadvantages include the complexity of the foundation, as well as the challenges listed under the “dive” strategy. Advantages include lack of wave influence and proximity to the seabed for exploration purposes (Fig. 6). Tactics 31–35. Tactic 31: Underwater research stations and similar buildings can be situated on the ocean floor, while shallow waters can accommodate stilt houses with their main parts above the water surface. Tactic 32: As the oil and gas industry has long utilized the seabed, mining minerals and resources is becoming a growing industry. Tactic 33: In shallow areas, glass tunnels in marine zoos and research stations offer a chance for communities to experience the seabed. Tactic 34: Standing infrastructure, such as power and communications cables, and pipelines for oil and gas transportation, is also part of this strategy. Tactic 35: Efforts to preserve natural resources on the ocean floor, such as supporting seagrass beds and coral reefs, are included in this final tactic. The 15 tactics (21–35) identified from an aquatic perspective can be combined with the 20 tactics from the previous publication “20 Tactics for Sea-Level Rise” (from a terrestrial perspective), resulting in 35 tactics driven by 7 different strategies.

4 Results The extended taxonomy, as stated in the title, includes 35 tactics for aquatic urbanism. The new strategies, including “float,” “dive,” and “stand,” were generated from an aquatic perspective and provide tactics for aquatic buildings, production, community, infrastructure, and the preservation of the marine environment. The methodology used was effective in answering the research question “What tactics for aquatic

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urbanism can be identified?” This leaves the question how these strategies and tactics can be applied or utilized. The purpose of this publication was to present a comprehensive overview of aquatic urbanism to promote greater sustainability and diversity in developments such as Oceanix City and Sea City. By applying the taxonomy vertically (see Fig. 7), various tactics for each urban component can be generated and compared to prioritize the most efficient options. A horizontal approach (see Fig. 7) generates tactics, e.g. for floating cities, diving cities, and cities on the sea floor. This leads to a range of aquatic city systems that can also be combined to optimize diversity in aquatic urbanism. Thus, the taxonomy can be utilized during the development process or to evaluate and enhance the sustainability and diversity of completed projects. In contrast to land use, water’s physical properties are often overlooked in current human aquatic activities. This publication highlights for example the mobility of

Fig. 7 The new extended taxonomy including 7 strategies (left) and 35 tactics

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structures that enables a new type of flexible cities (tactic 22) and the use of water pressure for effective energy storage (tactic 24). As a secondary application of the taxonomy, the authors suggest using it to identify innovation gaps by systematically projecting water’s mechanical, thermal, optical, or electromagnetic properties onto each tactic. Alternatively, the taxonomy can be used to find innovative solutions for challenges such as food supply or energy storage. The taxonomy has several other benefits, such as promoting collaboration between related fields like marine engineering, marine design and planning, and marine environment (Baumeister 2021). It also helps facilitate the systematic development of various opportunities for advancing aquatic urbanism. Everyone interested in exploring the various applications of the taxonomy is welcome to test and share their results!

References Baumeister J, Ottmann DA (2015) Urban ecolution – a pocket generator to explore future solutions for healthy and ecologically integrated cities. UWAP, Crawley. ISBN: 9 781742 589985 Baumeister J (2020) Re-building coastal cities: 20 tactics to take advantage of sea-level rise. SeaCities 1–18. https://doi.org/10.1007/978-981-15-8748-1_1 Baumeister J (2021) The evolution of Aquatecture: SeaManta, a floating coral reef. Lecture Notes Civil Eng 131–142. https://doi.org/10.1007/978-981-16-2256-4_8 BIG (2022) https://big.dk/#projects-ocxb Biggs D (2010) quagmire: nation-building and nature in the Mekong delta. University of Washington Press, Seattle, XVIII-300 p Biran A, López-Pulido R (2014) Basic ship hydrostatics; ship hydrostatics and stability, 23–75. https://doi.org/10.1016/b978-0-08-098287-8.00002-5 Bryhn A, Kraufvelin P, Bergstroem U, Vretborn M, Bergstroem L (2020) A model for disentangling dependencies and impacts among human activities and marine ecosystem services. Environ Manage 65(5):575–586. https://doi.org/10.1007/s00267-020-01260-1 Hafez K, Ismael M (2013) Practical investigation of a monopod fabrication method and the numerical investigation of its up-righting process. Int J Naval Architect Ocean Eng (2092–6782), 5 (3):431 Huebner S (2021) Earth’s amphibious transformation: Tange Kenzo, Buckminster Fuller, and marine urbaniszation in global environment thought (1950s–present). Mod Asian Stud 2021:1–30. https://doi.org/10.1017/S0026749X21000251 Oppenheimer et al (2019) Chapter 4: sea level rise and implications for low lying islands, coasts and communities’. In: Pörtner HO et al (eds) IPCC special report on the ocean and cryosphere in a changing climate. Cambridge University Press, Cambridge, UK. https://www.ipcc.ch/srocc/ download-report/ Starch Ild A, Holahan J (1980) Sea city: urbanising the oceansfuture life #18.May 1980, pages 18–2. https://archive.org/details/StarlogFutureLifeMagazine17/Starlog%20Future%20L ife%20Magazine%20%2818%29/mode/2up?view=theater UN Press release of the Deputy Secretary-General (2019) Sustainable floating cities can offer solutions to climate change threats facing urban areas. Deputy Secretary-General Tells First High-Level Meeting; DSG/SM/1269-ENV/DEV/1936-HAB/248; https://press.un.org/en/2019/ dsgsm1269.doc.htm Wang C, Tay Z (2011) Very large floating structures: applications, research and development. Proced Eng 14:62–72. https://doi.org/10.1016/j.proeng.2011.07.007

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Water (n.d.) Encyclopedia Britannica. https://www.britannica.com/science/ice. Accessed 3 Aug 2022 World Bank (2017) Adaptation to climate change in coastal areas of the ECA Region: a contribution to the umbrella report on adaptation to climate change in ECA (English). World Bank Group, Washington, D.C. http://documents.worldbank.org/curated/en/377981484811872690/Adapta tion-to-climate-change-in-coastal-areas-of-the-ECA-Region-a-contribution-to-the-umbrellareport-on-adaptation-to-climate-change-in-ECA. Accessed 20 Aprl 2020

Systemic Urban-Wetland Interdependencies Ioana C. Giurgiu , Joerg Baumeister , and Paul Burton

Abstract Current predictions highlight major climate-related impacts on coastal cities around the world. At the same time, wetlands provide important services and habitats for both natural and anthropogenic activities and could play an important role in mitigating these impacts in coastal areas. However, due to the increasing population and associated urban growth, endemic coastal wetlands are still being reclaimed for urban development. Approaches balancing urban and wetland functions and needs could, therefore, play a key role in the future sustainable development of both the urban and natural environments. Based on a systematic literature review, this chapter maps urban-wetland interactions by combining key principles derived from stateof-the-art theoretical descriptions of urban-ecosystem relationships in urban design with site-specific wetland functions and design strategies. State-of-the-art theoretical urban frameworks that define sustainable urban-ecological relationships are used to identify key underlying principles which are further compared to assess overlaps and differences. To connect theoretical principles to practical context-dependant functions and design strategies, coastal wetland functions are analysed and categorized in relation to the identified theoretical framework characteristics. Theoretical principles and practical design strategies are then combined using a visual system thinking concept map, to provide a map of urban-wetland systems and relationships. Keywords Integrated urban-wetland relationships · System thinking · Coastal wetland · Sustainable urban design frameworks

I. C. Giurgiu (B) · J. Baumeister Cities Research Institute, Sea Cities Research Lab, Griffith University, Gold Coast Campus, Building G51, Bridge Lane, 4222 Gold Coast, Queensland, Australia e-mail: [email protected] J. Baumeister e-mail: [email protected] P. Burton Cities Research Institute, Griffith University, Gold Coast Campus, Building G51, Bridge Lane, 4222 Gold Coast, Queensland, Australia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. Baumeister et al. (eds.), SeaCities, Cities Research Series, https://doi.org/10.1007/978-981-99-2481-3_2

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1 Introduction Wetlands are considered some of the most productive ecosystems, providing ecosystem services exceeding those that can be achieved by terrestrial ecosystems (Ramsar 2018). However, due to several factors which include changing climatic conditions, pollution, and urban land conversion, wetland areas across the globe are steadily declining (Convention on Wetlands 2021). This in turn has detrimental impacts at both the local and global scales. Given the interconnectivity of this ecosystem, its strong links to both terrestrial and aquatic ecosystems across scales as well as its potential to target multiple Sustainable Development Goals (SDGs) simultaneously (Ramsar 2018), integrated urban-wetland areas could play a key role in achieving sustainable future urban and ecosystem growth. The Global Wetland Outlook Report highlights the critical role of wetlands in achieving global sustainability, as well as the need for “enhanced integration and co-ordination across the agriculture, urban development and wetland management sectors” (Convention on Wetlands 2021). At the same time, coastal cities play a vital role in globally achieving sustainable urban growth. Home to some of the largest urban population densities on the planet, coastal cities are expected to experience significant population growth by 2050 (Neumann et al. 2015) as well as major impacts due to sea level rise, increased frequency of extreme climatic events and other climate change-related factors (Neumann et al. 2015; Magnan et al. 2019). Integrated urban-wetland solutions tailored to coastal urban areas could therefore serve multiple purposes by enhancing coastal protection, promoting the implementation of blue and green infrastructure, providing additional ecosystem services as well as contributing to global biodiversity conservation. In terms of limiting the impact of urban growth on natural ecosystems, ecosystem conservation and restoration approaches generally manifest through the planning, establishment, and management of green corridors, protected natural areas and buffer zone requirements. In analysing global trends in built-up percentages adjoining protected areas, Fuentes et al. noted a higher percentage of built areas adjoining small (5–25 km2 ) protected zones and a higher percentage for coastal compared to terrestrial protected areas. Additionally, unprotected 10 km buffer zones are shown to have considerable built-up densities due to the combined effects of displacement related to protected area restrictions and adjoining prime development value areas for leisure and natural recreation. Adjoining built-up zones can have a marked impact on protected area ecosystem biodiversity, ability to adapt to climate change through species migration, and other environmental values (Fuente et al. 2020). Given this impact, the higher percentage of built-up areas in unprotected buffer zones, and higher density near small-scale protection sites, strategies addressing sustainable small-scale urban development within unprotected buffer zones may prove key to conserving and enhancing existing natural ecosystems including wetland areas.

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Due to the increasing threats and rapid decline of existing wetlands, conservation areas do not commonly support urban functions directly but provide ecosystem services indirectly. Therefore, urban wetlands rely mostly on constructed wetland systems which perform specific ecosystem services such as water treatment or flood mitigation and directly support urban functions. However, the full range of urbanwetland-derived ecosystem services is often under-represented, with focus on specific aspects but lacking a holistic perspective (McInnes 2013). An example is the contribution of constructed wetlands to biodiversity conservation. Zhang et al. (2020) noted the potential of constructed wetlands as a means of mitigating natural wetland biodiversity loss as well as a proportional correlation between increased water treatment efficiency and biodiversity. The authors also highlight challenges in achieving biodiverse systems due to simplified constructed wetland configurations which “tend to target one—or, at most, two—aspects of their multiple functions” (Zhang et al. 2020) rather than implementing systemic, holistic approaches. In an urban context, integrated constructed wetlands which holistically mimic and manage the multiple functions of natural wetlands, may therefore offer valuable ecological benefits, and enhance ecosystem service provision, creating a link between urban development and wetland management strategies. Given the multitude of functions and ecosystem services that can be supported by natural and constructed wetlands and, to establish sustainable correlations between urban and adjacent wetland systems, ecological and urban objectives and interdependencies should be considered at a systemic level. Throughout recent decades, various urban design frameworks have provided theoretical systemic descriptions of symbiotic urban-ecosystem relationships, each focusing on a distinct approach such as quantifying material flows or mimicking natural processes. In combination, these theoretical frameworks could provide a basis for representing urban-wetland relationships as a system. However, wetland functions are often site-specific, providing different ecosystem services depending on site characteristics and plant species. Based on a systematic literature review, this chapter aims to map urban-wetland interactions by combining key principles derived from state-of-the-art theoretical systemic descriptions of urban-ecosystem relationships in urban design with sitespecific wetland functions and design strategies. Responding to the challenges and opportunities that coastal areas may face in the coming decades, the case of mangrove and saltmarsh-dominated coastal wetland systems was considered for the contextdependant wetland functions and design strategy analysis. The following Sect. 3 will define the state of the art and synthesize the underlying principles of selected urban design theoretical frameworks through a comparative appraisal. To identify context-specific design strategies, interdependencies, and opportunities for enhanced integration across various objectives, coastal wetland functions will be investigated and categorized in relation to the identified theoretical framework characteristics (see Sect. 4). Using a system thinking approach, the findings of the two review sections (theoretical framework principles and coastal wetland functions) will be combined to provide a systemic description of integrated urban-wetland relationships (see Sect. 5).

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2 Methodology The key aim of the literature review presented here is to map urban-wetland interrelations at a systemic level and establish connections between theoretical principles and context-dependant design strategies and wetland functions. The review is, therefore, structured around the following two topics: urban system frameworks which define urban-ecological relationships at a systemic level; eco system functions and design strategies specific to coastal wetlands. The review covered 120 articles and books with each section aiming to answer specific questions (Fig. 1). The urban system review focuses on identifying the state of the art in terms of urban-nature relationships defined through current established theoretical frameworks. Three inclusion criteria were used to select literature for this section: papers defining frameworks which include generalized and applied principles; papers including a system approach and specific focus on sustainable relationships between urban fabric and environment; papers discussing framework types that have realworld applications, either as existing planning policy or within existing design precedents. Based on these criteria, several key framework examples were identified as representative of existing mainstream approaches with applied usage in real-world policy or urban design. The literature was further screened to select works focusing on the latest, state-of-the-art development for each approach.

Fig. 1 Literature review structure

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Based on this selection of literature, the key frameworks will be summarized and analysed to identify underlying principles. To provide a holistic description of the urban-ecological system, the key resulting principles will be compared and analysed to highlight differences and overlaps between the key approaches (Sect. 3). The eco system review focuses on coastal wetland typologies, identifying specific ecosystem services and their potential connection to urban functions and principles highlighted through the urban system analysis. To establish a clear link between context-specific functions and theoretical principles, identified wetland functions will be categorized in relation to urban framework objectives and elements. The identified functions will be analysed in relation to the framework objectives to define practical design strategies, timescales, and associated SDGs (Sect. 4). The subsequent Sects. 3 and 4 provide a summary of the literature review content and analysis. Section 5 combines the analysis of urban theoretical framework principles and wetland functions. Using a visual system thinking concept map (Kasser 2018), theoretical principles and context-dependant design strategies and wetland functions are combined to provide a systemic description of integrated urban-wetland relationships.

3 Urban System Design Frameworks In the context of climate change mitigation and adaptation actions and future sustainable development, understanding and adequately responding to the complex processes which determine the ultimate environmental and urban effects of potential solutions are key factors. To describe these relationships, a systemic perspective that includes urban-environmental interdependencies is required. This section will therefore provide a summary of state-of-the-art systemic descriptions of urban-environmental relationships in the fields of urban design. Although neither systemic perspectives nor environmentally conscious approaches represent new topics within the field of urban design, the current focus on a holistic, systemic understanding of anthropogenic and environmental processes at the level of international political discourse, social concern and, most importantly, in terms of universally accepted frameworks such as the UN 2030 Agenda (UN General Assembly 2015), represents a major paradigm shift in the last decade. One of the key changes reflected in the 2030 Agenda is the inclusion of environmental objectives in the context of ecological systems having intrinsic value independent of human use. In contrast with the anthropocentric perspective that historically drove humans and associated urban growth, this approach implies a horizontal rather than vertical type of hierarchy defining the relationships between humans and their environment. The following Sect. 3.1, therefore, explores the impact of anthropocentric versus eco-centric approaches in relation to the SDGs and basic assumptions that form the starting point for describing and visualizing systemic urban-ecological relationships.

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Fig. 2 Selected urban design framework types. Insights for a systemic representation of urbanecosystem relationships

Due to the complex nature of cities and the wide variety of design perspectives and theories, the state of the art cannot be defined through a single framework but is rather a combination of the latest advancements achieved in various subfields. The search for framework types that have urban design or planning policy applications and systemically define urban-ecosystem relationships by use of generalized principles yielded a selection of literature that can be grouped into four types of established approaches: urban metabolism, ecosystem biomimicry, nature-integrated systems, and smart city. The literature was further screened to select frameworks that are representative of emerging directions, in each subfield. Each approach provides insight into defining urban-ecosystem relationships as a causal systemic network representation (Fig. 2). Urban metabolic frameworks provide an overview of key urban functions, highlighting links between functions, natural resource use, and urban form. Biomimicry frameworks provide further definition by proposing a hierarchy which mimics that of natural ecosystems. Nature-integrated system frameworks provide an ethical basis derived from empiric trials and practical applications that aid to define system states that are beneficial for both urban and ecological environments. Lastly, smart city frameworks focus on the use of technology and data as a means of connecting urban and ecological systems. The subsequent Sects. (3.2–3.5) describe each of the four framework types through selected examples, aiming to summarize key principles for each approach. Section 3.6 presents a comparative appraisal of the identified principles.

3.1 Environmental Ethics and Systems Thinking In the field of environmental ethics, there are two contrasting positions which define the relationship between man and nature. On one hand, anthropocentrism adopts the view that humans are situated at the top of the global hierarchy and that human interests take precedence over other interests. An action that damages the environment is thus considered justified if it is done in the interest of preserving a human interest (Brennan and Yeuk-Sze 2020). At the other end, eco-centric perspectives adopt the

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view that earth systems in general and “ecological collections such as ecosystems, habitats, species, and populations are the central objects” (DesJardins 2015). The ethical perspective adopted is a crucial factor when aiming to describe and visualize human-nature and implicitly the urban-ecological relationships as one interconnected system. Figure 3 shows a conceptual representation of this system, seen through the lens of each approach and its intrinsic assumptions regarding the hierarchical structure of the system. The eco-centric representation suggests that the overall system behaviour is the result of multiple interconnected drivers. In contrast, by placing greater importance on humans as singular central entities, the anthropocentric perspective assumes that the system behaviour is driven primarily by human interest. A review of the SDGs in relation to the two perspectives (Keitsch 2018) found that the goals can be interpreted as both anthropocentric and eco-centric, integrating aspects of both ethical outlooks. Therefore, the approach expressed through the SDG framework as optimal, idealized system behaviour, suggests that a balanced distribution of human and ecological drivers should be considered. Based on her research into modelling human and ecological system behaviours, pioneer environmental scientist and system thinker, Donella Meadows, defined a system as “a set of elements or parts that is coherently organized and interconnected in a pattern or structure that produces a characteristic set of behaviours, often classified as its function or purpose” (Meadows 2009). In line with the balanced human and ecological objective approach of the SDGs and the definition of a life-based system as driven by multiple interconnected elements, a balanced eco-centric perspective emerges as a more realistic representation. This approach is also supported through the various sustainable framework examples further discussed.

Fig. 3 Anthropocentric system (left) and Eco-centric system (right) (Image from Lehmann 2019 under CC BY 4.0)

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3.2 Urban Metabolism Urban metabolism (UM) is one of the main approaches used in describing cities as systems. The basic concept draws a parallel between cities and living organisms aiming to quantify the urban flows and processes as metabolic balances. While early developments of this concept can be traced back to the late nineteenth century, in relation to the functioning of cities, the concept was first defined as a framework in 1965 (Wolman 1965). In the last fifty years, a multitude of UM-based approaches and applications have been developed and employed for analysing and implementing sustainable practices. Applications in urban design relate to quantitatively describing and analysing key material and energy flows through a city, allowing for targeted improvements. In terms of visualizing UM processes, city systems are commonly described through Sankey diagrams (see Mansfield 2013 MetaFlow examples) which incorporate either linear (traditional) or circular (based on circular economy models) metabolic processes describing the quantity of a given resource at each step from cradle to grave. More recent developments in this field relate to integrating and understanding the metabolic links between multiple dimensions of the urban context such as the impact of timelines (e.g. fast and slow processes) or social structures (Dijst et al. 2018) and establishing links between physical urban form and material and energy flows (Inostroza 2014). An example of a sustainable UM framework which incorporates interconnectivity between the various processes involved as well as connections to urban form is the Urban Ecolution approach proposed by Baumeister and Ottmann (2015). The framework describes urban-ecological interactions at a systemic level, proposing a graphical “solutions generator” representation (Fig. 4). The graphical description of the urban-ecological system highlights relationships between urban functions, ecological resources, and physical urban scales. The system is described as a nested 5 orbit circular diagram, which connects urban functions (outer orbit) to ecological resources, urban form elements, innovation strategies, and applied principles (inner orbit). Various design solutions can be explored by combining elements according to three types of system principles (flows, cycles, networks) and innovation strategies (optimize, transfer, fuse). The core principles described relate to optimizing urban form to take advantage of natural energy flows (e.g. sunlight, water, air flows), linking functions and elements through closed-loop cycles, and building resilience by creating networks with maximum interconnectivity of elements and subsystems. In terms of the links to urban form, a decentralized fractal-based approach, which tackles regional, neighbourhood, or architectural scales, is proposed. The resulting system description utilizes the urban functions, ecological resources, and urban form tiers as parts or elements of the system. The three principles help define which parts of the system are interlinked, while the innovation strategy qualifies each link by describing its types and properties.

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Fig. 4 Ecolution generator tool (Image from Baumeister and Ottmann [2015])

The Ecolution framework provides a good selection and classification of relevant urban functions that affect the resulting behaviour of the urban system. Due to its intended use as a flexible design tool, the system representation proposed is less defined in terms of describing the hierarchical structure and causal logic of the system. This aspect is, however, one of the key contributions of emerging biomimetic frameworks discussed in the following section.

3.3 Ecosystem Biomimicry The second framework type that describes the urban-ecological system derives from the field of biomimicry. The basic premise of biomimetic approaches is the development of designs based on strategies, shapes, and functions that learn from and mimic nature. The term and approach became a mainstream topic in the late 90 s and was popularized notably through the early work of biologist Janine Benyus (Benyus 1997). Through “Biomimicry: Innovation Inspired by Nature” as well as research and resources provided via the institute cofounded by Benyus (Biomimicry Institute 2022), a variety of examples and potential applications for nature-inspired food, energy, manufacturing, and other systems have emerged over the last decades. Biomimetic approaches can be categorized into three types, according to the ecological aspects analysed and the level at which ecological systems are emulated (Hayes et al. 2020). Existing approaches can focus on imitating natural form (e.g. fractal urban design explored by Batty and Longley 1994), imitating biological

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processes (e.g. zero waste production of materials established by McDonough and Braungart 2002), and imitating systemic ecological properties such as ecosystem principles and strategies (e.g. regenerative urban design explored by Pedersen Zari 2018). Through a review of current literature, Hayes et al. note that, while system biomimicry is recognized as having the potential to enable the development of holistic, sustainable solutions, there is “limited investigation of biomimicry at the system-level to date” (Hayes et al. 2020). Although still an emerging subfield of biomimicry, the system-level approach was deemed sufficiently developed, theoretically and conceptually, for the purpose of the analysis proposed here, and thus, considered as representative of the state of the art within the field of biomimicry. The ecosystem-level biomimicry framework proposed in “Regenerative Urban Design and Ecosystem Biomimicry” (Pedersen Zari 2018) provides an example of a sustainable biomimetic framework that explores applications of system-level biomimicry in urban design. The framework also incorporates, as core purpose, the biomimicry definition of sustainable design as “creating conditions conducive to life for all human and natural systems” (Peters 2011). Blanco et al. analyse the ecosystem biomimicry approach in relation to urban planning practice and two practical application case studies. The analysis reveals that “few built urban projects engaged in sustainable development practices have applied the general idea of emulation of ecosystem services provision” (Blanco et al. 2021). The authors also note that challenges remain in terms of achieving a holistic application of the framework in practice, mostly due to the increased complexity of managing multiple objectives and practical constraints which tend to result in prioritizing specific goals rather than maintaining a holistic focus throughout all phases of a project. The ecosystem biomimicry framework employs cross-disciplinary research findings describing ecosystem principles and builds on the Biomimicry Guild’s “life’s principles” (Peters 2011), by providing a logical, ecologically compatible hierarchical structuring. The four-tier hierarchical structure (Fig. 5) acts as a “nested hierarchy” describing causal relationships between different system properties. The first tier represents the context in which ecosystems and life in general evolve consisting of two principles: constant change as a fundamental system characteristic and survival as the basic system purpose. The second tier lists four strategies: adaptation at different levels and rates, resiliency in the context of constant change, life enabling or benign impact on connected systems, and diversity of species, relationships, and information. Tier two strategies directly link to tier one as basic processes which allow for the tier one system purpose to be achieved. The third tier has a qualitative dimension and represents further principles or means that enable the manifestation of tier two strategies. Finally, the fourth tier consists of specific functional qualities which support and enable tier three principles.

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Fig. 5 Four tier nester hierarchy system diagram (Image from Pedersen Zari 2018)

In overview, the biomimetic framework provides a causal hierarchic structure, where tier four functions support tier three means of achieving tier two strategies, ultimately dictating the evolution of the system towards achieving its tier one purposes. This hierarchical structure could be applied as a method of organizing key urban functions identified via the UM framework analysis.

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3.4 Smart City With the increasing integration of information and communication technology (ICT) systems within urban infrastructure, the smart city concept represents one of the main frameworks which connects the information, technological and infrastructural networks of the city to the social, political, and other urban dimensions. Smart city programmes have, thus far, been implemented globally through various government initiatives such as the European Union’s “Smart Cities Marketplace” (European Commission 2022) which offers resources, funding, and support for the implementation of smart city initiatives across scales. Further to an extensive literature review of existing definitions, a recent study proposed the following description for sustainability-oriented smart cities: “Smart city is a concept of urban transformation that should aim to achieve a more environmentally sustainable city with a higher quality of life, that offers opportunities for economic growth for all of its citizens, but with respect to the particularities of each locality and its existing inhabitants” (Toli and Murtagh 2020). In relation to the urban-ecological relationships, the smart city concept translates into initiatives for the use of, so-called “smart technologies” to improve the management and sustainable use of ecological resources. The latest developments relate to the emerging field of smart ecosystem management or “technoecology” (Nitoslawski et al. 2019). In an analysis of trends in smart urban forestry, Nitoslawski et al. identified two key trends for smart applications in urban forestry: the use of data and digital technologies as “tools to improve the delivery of benefits (or ecosystem services) provided by urban green infrastructure” and to “enable stakeholder participation and engagement, to connect people to nature and facilitate citizen empowerment in urban forest management”. An example of a framework integrating both trends is the concept of “Internet of nature” (IoN) coined by Galle et al. (2019). The IoN framework proposes that to manage urban ecosystems efficiently and sustainably, natural systems should be integrated into digital landscapes. The key strategy is to combine existing available technological infrastructure (data from sensors, satellites, and citizen scientists) to “determine how ecosystem components interact in a city’s social-ecological landscape” (Galle et al. 2019). The participatory and social aspect is tackled through the inclusion of wearable technologies, and augmented and virtual reality applications which collect data and respond to the online presence of green spaces based on proximity. At the same time, the author highlights the potential to actively inform planning and management decisions based on natural behaviour (e.g. through the use of plants as biosensors). In terms of the contribution to defining state-of-the-art descriptions of the urbanecological system, the IoN framework provides further insight into how digital infrastructure (various digital monitoring methods), “ecological intelligence” (biological data from biosensors and ecosystems), and social systems can be linked to optimize and enhance symbiotic urban-ecosystem relationships.

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3.5 Nature-Integrated Systems The nature-integrated systems theme covers frameworks which work directly with living ecosystems, deriving their core principles from an empiric understanding of natural rules derived from practical applications. Two examples of holistic approaches which promote the use of ecosystems as active elements were selected: permaculture (PC) and the four returns framework for landscape restoration (4R). Permaculture is an ethical and design framework that was initially developed at smaller scales and emerged in the early 1980s through the work of biologist Bill Mollison and environmental designer David Holmgren (Mollison and Holmgren 1978). The framework is driven by a set of ten implementation principles and three ethical principles defined in support of creating sustainable and self-sufficient landscapes (Fig. 6). The latest advancement in this field constitutes the up-scaling and application of these principles at the city scale (Hemenway 2015). The ethical position proposed in PC is a moderate eco-centric approach, in line with the SDG appraisal in relation to the two opposing anthropo- and eco-centric positions (see Sect. 3.1). The framework is driven by three key ethical principles: care for earth, care for people, and fair share. In relation to the urban-ecological system description, the principle of equal or fair shares, assigns equal importance to both human (“care for people”) and ecological (“care for earth”) interests, providing a definition of an idealized, balanced system state. As shown in Fig. 6, in terms of the systemic representation of urban-ecological relationships, the PC framework further connects the three ethical principles to specific urban subsystems which holistically incorporate socio-political, cultural, physical, ecological, and economical dimensions of the urban environment. The ten implementation principles largely overlap with those identified for the UM and biomimicry frameworks discussed. Principles 7 (Start with small-scale intensive

Fig. 6 Permaculture ethics and principles (Image Permaculture ethics flower by Darren Roberts under CC BY-NC-SA 4.0)

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systems) and 8 (Optimize Edge), however, add further spatial definition. Principle 7 can be connected to the idea of working with fractals, which appears in both UM and biomimicry frameworks but, in this case, the formulation implies a time-based evolutive process in terms of design scales. Principle 8 connects with the UM and biomimicry characteristic of diversity and highlights a practical, spatial method for encouraging diversity in the system. Principle 10 (Use of biological resources before technological ones) is the single principle which is not reflected in the frameworks previously presented and is representative of the approach towards utilizing ecosystems as active partners in achieving urban functions. In the context of PC, it is also argued that ecological resources are mostly renewable and recyclable while technological resources often result in waste (Hemenway 2015). In overview, the PC framework adds definition in terms of the generalized principles describing the urban-ecological system and, most importantly, provides a starting point for assessing system equilibrium states through the fair share principle. The 4R framework (Dudley et al. 2021) combines established practice-based approaches to land restoration, aiming to help “balance competing stakeholder demands in a mosaic of different management approaches” and “supply a full range of natural, social and economic returns” (Dudley et al. 2021). The framework proposes five key processes implemented within three types of landscape zones over a twentyyear timeline, targeting a shift from investment returns per hectare to four types of returns per landscape or ecosystem area (Fig. 7). The five processes are based on the Theory U change management method (Scharmer 2016), focus on stakeholder and community engagement, and include participative planning and development of the implementation strategy, transparent and collaborative implementation, and long term monitoring coupled with adaptive strategies. To integrate both socio-economic and environmental protection agendas, the 4R framework proposes three distinct but interlinked zones for the implementation of various landscape restoration measures: natural, combined, and economic zones (Dudley et al. 2021, Brasser and Ferwerda 2017). The economic zone refers to urban and peri-urban contexts, with key interventions aiming to maintain and restore green corridors, integrate built environment and infrastructure with sustainable ecological processes, and implement sustainable agriand aqua-polycultures. The combined zone refers to low density zones that implement sustainable agriculture, agroforestry, and fisheries. These areas can be interpreted as hybrid landscapes that are productive both in an ecological sense but can also generate revenue and can have cultural value. Lastly, the natural zone refers to existing biodiverse ecosystems which support endemic flora and fauna, and provide valuable ecosystem services and opportunities for sustainable tourism and recreation. The key interventions proposed are the conservation and management of these areas to retain biodiversity and minimize ecosystem service provision.

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Fig. 7 Four returns for landscape restoration framework processes, zones, and returns (Image Based on Dudley et al. 2021)

The suggested minimum twenty-year timeline draws on practical experience regarding the ecological timeline for the establishment of restored biodiverse landscapes. This aspect impacts planning, management, and monitoring strategies which, due to funding cycles and governance structures, are currently designed for much shorter timeframes. Dudley et al. (2021) present a series of case studies where the 4R processes and spatially zoned implementation measures were applied considering a long-term perspective. The impact of the measures is analysed in terms of the four returns and their associated SDG targets, showing contributions across almost all SDGs. In terms of state-of-the-art descriptions of the urban-ecological system, the PC and 4R frameworks, both establish connections between ecological principles and spatial parameters (optimal edge conditions, functional ecological zoning). Additionally, the 4R framework provides strategies for community engagement and an indicative timescale.

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3.6 Comparative Appraisal The aim of this review section was to identify the underlying principles of state-ofthe-art theoretical urban design frameworks that focus on the relationship between cities and ecosystems via systemic approaches. Due to the complex nature of the topic, several relevant frameworks were identified as representative of different aspects that define the state of the art. The principles, approaches, and system characteristics identified for each framework have multiple points of overlap, are complementary, and should be read as a multifaceted description of the state of the art. While nature-integrated systems frameworks were the most holistic (including definition of ethical approach, functionally integrated urban-ecosystem relationships and relate to all urban subsystems), smart city frameworks provided resolution in terms of aspects less defined in the other frameworks such as the role of technology and information in sustainability and the connections between information, social, and ecological networks. From a system thinking point of view, the biomimetic and metabolic approaches provided the clearest descriptions of the urbanecological system, identifying the underlying hierarchical structure as well as key parts, functions, and connections. Among the frameworks analysed, the 4R and smart city IoN frameworks propose a clear distinction between the human (social) and ecological (conservation and services) dimensions, providing insights on achieving human-nature collaboration through social engagement. Although the UM and PC frameworks also describe relationships to social and community dimensions, in terms of the proposed principles, the focus is on drivers affecting the ecosystem. Figure 8 shows a comparative analysis of the various framework principles. In accordance with the IoN and 4R frameworks, the principles are divided into two categories: ecological and socio-technological. The ecological principles can relate either to ecological or urban subsystems but are derived from ecosystem analysis. The socio-technological categories refer to community engagement aspects, relating to the anthropogenic social and cultural context. The smart city IoN framework, relates to both ecological and social principles, emerging as a key connector. Extrapolating from the various principles discussed and their overlap, five basic system objectives can be observed: maximize connectivity; minimize impact; maximize diversity; integrate multifunctionality and redundancy; use decentralized, locally adaptive elements. These five objectives can be traced back to all the reference frameworks and are explored to various degrees of specificity in each framework.

Fig. 8 Comparative framework principle analysis

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4 Eco System Urban and Natural Functions This review section focuses specifically on wetland functions that could be achieved via the integration and sustainable use of this ecosystem in the urban context, aiming to highlight links between practical design strategies, ecosystem functions and the key urban functions, and principles identified through the analysis of urban system frameworks. Given that practical design strategies and ecosystem services are site specific, the literature search focused mainly on wetland functions and services relating to coastal salt marsh and mangrove ecosystem functions as a site typology exemplar. To facilitate connecting urban and wetland functions, ecological functions are grouped according to the five categories derived from the UM framework: protection, productivity, community, security, and transmission. Ecological functions are included in each respective category based on either providing an ecosystem service associated with the specific urban function category or performing a similar role in natural cycles. Based on the analysis of the literature, key divers for each of the ecological functions are identified. The drivers are further linked to the urban framework principles resulting in a series of potential design strategies for integrated urban-wetland proposals.

4.1 Protection In the context of urban functions, protection is strongly linked to the structural and infrastructural layers of the city implying the provision of shelter either as habitat or as shelter from environmental phenomena such as storms and floods. In terms of flood and storm protection, wetlands deliver important protective functions for flood mitigation (Adnitt et al. 2007; Colloff et al. 2016), wave and storm tide attenuation (Smolders et al. 2015), and coastal erosion mitigation (Adnitt et al. 2007). These functions are well documented and recognized as important ecosystem functions. The use of urban-wetland areas for flood mitigation has been implemented globally through planning frameworks such as the Sponge City Programme in China (Zevenbergen et al. 2018), low impact development strategies in the USA (US Environmental Protection Agency 2021), Sustainable Urban Drainage Systems in the UK (Ellis et al. 2003), or Water Sensitive Urban Design in Australia (NSW Roads and Maritime Services 2017). The function of mitigating coastal erosion, a consequence of the natural growth of coastal wetland ecosystems through sediment accretion, is similarly well recognized. Strategies using mangrove planting to reverse coastal erosion have been applied in initiatives such as the Building with Nature Indonesia project (Tonneijck et al. 2015). The Building with Nature Indonesia project relied on the introduction of series of semi-permeable timber dams in areas which had been flooded due to the eroding

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coastline resulting from mangrove deforestation. The dams were strategically placed to affect local hydrology and allow for mangrove repopulation which gradually led to coastal areas being reclaimed. While ecosystem services such as coastal protection provide valuable support for urban functions, at a more localized scale, wetlands play a key role in natural habitat provision. Because they are transitional ecosystems, wetland habitats can accommodate a variety of different species (either seasonally or permanently) from both aquatic and terrestrial surrounding environments. Elements such as larger scale plant litter and mangrove root structures create a diverse micro-topographic landscape which provides some species with shelter from predators and habitat (Maschhoff and Dooley 2001). Although species inhabiting wetland ecosystems are generally adapted to seasonal flood patterns, given their use of wetland ecosystems as nurseries (Whitfield 2016), the function of wave attenuation plays a key role in the provision of suitable, wellprotected nursery habitats. In terms of key drivers, the protection functions are largely dependent on hydrological cycles and the process of sedimentation. This process is in turn affected by the distribution of plant root systems which act as sediment aggregators and sustain the sedimentation process. According to the principles identified within the theoretical framework review, integrated urban-wetland designs should optimize the impact of man-made structures to support all the above functions. Plant to urban land use ratios should be optimized according to the fair share principle. Strategic shape and placement of infrastructure in relation to hydrological impact could further be optimized to support and enhance sedimentation processes and promote ecosystem growth. At the same time, to support habitat provision functions, the morphology of man-made structures such as pontoons or wave breaks which attach to the ecosystem could mimic natural micro-topographies.

4.2 Productivity The function of productivity relates to industry and the production and commercialization of goods in the urban context. Wetland ecosystems can support the production of a variety of goods, especially for the food industry. While the conversion of wetlands to agricultural land is one of the main threats to the ecosystem, recent growing interest in halophytic cultures (see Ventura et al. 2015) provides an opportunity for a more sustainable type of agriculture where halophytes could be cultivated alongside endemic coastal wetland plants. Aside from their current use in gourmet foods (Barreira et al. 2017), halophytes grown in coastal wetland environments can also be used as fish feed and cattle fodder (Khan et al. 2009). Additionally, the ecosystem provides good growing conditions for small-scale sustainable aquaculture such as mangrove-integrated silvofisheries (see Fitzgerald

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2000), can provide habitat for honey production (Clough 2013) and mangrovederived food products such as mangrove fruit flour (Afifah et al. 2021; Jariyah et al. 2014). Other documented uses relate to the use of mangrove timber for furniture and small objects as well as mangrove-derived tannin dyes for clothing (Clough 2013). In terms of natural cycles, research shows that increased biodiversity correlates with increased ecological productivity (Flombaum and Sala 2008). As diverse, transitional ecosystems, wetlands play a vital role in sustaining local biodiversity and implicitly ecological productivity. The implementation of wetland agriculture or aquaculture systems would, therefore, require careful consideration in terms of maintaining nutrient cycles and supporting biodiversity by preserving sufficient natural habitat and employing polyculture-based agri- and aquaculture techniques. The use of small scale, diverse cultures may also create resilience at the urban level, by diversifying revenues and implementing the theoretical framework principles of multi-use and diversity.

4.3 Community In the urban context, community describes social, political, educational, and cultural functions. Wetlands and especially mangrove forests can contribute by providing natural areas for recreation and sustainable touristic activities (Ramsar Convention on Wetlands 2012) such as kayaking or bird watching. Additionally, wetlands could play a role in research and educational activities, with potential positive impact through job and revenue creation. Additionally, from a cultural and spiritual point of view, especially for indigenous peoples, wetlands can have significance as ceremonial or traditional hunting/gathering sites (Australian Government 2016). In terms of equivalent functions in natural cycles, the notion of community could be interpreted as representing species interconnectivity. In this regard, wetlands play an important role in sustaining a global network of sites and associated species. A study into the effects of wetland loss (Iwamura et al. 2013) found that a predicted 30% loss in wetlands could lead to a staggering 72% loss in migratory bird species along specific flyways. The loss of migratory species would have a cascading effect on other sites along the flyways, causing species redistribution and ultimately affecting the ecosystem services that local communities rely on. According to the principles identified within the theoretical framework review, urban-ecological systems should aim to minimize their impact on connected systems. In the case of integrated urban-wetland areas, minimizing the impact on migratory species is a key design consideration. Relating to community and lifestyle, activities near migratory species’ habitats could be synchronized with the seasonal patterns of resident species to ensure minimum disturbance (e.g. by reducing noise and light pollution).

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4.4 Security The function of security relates to the provision of health and defence services in the urban context. In terms of health benefits Clough (2013) documents a wide variety of reported medicinal uses for mangrove bark, fruits, or other extracts. Depending on the species, the medicinal uses reported range from treatments for asthma to rheumatism, ear infections, and many others. Additionally, by contributing towards providing clean air and water (see next section), wetland ecosystems aid towards the provision of a healthy living environment which equally affects both humans and other resident species. In terms of the ecological counterparts, wetlands and other diverse ecosystems exhibit the framework principle of multifunctionality and integrating redundancy. The integration of redundancy and general decentralized structures of ecological systems, allow for resilience, an objective similar to the urban function of defence. At the level of integrated urban-wetland design strategies, this aspect can be expressed using decentralized systems for essential food, water, energy, and shelter provision. For example, energy provision can be achieved through multiple technologies relying on alternative ecological resources (e.g. decentralized, combined wind, and solar farming), thus incorporating redundancy and increasing resilience. Food production, water purification, and raw material supply for shelter can be directly linked to integrated-wetland ecosystems. Constructed and hybrid wetland areas can supply alternative food sources, can be used for water treatment (see Sect. 4.5), and can provide a source for timber if sustainably managed through the application of the fair share principle.

4.5 Transmission In the urban context, transmission functions relate to water, waste, and energy cycles as well as the transport of people and goods. At this level, wetlands provide a wide range of beneficial services. Firstly, in terms of water cycles, constructed wetlands are commonly used to treat wastewater (Vymazal 2010) and are highly efficient in removing excess nutrients, and pathogens (Yang et al. 1995). In terms of transport, coastal wetlands provide access from both land and water, potentially allowing for the optimization of transport routes towards more sustainable and efficient solutions. Additionally, a key wetland function which affects both urban and natural systems is microclimate regulation. Studies (Sun et al. 2012; Chun-ye and Wei-ping 2011; Jain and Carpay 2020) show that urban wetlands have a cooling effect on their immediate surroundings and help mitigate the heat island effect specific for urban areas. In hot climates and during summer months in temperate climates, energy consumption is greatly affected by external temperature and shading. Wetlands,

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specifically mangrove forests could therefore help reduce energy consumption by providing shading and cooling during hot seasons. Lastly, wetland ecosystems act as efficient carbon sinks, having a greater carbon burial rate than terrestrial ecosystems (Fennessy and Lei 2018). In terms of wetland uses for the natural realm, nutrient and water cycles are closely interlinked with the overall functioning of the ecosystem. Nutrient cycles are driven by plant litter decomposition, transport of nutrients via water flows, and consumption via root uptake or by other species. The aspect of transport can also be linked to the specific hydrological regime. For example, in tidal areas, mangrove propagules are seasonally released and transported via tidal action helping to establish new pioneer plant colonies (Nadia et al. 2012). Additionally, microclimates have been shown to be robust under large-scale climatic changes and their conservation was deemed a viable adaptation strategy due to the potential of microclimate zones to act as climate refugia (Woodson et al. 2019). In terms of design strategies, integrated urban-wetland systems could be optimized to capitalize on the shading and microclimate effects of wetlands. In addition, in terms of waste cycles (e.g. water and organics), urban systems could be optimized to maximize the use of wetland services while maintaining nutrient cycles.

4.6 Timelines A key factor in creating sustainable links between urban and ecosystem functions is understanding the various timelines that characterize wetland processes. Short timelines influence the effectiveness of wetlands in attenuating storm surges for tidal estuaries, while seasonal patterns affect plant growth and implicitly ecosystem growth, and long-term processes can impact decomposition, nutrient delivery, and ecosystem response to other long-term processes (e.g. sea level rise) (Giurgiu 2021). To enhance and maximize the utility of each wetland function, urban systems should incorporate similar cycles within the associated urban function. Based on the links identified above, Fig. 9 shows each function category in relation to its corresponding ecosystem timeline. Additionally, in accordance with the 4R framework, long-term timelines should be considered in terms of community engagement as well as planning and monitoring of potential applications for urban-wetland integrated systems.

4.7 Ecosystem Functions Summary The main aim of this review section was to identify and categorize coastal wetland functions in relation to their urban counterparts identified through the review of theoretical frameworks.

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Fig. 9 Timelines and urban/ecological functions (O = protection, P = Productivity, C = community, S = security, T = transmission)

Sections 4.1–6 categorized ecosystem services and natural roles based on the five urban framework function categories. Based on the identified key ecosystem function drivers and derived urban framework principles, potential design strategies for an enhanced urban-wetland integration were highlighted. The overarching principle that seems to emerge from this analysis is that optimization across functions could be achieved by modifying the urban dimension to match ecosystem processes, timelines, and characteristics. In terms of the holistic use of the multiple functions and services that could be derived from integrated urban-wetland systems, the protection functions emerged as fully established in terms of the existing usage of urban wetlands. With the exceptions of wastewater treatment, carbon storage, and protection of interconnectivity (global wetland network), the other functions identified (especially productivity aspects) were not commonly employed in the context of urban wetlands. While the multiple functions of wetlands are acknowledged within general assessments and guidelines, multi-functional implementation approaches are not as widely explored within practical applications. Table 1 overleaf summarizes the findings of the review and comparative analysis, listing the wetland functions identified and their potential benefits in relation to potential design strategies and timelines. The functions are also connected to specific SDGs, showing that enhanced urban-wetland integrated systems have the potential to simultaneously target a wide range of SDG goals.

5 System Thinking Concept Map The aim of the literature review presented was to define the state-of-the-art urban theoretical framework descriptions of urban-ecological relationships at a systemic level (Sect. 3) and to further connect the principles and functions of theoretical frameworks to practical design strategies and ecological functions typical of coastal saltmarsh and mangrove ecosystems (Sect. 4). To provide an overview of the resulting urban-ecological system description, the outcomes of the two review sections will be combined into a system thinking concept map.

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The comparative appraisal of the four key framework types identified five basic system objectives that can be traced back to all the reference frameworks: maximize connectivity; minimize impact; maximize diversity; integrate multifunctionality and redundancy; use decentralized, locally adaptive elements. Furthermore, each framework provided a definition regarding specific aspects relating to the representation of the urban-ecological system. The PC framework provided an ethical perspective that could help achieve a balanced system behaviour. The UM framework defined the categorization and identification of key urban functions, while the biomimetic framework provided a causal hierarchical structure. The 4R and smart city IoN frameworks provided strategies for linking urban social and community dimensions with ecosystem growth through engagement, with the 4R framework adding an ecologically attuned spatial zoning strategy. The proposed concept map is, therefore, based on the combined frameworks and applies the five objectives as key characteristics of the visual representation. As shown in Fig. 10, which explains the logic of the combined system representation, the fourtier structure and causal connectivity derived from the biomimicry framework were applied as the basic hierarchical structure of the map. Due to the number of elements and to achieve visual simplicity, tier one was located on the inner orbit of the map with tier four representing the outermost orbit. Figure 10 aims to provide a generalized approach that could be applied to various ecosystem typologies. Context-dependant elements are therefore shown generically with a contextual application example based on the ecosystem functions identified in Sect. 4 shown in Fig. 11.

Fig. 10 Concept map structure integrating state-of-the-art framework principles

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Fig. 11 Combined system thinking concept map

The innermost orbit describes the purpose of the system and includes identified key urban function categories derived from the UM framework. The UM functions were interpreted as multiple tier one system objectives or purposes which ensure the survival of the urban system in the context of constant change. The second orbit includes strategies that allow for achieving the urban functions describing the system purpose. A special case is that of protection strategies which are context dependant. For example, in a coastal context, the purpose of protection may be achieved through wave attenuation or coastal erosion protection while on other sites, protection strategies may include strategies such as planting trees or installing infrastructure to fix soils and avoid mudslides. Strategies relating to the remaining four purposes are based on the UM framework functions and have been condensed or expanded to reflect the general findings of

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the ecosystem literature review. For example, in the case of productivity, natural system productivity is interlinked with diversity (see Sect. 4). Therefore, plant and animal diversity were considered the two key strategies for achieving ecological productivity, while the UM framework sub-functions (industry, retail, agriculture, etc.) were grouped under the general heading of revenue diversity. The third orbit represents the means through which each specific strategy is achieved. In line with the 4R framework spatial zoning strategy and the system objectives of maximizing diversity and integrating redundancy, the selected means are characterized as urban, hybrid, or natural types, representing the 4R natural, combined, and economic zones. The outermost orbit represents specific functions or elements that support each mean, strategy, and purpose and are also characterized as urban, hybrid, or natural per the 4R framework. The system objective of minimizing impact is complementary to the PC framework fair share principle and can be applied across the various tiers. Consequently, the fair share principle is represented as a percentage which describes the distribution of urban, hybrid, and natural contributions for each specific node. Given the causal nature of the system representation and, although supporting functions and means may have differently weighted values, the system behaviour would be dictated by the sum fair share ratios determined at the supporting functions and means (tiers 3 and 4) levels. However, to enable the application of the fair share principle across all tiers, a strategy for normalizing values across the different tiers and differently weighted nodes should be considered. Due to the multiplicity of functions performed by natural ecosystems, it is likely that ecologically based supporting functions would repeat under the different strategies and purposes. These elements, therefore, could have the potential to maximize connectivity across tiers and between different purposes and system elements. While not directly expressed through the graphical system map, the decentralized and adaptive nature of the system remains a guiding principle that should inform the selection of strategies, means, and supporting functions for a specific site. Likewise, the 4R and smart city IoN engagement strategies should be applied as a key mode of creating collaboration opportunities across urban, ecological, and social elements of the system. The generalized approach presented above defines the combined state-of-the-art urban theoretical framework descriptions of urban-ecological relationships into a unitary system representation. The resulting concept map shown in Fig. 11, adds a further definition for the context-dependant elements, connecting the theoretical principles to site-specific practical design strategies and ecological functions derived from the summary findings of the ecosystem review section. The classification of the ecological processes according to the urban function categories derived from the UM framework (see Sect. 4.7), aids to integrate both urban and ecological drivers within a cohesive, interconnected system representation and should be interpreted in conjunction with the overview design strategies and timeline considerations identified for each function (see Table 1).

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Table 1 Wetland function benefits, applicable design criteria and timelines (O = protection, P = Productivity, C = community, S = security, T = transmission)

One advantage of interlinking site-specific functions, means, and strategies within the combined system map and associated theoretical principles is that the system representation incorporates qualitative aspects expressed through the theoretical frameworks while at the same time, the overall grouping of the functions, could allow for the application of the fair share principle at a quantitative level. Supporting, tier four functions connecting to the same means node could be quantified using the same quantitative units. For example, for the purpose of nodes of protection, security, and

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community, the fair share ratio could further be derived from land areas (sqm) as the common unit of supporting functions. This would provide an opportunity to normalize variables across the third tier in the form of percentages of contribution afferent to urban, hybrid, or natural supporting functions towards achieving a specific mean. The same logic for determining fair share ratios as percentages can be applied at the level of the second and first tiers, ultimately resulting in an overall fair share ratio that describes the system balance state according to the quantitative inputs of supporting functions. According to the identified design strategies, the security purpose nodes could be quantitatively described in relation to the amount of multi-functional elements, amount of alternative supporting functions (to include redundancy), and centralized/decentralized structure. Functions relating to this purpose node could, therefore, utilize number of elements per land area as a quantitative ratio. For example, in the case of an agriculture application, the function of food production would be assessed according to the ratio of number of species cultured per area of cropland. The higher the ratio value, the more diverse the crop and therefore more resilient. A similar approach could be used for the transmission purpose nodes. Energy production, as well as water supply and treatment could be quantified through standard units (e.g. kWh or cubic meters) relative to the overall system demand while food production and waste management-related functions could be quantified by mass (kg). In summary, the system map logic derived from the combined theoretical framework principles could be applied as a general representation method for urbanecosystem integration, applicable to various sites. The combination of the system map logic with coastal wetland functions and the resulting context-specific concept map provides an example of an applied systemic description of the various relationships that could be harnessed through enhanced urban-wetland integration. Furthermore, the concept map example revealed a potential method to further expand the representation and encompass quantitative values that, using normalized units, could enable the translation of the ethical fair share principle into a practical assessment criterion, that could be used to inform design decisions at a systemic level. While the map provides a detailed, holistic representation of the urban-wetland system relationships, the potential fair share ratio implementation method could indicate a future research direction exploring a simple way of assessing design system performance and balance through the single fair share indicator.

6 Conclusion In the context of climatic changes and increasing population growth, enhanced urbanwetland integrated solutions which maximize the use of wetland ecosystem services, minimize detrimental environmental impacts of urban growth, and employ urban infrastructure and activities to support ecosystem functions emerge as potential sustainable development solutions for coastal areas.

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At the same time, sustainable solutions are defined as holistic, systemic approaches that consider the complex interdependencies of both urban and ecological systems. The chapter presented a two-pronged qualitative literature review aiming to define the state-of-the-art urban theoretical framework descriptions of urbanecological relationships at a systemic level and to further connect the principles and functions of theoretical frameworks to practical design strategies and ecological functions typical of coastal saltmarsh and mangrove ecosystems. The first part of the literature review focused on identifying state-of-the-art urbanecological system descriptions within urban design. The comparative appraisal of urban metabolist, biomimetic, nature-integrated, and smart city framework principles, revealed five overarching system objectives: maximize connectivity; minimize impact; maximize diversity; integrate multifunctionality and redundancy; and use decentralized, locally adaptive elements. Each framework provided definition regarding specific aspects of the urban-ecological system. The PC framework ethical perspective is defined balance system states. The UM framework defined key urban functions, while the biomimetic framework provided a causal hierarchical structure. The 4R and smart city IoN frameworks provided strategies for linking sociotechnological and ecological dimensions and an ecologically attuned spatial zoning strategy. To account for the specialized nature of ecosystems, the second part of the literature review focused on coastal wetland functions and classified ecosystem functions and services according to key urban function categories derived from the theoretical frameworks, further linking each function to specific design strategies, temporal scales, and related SDGs. Wetland ecosystems and, implicitly, enhanced urbanwetland integrated systems were shown to have the potential to simultaneously target a wide range of SDGs. To provide an overview of the resulting urban-ecological system description, the outcomes of the two review sections were combined into a system thinking concept map which applies the five objectives as key characteristics of the visual representation. The derived logic and structure of the map provided a generalized approach that could be applied to various ecosystem typologies by combining the theoretical framework principles to organize UM-derived urban functions according to the causal four-tier structure derived from the biomimicry framework and qualitative node description derived from the PC and 4R frameworks. By connecting the theoretical principles to site-specific practical design strategies and ecological functions derived from the wetland function review section, the concept map combined both urban and ecological drivers within a cohesive, interconnected system representation. The context-specific concept map provides an example of an applied systemic description of enhanced urban-wetland integration relationships and reveals a potential future research direction that would focus on further expanding the map to include weighted quantitative parameters via a potential method of translating the PC ethical fair share principle into a practical assessment criterion. In this context, the concept map could be used to inform design decisions at a systemic level by allowing the exploration of interdependencies formed within integrated urban-wetland solutions

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and, if expanded could be utilized and as a valuable assessment tool for the system balance design of enhanced urban-wetland integrated solutions.

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HydroPolis: How to Evolve Solutions for Floating Eco-Village Collectives? Daniela A. Ottmann

Abstract This project investigates the potential of design thinking and co-design processes in developing sustainable floating architecture solutions for a collective eco-village called Hydropolis, situated on the subtropical east coast of Australia. The project aims to address the pressing need for climate-adaptive and eco-integrated urban solutions in light of the ongoing climate emergency. The design phases are structured following a design thinking approach and involve co-design with various stakeholders. The study evaluates the effectiveness of the applied design thinking competencies and highlights the importance of combining design-informed solutions with science-informed practices. The findings suggest that the role of designers can be expanded to include the development, facilitation, and generation of hybrid domains of complexity, transforming the tragedy of the dichotomy of sea and city into an opportunity. The research outcome is a Hydro Design Transformer Tool, which integrates design and science-informed practices in developing sustainable floating architecture solutions. The results provide valuable insights for advancing sustainable urban development and demonstrate the potential of combining design and scientific approaches in shaping a resilient and eco-integrated future. Keywords Sea-level rise · Design thinking · Architecture · Urban design · Complex systems

1 HydroDemand: Background and Importance of the Study While writing this chapter, South East Queensland just experienced a one-in-acentury flooding event. With insurance recovery costs of $5.134 billion, this flood has become the second most expensive extreme weather event in Australia’s history, D. A. Ottmann (B) Abedian School of Architecture, Faculty of Society and Design, Bond University, Gold Coast, QLD, Australia e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. Baumeister et al. (eds.), SeaCities, Cities Research Series, https://doi.org/10.1007/978-981-99-2481-3_3

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surpassing 1974’s Cyclone Tracy and falling behind only the 1999 Sydney Hailstorm, which incurred insured losses of $5.57 billion. The Sixth IPCC Report of 2022 confirms that extreme events such as heatwaves, droughts, floods, storms, and fires have had a significant impact on various aspects of society, including human health, households, communities, businesses, ecosystems, critical infrastructure, essential services, food production, the national economy, and valued places and employment (Hennessy et al. 2022). In line with this, the UN Sustainable Development Goal 11.6 aims to reduce the environmental impact of cities by 2030, with a focus on air quality and waste management (UN 2015). The ongoing process of urbanization to accommodate the rapidly increasing global population presents a challenge in adapting to principles of ecological systems in the planning, design, construction, and operation of cities. The integration of fluid elements such as water and its dynamic forces with the static nature of built structures presents a dichotomy in urban development that can only be resolved through innovative problem-solving approaches and a shift towards a systemic transformation. Therefore, this chapter explores potential strategies for reconciling the dualism described in ‘The Birth of Tragedy’ between rigid established beliefs and ’fluid’ universal knowledge. The aim of the study is experimentation of mixed method (Design Thinking and Co-Design) derived design solutions that revolve a multiplex network of parameters: Urban Design and Mixed Development for a thriving small-scale self-sustainable (water, energy, food, socio-economic) community, ecologically driven (as low sustainable impact, emissions, and waste envelopment), and embracing (salty) water in the lagoon as floating architectural solutions that are negotiated as symbiosis network. The study identifies potential locations for design experiments based on the expected impact of sea-level rise on coastal development in 100 years and existing infrastructure connections to metropolitan areas in South East Queensland (Brisbane to Gold Coast) in Fig. 1.

2 HydroMethodology: Innovations Methods Used Design Thinking, Participatory Planning, and Co-Design In the high complexity of the structurally static built environment (urban design and architecture), the element of water within cities has been combatted by leading it through aqueducts, canals, and pipes or engineered to stay away from buildings by protecting structures like dams, seawalls, bulkheads. Built environments (Polis1 ) and Water (Hydro2 ) seem to represent opposing forces. 1 2

From Greek polis ‘city’. Hydro = from Greek hud¯or ‘water’.

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Fig. 1 Sea-Level Rise Map Gold Coast by 2100 (based on IPCC Scenario + 1 m) and an indication of floating Eco-Village potential sites (grey circles) and HydroPolis location (red circle)

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With anthropogenic impact on changing climate, sea-level rise, and flooding events, this dichotomy requires a transformative investigation into methods to solve the ‘duality of opposing forces’. Nietzsche (1873) describes such a solution as the ‘ultimate art’ in the negotiation between Dionysus (live, create art, chaotic, irrational world, will) and Apollo (delight, wisdom, codified set of principles, civilized society). Finding solutions for a balance between static structures of established thought combined with fluid channels of universal knowledge could be transferred into push-and-pull scenario designing with Dionysian (Hydro) and Apollonian (Polis) elements, thus forming a ‘HydroPolis’. Evolved solutions target ecologically integrated and climate-adaptive floating architectures within a collective Eco-Village as a sustainable living proposition on the Gold Coast in the Subtropics. The objective of a 12-week study conducted with Master of Architecture and Planning students is to examine the balance between stability and adaptability in the design of a self-sustainable ‘HydroPolis’ at the Gold Coast Seaway in South East Queensland (highlighted in red in Fig. 1) as floating structures and systems. To experiment within reciprocal openness for design frameworks, procedure and participation with the various stakeholders involved in ‘bridging’ flexible solutions through an iterative process, structured Design Thinking DT phases were divided into four steps around different design scales and multiple sizes of co-design and participatory approaches.

2.1 Design Thinking DT According to HPI (2021), a team-based, human-centred design attitude called ‘Design Thinking’ may assist in overcoming yesterday’s working methods and transforming traditional organizational cultures thanks to its integration of creativity, shared leadership, and efficiency. In response to a difficult question with no correct solution and a highly bureaucratic governmental system that needs to adapt, DT can generate a suite of alternative design ideas and educate and bring stakeholders together during the process. The DT thinking phases of ’Explore and Discover’, ’Transfer to Create’, and ’Experimenting’ are used to characterize the scaffolded approach of assignments (HydrOid, HydroTerritory, HydroPlanning, and HydroTecture) to interrogate the holism of the ’HydroPolis’. The advantage of using the design thinking process (as shown in Fig. 2) is its ability to synthesize across larger urban scales and systems. This, as stated by ElliottOrtega (2015), is expected to impact the organizations and regulations encountered throughout the process.

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Fig. 2 The design thinking process adapted from Hasso Plattner Institute for design thinking and HydroPolis design steps H1–H4

The author evaluates the ‘Hydro Design’3 (HD) process, consisting of four phases (H1–H4) as described in Sect. 3, against the ‘Competencies of Design Thinking’ established by Razzouk and Shute (2012) as shown in Fig. 3. The author carries out this evaluation by disregarding the use of design thinking terminology and behaviour as the participants in the process are all postgraduate-level designers.

2.2 Co-Design CD The Hydro Design process tackles the complexity of built environments by incorporating cooperative, collaborative, and participatory approaches known as Co-Design. Adhering to the design participation movement established in the 1970s by Binder, Brandt et al. (2008), the Co-Design approach engages non-designers in design collaborations, transforming the urban practice into a creative common for ongoing change that fosters acceptance, responsivity, and adaptability over time. At the regional scale level of territorial exploration of sea-level rise in SE Queensland over the next 100 years, the CD groups resembled urban Planners, Sustainable Development, and Urban Designers (see H2 in Sect. 3). At the neighbourhood scale, the architects cum inhabitants were gathered in CD workshops equipped with systems 3

Hydro = from Greek hud¯or ‘water’; +from Latin designare ‘to designate’.

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Fig. 3 The design thinking competency model adapted from Razzouk and Shute (2012)

parameters to synthesize into a design for the shared floating village eco-polis (see H3 in Sect. 3).

2.3 Study Frame and Limits In the DT-based formulation of a HydroPolis, the production of food, energy, clean water, and shelter are investigated as an interdependent floating urban ecosystem within the bioclimatic propositions of a subtropical lagoon situated on the east coast of Australia. The design participants (H2: n = 17; H1, H3, and H4: n = 13) resemble at the same time a limited number of stakeholder users as a cooperative planning experiment. Limited input from governing stakeholders of existing planning regulations as well as expertise for innovating floating structures and systems need to be noted.

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Through the identification of the missing evaluations, validation, and feedback loops (see Sect. 4) in the here presented array of various methods to approach problem-solving through methods like design thinking, co-design, participatory planning, and co-evolution, the author concludes with an outlook towards a framing tool that might help to support the conception of Hydro Design HD in future under aspects of science and stakeholder-based design iterations/optimizations. This allows rethinking the complexity of ‘problems’ through investigating the problem as part of an interrelated network, or as Dorst (2019a, b) frames it, how design thinking can become a systems transformation tool TT (see HDTT in Sect. 5).

3 HydroXploring As Koen Olthuis argues, achieving a sustainable future for humanity requires finding a balanced use of land and water for food production, energy generation, clean water provision, and shelter. Going beyond traditional waterfront developments offers an efficient and exciting opportunity to enhance the flexibility of our planet. This study focuses on creating an eco-integrated and climate-adaptive collective HydroPolis as a sustainable living proposition in the Seaway on the Gold Coast in the subtropics. This section describes the scaffolded assignments at various interrelated scales according to design thinking phases (See Fig. 2) that were applied to design the joint floating Eco-Village proposal: . HydrOid (H1), an exploratory and creative approach to discover the ‘Shape of Water’ through a 1:1 artefact. . HydroTerritory (H2), a group exercise to gain interdisciplinary knowledge on the territory and sea-level rise in the region, followed by speculative co-design transfer within the group on regional planning aspects. . HydroPlanning (H3), which focused on urban design of the eco-village through participatory group exercises, leading to individual propositions for a floating architectural/hydrotectural design. . HydroTecture (H4), featuring unique propositions for residential and collective urban functions as determined in the collective HydroPlanning of the HydroPolis. The design and planning process of the joint floating Eco-Village involved applying design thinking at multiple scales (H1 life-size, H2 regional, H3 neighbourhood, and H4 building) and engaging various stakeholders (planners, residents, and governance) through co-design workshops, juries, and consultations. The aim was to integrate future scenarios in water-prone environments and develop complementary solutions for an eco-integrated and climate-adaptive collective HydroPolis.

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Fig. 4 HydrOid explorations into the ‘shape’ of water

3.1 H1 HydrOid4 : Exploring the Shape of Water The HydrOid is the first phase of the design process, focused on exploring the concept of water and its dichotomy of fixed shape and fluid form. Participants were encouraged to express their artistic interpretation of the ‘Shape of Water’ in a creative and open-ended manner. The individual pieces were then presented to a jury of design and architecture experts and showcased at the School of Architecture. Examples of these hydro-inspired works can be seen in Fig. 4, showcasing contributions such as hydro-inspired, hydro-forming, hydro-delighting, hydro-depleting, hydro-disrupting, hydro-balancing, and hyrdo-elevating contributions. . DT phases: Observe, Discover, and Synthesis (in ideated creative piece)

4

Hydro = from Greek hud¯or ‘water’; + polis ‘city’.

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3.2 H2 HydroTerritory: Participatory Planning of the Region Considering Sea-Level Rise The second exercise, HydroTerritory, involved interdisciplinary workshops with 17 participants from sustainable development, urban planning, and architecture fields to examine the potential impacts of sea-level rise on urban development in SE Queensland. The participants in the interdisciplinary workshops analysed: . the settlement patterns, infrastructure, green/blue spaces, and energy infrastructure of the SE-Queensland region. Experts provided input on climate change, GIS, flood risks, and integrated planning with water; – DT phases: Discover and Hypothesis. . ideas for resilient regional development in SE Queensland, incorporating sea-level rise scenarios by 2100; . scenarios focused on settlement patterns, Aqua-tecture, zoning, infrastructure planning, energy infrastructure, and green/blue spaces (Fig. 5); – DT phases: Synthesis and Ideate (regional scale). . And mapping out scenarios for resilient regional development in the SEQueensland region that integrates the impacts of sea-level rise by 2100, using the HydroPolis concept and identifying appropriate locations in the Gold Coast metropolitan region (refer to Fig. 1). – DT phases: Synthesis and Ideate (city scale).

Fig. 5 HydroTerritory regional scenario explorations through participatory planning

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3.3 H3 HydroPlanning: Co-Design of Interdependent Urban Functions and Elements After synthesis and exploring planning approaches for the SE-Queensland Region, including potential sites for the HydroPolis on a metropolitan scale, the following facilitated workshops were narrowed to architecture students. On a neighbourhood scale, they collaborated in designing a system for a floating eco-village at a given location (the Seaway, Goldcoast) as previously verified through the mapping exercises in H2 (city scale). The 13-member student team received expert guidance based on Baumeister and Ottmann’s (2015) ‘Urban Ecolution’ taxonomy. The taxonomy laid out rules for integrating urban functions, mixing programs for each space, ensuring self-sufficiency (in food, energy, water, and waste), and fostering eco-system interconnectivity during the co-design process (as shown in Fig. 6). . DT phases: Synthesis, Ideate, and Prototype (urban system scale). The team also developed urban design concepts by exploring various options for space, mass, visual appeal, and infrastructure through a series of iterations, in parallel with the systemic planning approach (see Fig. 7). . DT phases: Synthesis, Ideate, and Prototype (urban design scale). The HydroPolis project’s final prototype (as shown in Fig. 8) resulted in a dense and interconnected urban program featuring complementary functions and shared networks for food, water, energy, and waste. It features a flexible floating cluster design based on connectivity to the proposed location. The project is a co-designed framework, with members testing its adaptability through individual building-scale propositions called HydroTecture design.

3.4 HydroTecture5 : Prototyping Floating (Archi)tectures for HydroPolis ‘Is it a boat or a house? Is it romantic or utilitarian? It’s a hybrid. It’s not what it appears to be’.

Building on the prior phases of the HydroPolis project, including the H1 HydrOid, H2 HydroTerritory, and H3 HydroPlanning, HydroTecture takes the next step in exploring individual design prototypes for floating houses. These eco-integrated and climate-adaptive structures, known as HydroTectures, aim to provide a sustainable living solution within the collective HydroPolis on the Gold Coast. . DT phases: Ideate, Prototype, and Test (urban-integrated building design scale). 5

Hydro - from Greek hud¯or ‘water’; + tekt¯on (τ šκτ ων) carpenter/artisan/craftsman.

Governance

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Fig. 7 Co-design planning iterations for ‘HydroPolis’

Fig. 8 Finalized HydroPolis axonometry of interconnected function and connections of the gloating eco-village

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The 13 design propositions, showcased in Fig. 9, were developed through a design thinking process of Ideate, Prototype, and Test on an urban integrated building design scale. Each proposal features a minimum of two structures, with one serving as residential and the other as a supporting function, according to the framework established in H3 HydroPlanning. This iterative Design Thinking DT loop has been added to the larger experimental process of HydroPolis, with the final prototypes serving as architectural designs and tests of the HydroPolis framework as a whole.

Fig. 9 HydroTecture prototypes for the HydroPolis

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4 Discussion of HydroPolis Design Phases Under DT Competencies The HydroPolis project underwent four design phases, each with distinct goals and outcomes. The final result, revealed in the H4 HydroTecture phase, resulted in interconnected structures forming an eco-village. While many of the prototypes demonstrated architectural designs on water, a co-design process during H2 and H3 helped facilitate innovative programming and context relations. An evaluation of the DT competencies utilized in each phase showed potential for improved outcomes through increased expert and co-designer input, as well as more iteration in the ‘Innovate Design’ section. The results of the various design phases reveal interconnected decision-making and problem-solving through a collection of concrete design solutions. However, there is a need for further examination of the new complexities involved in merging the sea and cities, a complex and challenging task. In the case of HydroPolis, the designers have displayed innovation by rearranging the urban programming and system interconnectivity, surpassing their original goals. They have also brought about change through creative iteration during the co-design phases in HydroTerritory and HydroPlanning, resulting in a new, more stable state. While individual components have been successfully designed, there is a lack of focus on creating resilience and adapting to the fluid context in three dimensions, potentially due to a tendency to adhere to traditional structures (Fig. 10). The limitations in the HD process highlight opportunities for further development through the integration of DT competencies. The design process could be improved by incorporating deductive methods, such as evaluating design outcomes against established theories and parameters and incorporating feedback from expert stakeholders. By adding ‘Science-informed Design’ to the current ‘Design-informed Solutions’ approach, the overall design process could benefit from a more comprehensive evaluation and iteration process. Fig. 11 outlines the proposed integration of ‘Science-informed Design’ and DT methods into the HD process. Interdisciplinary work and science-informed CD with more stakeholders could have been essential to deepen knowledge of complexity issues, counter-balancing expert discipline knowledge, and structure discourse into the design ideas as optimized co-evolved solutions. Notwithstanding accommodating new complexity in DT, Dorst (2019a, b) promotes that the design paradigm needs a radical shift in attitude: . Don’t have to be ‘right’ as long as the contents can be changed and adapted over time . Design needs to shift to ‘complexity’ thinking and not only problem-solving . Enable ongoing transformation . Inclusive of other professional’s expertise . Transdisciplinary innovation . Design being the solution rather than just a ‘tool’

HydroPolis: How to Evolve Solutions for Floating Eco-Village Collectives? DT Compet encies Demons trate DT Skills

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Fig. 10 Analysis of DT competencies (colours apply to DT steps Fig. 2) applied in H1–H4

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Fig. 11 DT competencies complemented by (Science) informed design by experts stakeholders

To address the limitations of a solely design-driven approach, we propose a Hydro Design Transformation Tool (HDTT) in Fig. 12 that integrates design thinking (DT), co-design (CD), and the interplay of inductive and deductive processes. The HDTT consists of five components: 1. Iterative DT phases (HDTT 1). 2. Urban scale considerations (HDTT 2) (territory, region, neighbourhood, building). 3. Stakeholder engagement through CD (HDTT 3) (planning, urban design, architecture, infrastructure, economy, policy). 4. Expert input and feedback (HDTT 4) (designer, scientist, assessment, governance, construction, operation, inhabitants). 5. Complexity management over time (HDTT 5).

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Fig. 12 HDTT for DT enabled co-evolution of deductive and inductive stakeholder expertise

In addition to iterating through DT phases across various urban levels, the process involves co-designing with multiple stakeholders. It incorporates expert input that adds scientific deduction to the inductive iterations made by the Hydro Designer. This non-linear, dynamic approach enables informed decision-making, facilitates feedback loops for ongoing transformation, and integrates expert perspectives from different stakeholders to manage complexity and promote HD innovations.

5 HydroClusion The HydroPolis Studio has led to a novel method for addressing the complex task of designing floating, resilient settlements. The study of the DT processes used in the HydroPolis project highlights the need for a diverse range of inputs and a more robust inductive process for iteration. Designing for these settlements requires a unique approach that integrates a wide range of knowledge about land and water and results in new, innovative ways of thinking. ‘Probleme kann man niemals mit derselben Denkweise lösen, durch die sie entstanden sind’. (Albert Einstein)

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Einstein once famously said that problems cannot be solved with the same way of thinking that caused them. This is where Design Thinking (DT) steps in, providing an iterative and adaptable approach to solving complex problems. By incorporating science-informed practices, design disciplines can delve deeper into the issue, utilizing both inductive and deductive ways of thinking. This study highlights the potential for a new era of DT and Co-Design (CD) processes, informed by the intersection of science-driven design and design-driven science. With the rise of complex floating cities, this is a unique opportunity for conventional disciplines like maritime physics and marine science to merge with urban development aspirations in the social, cultural, and bioclimatic realms. Balancing the dichotomy between the static elements of on-land cities and the dynamic, constantly changing elements of water-based settlements requires a collaborative, interdisciplinary approach. Achieving this balance involves managing complexity in a self-adaptive, bottom-up manner, with clear guidelines for stakeholder participation and evaluation at each design phase. The proposed Hydro Design Transformation Tool (HDTT) invites designers to take on new roles as developers, facilitators, and generators, guiding the integration of diverse perspectives and live data into a dynamic design process. By embracing this challenge, designers have the opportunity to explore uncharted territory and bring a unique perspective to liquid urban development. The HDTT may inspire designers to become ‘fellow-rhapsodisers’ exploring ‘new secret paths and dancing places’. Acknowledgements The author would like to thank the enthusiastic studio group for their contributions and collaboration consisting of graduate architecture and urban planning students at The Faculty of Society and Design at Bond University in 2018. Thanks also for the support of my colleagues Prof Daniel O’Hare, Dr Thushara Samaratunga, Stephen Dark, and Peter Kuhnell.

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References Baumeister J, Ottmann D (2015) Urban Ecolution: A pocket generator to explore future solutions for healthy and ecologically integrated cities. Western Australia, UWA Publishing, Perth Binder T, Brandt E, Gregory J (2008) Design participation (-s). Taylor & Francis Dorst K (2019a) Design beyond design. She Ji: the Journal of Design, Economics, and Innovation 5(2):117–127 Dorst K (2019b) What design can’t do. She Ji: the Journal of Design, Economics, and Innovation 5(4):357–359 Elliott-Ortega K (2015) Urban design as problem solving: Design thinking in the rebuild by design resiliency competition, Massachusetts Institute of Technology Hennessy K, Lawrence J, Mackey B (2022) IPCC Sixth Assessment Report (AR6): Climate Change 2022-Impacts, Adaptation and Vulnerability: Regional Factsheet Australasia HPI (2021) What is design thinking? Retrieved 10 Aug 2022, from https://hpi.de/en/school-of-designthinking/ design-thinking/what-is-design-thinking.html Lee Y (2008) Design participation tactics: the challenges and new roles for designers in the co-design process. Co-Design 4(1):31–50 Nietzsche FW (1873) Die Geburt der Tragödie. Retrieved 10 Aug 2022, from https://www.projek tgutenberg.org/nietzsch/tragoedi/chap001.html Razzouk R, Shute V (2012) What is design thinking and why is it important? Rev Educ Res 82(3):330–348 UN (2015) Goal 11: Sustainable cities and communities. The Global Goals https://test.frontity.org/ goals/11-sustainable-cities-and-communities/

An Overview of Artificial Islands Growth Processes and Their Adaptation to Sea-Level Rise Despina Linaraki , Joerg Baumeister , Tim Stevens , and Paul Burton

Abstract The increase of artificial islands and land expansions in the water in the last years is significant. Approximately, 33,700 km2 of land has been reclaimed in the last 30 years. However, with climate change threatening these newly developed structures, it is crucial to understand the impact of architectural design in the adaptation of these lands to sea-level changes. In the fields of architecture and planning, the design of the land in the water not only concerns the adaptation to environmental conditions but also adaptation to people’s needs and the ecosystem. Yet, there is limited research concerning the design concepts of growing land in the water and their impacts on both the environment and the people. This research compares twenty-three case studies of artificial island growth processes, including the methods that have been used to develop the islands and the environment that they have created. The outcome of this research is an overview of artificial island growth processes and their adaptation to sea-level rise that can be used as conceptual design methods for the architectural design of land in the water. Keywords Artificial Island · Adaptation strategies · Sea cities · Design toolbox

D. Linaraki (B) · J. Baumeister School of Engineering and Built Environment—Architecture and Design, Griffith University, Gold Coast Campus, Southport, QLD, Australia e-mail: [email protected] J. Baumeister e-mail: [email protected] T. Stevens School of Environment and Science—Environment and Marine, Griffith University, Gold Coast Campus, Southport, QLD, Australia P. Burton Cities Research Institute, Griffith University, Gold Coast Campus, Southport, QLD, Australia © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. Baumeister et al. (eds.), SeaCities, Cities Research Series, https://doi.org/10.1007/978-981-99-2481-3_4

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1 Introduction An artificial island is any island that is made from human interventions (Dodds and Dora 2018). The islands can be habitable or not habitable by humans and their scale can vary from supporting one building to entire cities. Humans have been creating artificial islands for thousands of years either for protection, expansion for residential or recreational purposes, mineral exploitation, energy supply or industrial development (Charlier and De Meyer 1992; Martín-Antón et al. 2016). For example, ancient artificial islands are found on the coastline of Mexico. These islands known as Chinampas were constructed in wetland areas by Aztecs (1325– 1521) for agriculture purposes (Ebel 2020; Renard et al. 2012; Robles et al. 2019). The saltwater people at Langalanga lagoon created artificial islands approximately three hundred years ago, to protect from predators and to escape malaria outbreak (Nunn 2009; Watson et al. 2021). Whereas, Nan Madol islands, in Pompei, were created for ceremonial purposes and their construction started around 1180 (Cordy 1980; McCoy and Athens 2012). In the last fifty years, artificial islands structures have been developed for residential and leisure purposes, for the construction of airports and harbours, for industrial development or for military purposes. For example, Khazar Islands Project involves the construction of 41 new islands for residential and leisure purposes (Avesta— Khazar Islands New City Development—Baki Project Profile 2017). Similarly, at the Arabian Gulf, there are numerous artificial islands that have been created as a response to the increased demand for tourist accommodation. At the South China Sea, various coral islands have been reclaimed to develop military bases (Saunders 2016). Whereas, on the Pacific and Indian Oceans various land expansions in the water are used to provide extra land resources for agriculture or residential purposes (Lister and Muk-Pavic 2015). Additionally, artificial expansions in the water are increasingly being used as an adaptation strategy to sea-level rise. According to Intergovernmental Panel of Climate Change (IPCC), land expansion can be used as a protection method. For example, by creating barrier islands that act as wave breakers or by expanding the coastal area towards the sea to create a protection barrier or by raising the land surface to prevent inundation (Linaraki 2021; Oppenheimer et al. 2019). For example, the wave-breaking island in Broadwater, at Gold Coast was created to act as a wave barrier between the ocean and the coastal areas (Hayward and Fleury 2016). New artificial islands are designed to accommodate climate change migrants. At Kiribati a Pacific Island, that is facing the threats of sea-level rise, new artificial islands that are properly designed to adapt to climate change, could be used as living platforms for the locals (Linaraki 2021). Similarly, in the Maldives there are new artificial islands, such as Hulhumale, that are built higher than the highest sea-level rise predictions, to accommodate the Maldivians (Naylor 2015). Moreover, new floating islands are currently under construction for the people of the Maldives.

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To conclude, artificial islands have been built for thousands of years and for a variety of reasons. This research explores various case studies of artificial island growth processes to create an overview of conceptual design methods that can be used to create artificial islands or land expansions in various aquatic environments. Additionally, the adaptation to sea-level rise, of each case study will be assessed based on available data and literature.

2 Selection Criteria and Methodology This study compares twenty-three case studies of completed or proposed artificial islands, including ancient, indigenous, contemporary and experimental examples (Fig. 1). The case studies were selected to identify artificial islands that were constructed in various chronological periods and in various aquatic environments to create an overview of the artificial island growth processes. The data was gathered through literature, satellite images and interviews with experts that were conducted as part of the Ph.D. research: Growing Living Islands, an architectural toolbox (Griffith University ethics reference number 2021/017). The interviews were an essential part of this analysis as there are no publicly available records for the construction of some of the artificial islands.

Fig. 1 World map of the twenty-three case studies that are analysed in this study

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In the following section, each case study is summarized, including an overview of the environment in which they were built or planned to be built, the purpose they were built, the approximate size of the island, the growth strategy that was used to build the island, the design concept, the material used and the extend of adaptation to sea-level rise. . The selected case studies are found in various aquatic environments such as lakes, bays, oceans, estuaries, lagoons and atolls. This variety is essential to understand the design needs and limitations as per each environment. Enclosed environments such as lakes and lagoons create a protective environment for island growth. In opposition to the ocean where the structures are exposed in high waves and strong currents, typhoons and other extreme events. Structures found on the atolls or on coral islands are protected from extreme events by the surrounding reef. These environments are referred to as “living environments” within this chapter, due to the living organisms that protect the structure. Semi-protected environments refer to islands found on bays, gulfs or at the sea. . The programme of the island construction refers to the functions of each island such as residential, ritual, recreational, aquaculture, airport etc. . The size of each island was measured in Hectares, from satellite images on Google Earth. The size of the island is determined not only by the design brief but also by the chronological period it was constructed and the limitations on material and technological resources. . The growth strategy derives from the analysis of the construction process. The term “growth” is used here to show the creation process of the island, the growth of its form. The selection of different growth strategies will be used to create an architectural toolbox for the design of artificial islands. . The design concept refers to the idea that formed the design. This analysis shows how the design decisions interact with the natural environment. The design is divided into solid, stable forms that have a defined shape. These artificial islands are usually constructed with a perimetrical wall and with hard materials such as concrete or rocks. Then there are the free-flow modulars that refer to floating structures. The subtractive linear forms that have been created by subtracting material. Point expansion refers to structures that are raised on stilts. These structures usually can expand in various directions. Islands that grow in place refer to islands that are mainly constructed by living organisms such as corals. Landscape reformation refers to islands that are proposed to be constructed by reforming the existing landscape. Finally, porous structures refer to designs that allow water to pass through the structure. . The investigation of the material gives an insight of how the material selection affects the design and the adaptation to sea-level rise. The categorization includes hard materials such as concrete and rocks. Vegetation such as mangroves and aquatic plants. Bioproducts of living organisms such as corals, oysters and foraminifera and bioproducts of human consumption refers to the waste.

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. Finally, for each case study, there is an analysis of the adaptation of the island to sea-level rise and its protection from high waves and strong currents that could eventually cause erosion. However, this analysis was subject to available data. The adaptation methods that are examined are based on the Intergovernmental Panel of Climate Change categorization. These are Protection, Advanced, Ecosystembased Adaptation, Accommodation and Retreat (Oppenheimer et al. 2019). Protection refers to all the strategies that block the hazard such as wave breakers, or dykes, advanced refers to expansion into the water or expansion of water into the land, ecosystem-based adaptation refers to the use of living organisms such as corals, oysters or mangroves in the design and accommodation which refers to structures raised on stilts, or floating structures that allow the water to pass underneath. Retreat refers to abandon the affected area; however, retreat is not examined in this paper.

3 Case Studies 3.1 Crannogs, Scotland Scottish constructed numerous artificial islands known as Crannogs mainly for residential, ritual or political purposes (Cavers et al. 2011; Lenfert 2013). These islands were constructed after the Iron Age between 800 BC and AD 1700 (Garrow and Sturt 2019). The Crannogs were mainly constructed by stones transferred from the land and deposited in designated locations. Some islands would be constructed only by stones, whereas others would have stones only in the perimeter and filled with peat in the middle. Perimetrically, they used posts with horizontal timber in between to add extra stability to the structure (Garrow and Sturt 2019). The islands were approximately 0.03 ha (measured on Google Earth), in circular or oval shapes (Cavers et al. 2011; Garrow and Sturt 2019) (Fig. 2). These islands are built in enclosed aquatic environments. Therefore, they are protected from extreme events such as high waves and strong currents. However, they do not reveal any other adaptation strategy in regard to sea-level changes.

3.2 Nan Madol, Pohnpei Nan Madol, is an abandoned complex of artificial islands in Pohnpei, a volcanic island at the Federal States of Micronesia (Fig. 3). The islands were built between AD 900 and 1650 for ritual and administrative purposes (McCoy and Athens 2012). In total, there are 93 artificial islands made of basalt boulders found around the island,

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Fig. 2 Case study 1. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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transported and deposited in a designated location (McCoy and Athens 2012). For the construction, they used larger boulders for the foundation and a header-and-stretcher construction system at the top (McCoy and Athens 2012; Seikel 2011). Then coral rubble, found at the reef, was used as a filling material (Seikel 2011). There is a perimetrical wall made by stones to protect the structure from the waves (McCoy et al. 2015). Most of the islands have orthogonal shape and the area of each one is approximately 0.4 ha (measured on Google Earth). Even though these islands are constructed towards the ocean side, they are protected due to the surrounding natural coral reef which dissipates most of the wave energy. Moreover, mangroves provide extra protection from the waves and hold the sediments of the island together, reducing in this way the erosion. The artificial wall that was constructed by the locals provides an extra layer of protection towards the waves.

3.3 Mound Key, Florida In Estero Bay, Florida, there is an artificial Island known as Mound Key. This island was constructed by the Calusa around AD 460 as a ceremonial centre and it was occupied until AD 1625 (Thompson et al. 2016). It was composed of two main islands, divided by a canal. The two islands (50 × 75 m and 42 × 70 m) were approximately 51 ha (Fitzpatrick 2020). The islands were constructed by various species of mollusks shells (clams, oysters, conch), bones and soil deposits (Fitzpatrick 2020; Thompson et al. 2016). The first stage of development was the result of collection, consumption, disposal and occupational decline of shells. Then to raise the islands above sea level they redeposition the shells (Thompson et al. 2016). They were also using the shells as a mortar material to stabilize the wooden structures at the top of the island. To create the mortar, they were burning the shells to produce lime and mix it with sand, ash, water and broken shells (Thompson et al. 2020). The enclosed shape of the bay protects the island from high waves and strong currents. Moreover, the mangroves that surround the island add extra protection from the currents, while they also withhold the sediments together, eliminating in this way any substantial erosion. Mollusks attach to the island and bind the sediments together, contributing in this way to the sediment stabilization. However, extra research is required to explore if the island is growing both vertically and horizontally due to the extra addition of mollusks and mangroves (Fig. 4).

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Fig. 3 Case study 2. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 4 Case study 3. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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3.4 Athaphum, Lake Loktak At Lake Loktak in India, locals are creating artificial floating islands made of floating vegetation known as Athaphum (Watson et al. 2021) (Fig. 5). These islands are used for aquaculture, agriculture and in some cases for residential purposes (Devi 2012). To construct the Athaphum, they use long stripes of Phumdi which are floating meadows, approximately 2–3 m wide and of various thicknesses to create 100-m diameter enclosures. The islands can be up to 8 ft (2.5 m) thick. For the creation of Athaphum, they prefer thin floating masses with rich vegetation and high buoyancy. As a next step, they bound the floating stripes together using bamboo pegs (Devi 2012). The phumdi act as both biofilters and habitat in the aquatic ecosystem. Currently, almost seventy per cent of the Lake’s surface is covered by several thousand floating meadows, which exist only in this environment. In 2002, there were 2,642 Athaphus at Lake Loktak (Singh and Khundrakpam 2011). These islands are found in enclosed protected environments. Their natural buoyancy allows them to always position themselves on the water surface. However, due to their structure which is composed of plant roots and soil, they could not survive in harsh aquatic environments with strong currents and high waves. Moreover, they require continuous maintenance, as they are susceptible to shape changes by water currents and weather events.

3.5 Langalanga, Solomon Islands At Solomon Islands, Malaita, locals created numerous artificial islands known as Langalanga (Fig. 6). These islands are found on top of fringing reefs. Researchers argue that the indigenous created the islands fifteen generations ago (Nunn 2009). The reason for their construction is not clarified yet. Some researchers believe that they were built to protect themselves from their enemies (Guo 2015), whereas others argue that the main drive was the high epidemic of malaria disease (Bryant-Tokalau 2011). The islands are approximately 0, 3 ha and their shape is mainly rectangular. These artificial islands were constructed by harvesting materials that grow from corals. To build the islands, first, they used log rafts to transport coral boulders to a designated area to create the perimeter of the island. They would continue layering with coral stones until they reached out a little higher than the high tide. At the top, they filled with fine coral rubble to cover the holes and level the new land. After, they would plant trees such as coconut palms to hold the sediments together (Guo 2015; Watson et al. 2021). Multiple layers of natural and artificial barriers, protect these islands from high waves and strong currents (Watson et al. 2021). First, the natural coral reef that acts as a wave breaker dissipates most of the wave energy. Then, a natural vegetation

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Fig. 5 Case study 4. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 6 Case study 5. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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zone made by mangroves acts as a wind barrier while it holds the sediments and protects from erosion. Finally, the locals constructed the islands higher than the highest tide to avoid flooding. To add extra protection, the houses were also raised on stilts. Although the combination of natural and artificial strategies provides extra protection to the human habitation, the islands are currently facing frequent flooding due to sea-level rise (van der Ploeg et al. 2020).

3.6 Uros, Lake Titicaca At Lake Titicaca, the Uros people built an artificial island for protection from other tribes (Arnaiz-Villena et al. 2019) (Fig. 7). Each island is hosting a house but also an aquaculture farm and a wetland. The islands are built with totora reeds and are secured in place with anchors (Julia Watson et al. 2020). The whole floating structure is made of the same material. They are approximately 20 × 20 m and they can accommodate more than one family. For the construction of the islands, they were harvesting the totora reeds from the shoreline. First, they were cutting large blocks (approximately two by six metres to six by ten metres) of totora root, blended with mud and peat, to be used for the island floating foundation. Then they were lashing these blocks together with eucalyptus stakes. On top they were layering totora reeds. Over time the structure would grow together. However the islands require continuous maintenance and new reed layers are added every two to three months (Julia Watson 2019, pp. 273–289). Similar to the Athaphum at Lake Loktak, these islands are adapting to water-level changes due to their natural buoyancy, which allows them to be always on the water surface. However, due to their structure which is composed of plant roots and soil, they could not survive in harsh aquatic environments with strong currents and high waves.

3.7 Venice Venice is combined of a series of artificial islands built on top of a muddy lagoon (Fig. 8). It was originally settled by immigrants who were trying to protect themselves from the barbarians. Then it was developed as a trade base. To construct the islands, Venetians first dug canals and then placed thousands of wood piles made of oak or larch (approximately 60’ long) into the ground as close as possible. The wood did not erode as it was underwater and it did not oxidise. Also, the wood absorbed the sediments carried out by the river and it petrified at an accelerated pace. After the pile placement, they would add rocks in between the piles to keep the silt in place. Then they were adding two layers of wood on top of the piles to create a surface and then they were placing the masonry walls. They preferred marble since it was impermeable to water (Tate et al. 2010).

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Fig. 7 Case study 6. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 8 Case study 7. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Research evidence suggests that Venice is sinking both because of the city weight and because of sea-level rise (McGregor 2006, p. 9). Prof. Rachel Armstrong and her team developed the project “Future Venice” to prevent Venice from sinking. They proposed to use synthetic droplets, known as protocells, that could be moved towards the pile foundations of Venice, attach and use the available minerals and carbon dioxide to produce limestone to strengthen the foundation (Armstrong 2014). According to Prof. Armstrong, this process already takes place underneath Venice by millions of oysters. However, they aim to enhance the natural processes with the use of biotechnology. This case study shows that the material of the existing seabed and the foundation have a significant role in the structural stability of the island.

3.8 Palm Jumeirah, Dubai Palm Jumeirah is one of the biggest artificial islands in Dubai (Fig. 9). The island was formed to increase the waterfront real estate properties. The final design is composed of a circular wave breaker and an artificial island in the shape of a palm tree. This shape was able to increase the waterfront coastline properties by 78.6 km (Gibling 2013). The construction of the project started in 2001 and was completed in 2006. The 11.5 km breakwater was constructed at a height of 3–7 m above sea level. The base of the breakwater is composed of sand and rubble and at the top they added massive size rocks. Approximately 5.5 million cubic metres of rocks were transferred to the site. The breakwater has two openings to allow water circulation. To build the island they used sand and stones. The engineers could not use desert sand because it’s fine and would be washed away. Instead, they pumped 94 million cubic metres of sand from the seafloor. Following the sand placement, the engineers perform vibro-compaction to compact it (“Constructing Palm Jumeirah Dubai—Palm Island Dubai—Megastructure—Nakheel” 2015). After the completion of the project, massive erosion was deployed at Dubai’s coastline due to the disturbance of the current movement. In the islands, the enclosed shape of the breakwater caused stagnated waters which increased the pollution in the area; consequently, the engineers had to create openings in the breakwater to allow the water to flow (Gupta 2015; Martín-Antón et al. 2016; Moussavi and Aghaei 2013). The wave breaker is protecting the island from high waves and strong currents.

3.9 Sea City, Kuwait Sea City, in Kuwait was constructed by Burro Happold engineers (Fig. 10). This development started in 2004 and it is still under construction. The growth process that was used for these islands’ formation is different from the ones analysed above because instead of growing land in the water, the engineers brought the water in the

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Fig. 9 Case study 8. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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land. Their objective was to form coastal areas and islands and increase the waterfront properties. The construction started by digging multiple channels in the land surface, to allow the water to come in. The existing earth was made of silt which was unsuitable for building on top. Consequently, they had to subtract the water from the silt, excavate and then fill the area with sand. After they used dynamic compaction, where they compacted the earth by dropping massive weights on top of it. When the land was ready, they formed the designed landscape, they build connection bridges and they prepare the revetment walls. They used stones for the construction of the walls. When the walls were ready, they allowed the water to run in the designated areas and form the islands. Finally, they planted plants such as mangroves to extra stabilize the soil and increase biodiversity. This process required a lot of technological resources and funds (Ward 2017). These islands are not located in an exposed environment, and they are protected from waves and strong currents. Also, they are built higher than the current sea-level. Therefore, they will be able to adapt to sea-level rise to a certain height.

3.10 Al Raha, Abu Dhabi This artificial island is on the coastline of Al Raha (Fig. 11). The construction started approximately in 2010. The island consists of 6,340, 50-tonnes of precast reinforced concrete L-shaped units that form a 19-km long perimeter (Heath 2016). To construct the Al Raha Western island, they first started by immersing stone columns in the existing silt sand. On top, they levelled stones to create a durable foundation for the concrete wall. Then they placed the concrete panels higher than the sea surface and filled the gap between the panels with geofabric. They added anti-scour rock protection at the perimeter of the concrete wall (Heath 2016). The island is constructed with a perimetrical concrete wall to protect it from erosion and hold the sediments in place. Moreover, it is built higher than the current sea level which would allow for sea-level rise protection, up to a specific height.

3.11 Flevoland, Netherlands Flevoland is the larger artificial island that has been constructed by the use of polders (Fig. 12). This process refers to the draining of water from a shallow lake or the creation of dikes around a designated shallow area and then drain it to form the new land (Corporation 2018). In this growth process, the new land is at a lower level than the sea level. The construction of the island happened between 1942 and 1968. To construct the island, the first step was to build an enclosure dam (Afsluitdijk) to separate the Wadden Sea into two parts and create a massive, protected area, to be reclaimed. To

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Fig. 10 Case study 9. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 11 Case study 10. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 12 Case study 11. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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build the dam they used two lanes of clay, filled in the middle with sand. At the top, they would cover with clay. Then they used basalt rocks to strengthen the dam (Li et al. 2018). After the creation of the dam, they created secondary dams that were used as the perimeter of the new land. Then they used mills to pump the water out, or later they would use hydraulic processes. The removal of the water took less than a year (Van Lier and Steiner 1982). After the removal of the water, they have sown the soil with reeds by aircraft. Reeds stabilized the soil and made it accessible by foot and vehicles. To stabilize the ground, they used seeds for plants to grow, evaporate the water and bring air into the soil to solidify it. After they dug canals for drainage to keep the land dry and they would start planting seeds. After five to six years the soil was suitable for agriculture (Van Lier and Steiner 1982, p. 40). As referred above, the island is at a lower level than the sea level, therefore researchers argue that the dyke that acts as a protective barrier and keeps the land dry requires continuous maintenance and funding to protect the city from sea-level rise (Watson et al. 2021).

3.12 Marker Wadden, Netherlands Marker Wadden in the Netherlands is a recent artificial island that was built to restore the biodiversity of the area by providing shelter to birds and marine organisms (Fig. 13). The construction started in 2016. It is composed of five artificial islands that expand into wetlands, sand wave breakers, reef piles, pedestrian walks and an observation centre (Xiong 2018). The first step of construction was to create breakwaters by depositing sand dunes and stones. Then they created six dams in the protected area behind the breakwaters. After, they deposited silt from the bottom of the lake to form the islands. When the new land reached above the surface of water, it dried out and vegetation start growing and expanding. Also they immerse reef columns to allow for natural growth of living organisms underwater (Boskalis 2020). These islands are protected from strong currents and high waves by the breakwaters. Moreover, the vegetation holds the sediments in place, reducing in this way the erosion. The mangroves and the oysters will expand the surface of the island in the water, enhancing in this way the adaptation to sea-level rise.

3.13 Kansai Airport, Japan Japan has built airports on artificial islands, such as the Osaka–Kansai Airport, the Nagoya-Centrair Airport, the Kobe Airport and Kyushu Floating Airport. Kansai Airport was built back in 1994. The island is approximately 1,000 ha (Fig. 14). It was built on a water depth of 18 m at the top of a soft clay layer. The first step was to stabilize the ground by embedding sand columns inside the ground to absorb

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Fig. 13 Case study 12. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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the moisture from the clay substrate. Then they created the perimeter of the island with 48,000 concrete tetrapods. The island was filled with 430 million cubic metres of rock, taken from three mountains. The new land was raised approximately 40 m above the sea floor. Based on research evidence, the island has coped well with several typhoons and earthquakes throughout the years. However, due to the clay substrate that creates an unstable base, the island is currently sinking. Reports suggest that it will reach sea level by 2067 (Hayward 2020; Mesri and Funk 2015).

3.14 Hong Kong International Airport, Hong Kong Hong Kong is expanding the existing airport to an additional 650 ha towards the sea (Fig. 15). The expansion area has currently contaminated mud pits gathered from previous land reclamation projects. To avoid pollution from the mud pits and to enhance the soil stability the engineers proposed to use two reclamation methods— drained reclamation and deep cement mixing. Drained reclamation refers to the process of adding layers of earth and sand on the seabed and creating pressure to consolidate them. At the same time, they extract water from within the layers with the use of weep-holes. They estimate that this process will take 12 months to consolidate the new land. At the areas of contaminated seabed, they use the method of deep cement mixing to avoid pollution. This method injects cement in the form of columns, into the soft mud, creating in this way a stable base for the reclamation load (“Hong Kong International Airport Master Plan 2030” 2011).

3.15 Mischief Reef, South China Sea In the South China Sea, there have been numerous land reclamation projects for the construction of new islands to accommodate military bases (Mora et al. 2016). China between 2013 and 2017, reclaimed 3,200 acres of new islands known as the Great Wall of Sand (Smith et al. 2019). Some of these islands include the construction of Mischief Reef, Fiery Cross Reef, Subi Reef, Cuarteron Reef, Gaven Reef, Hughes Reef and Johnson South Reef, with the Mischief Reef being the larger one (Barnes and Hu 2016). All these islands were built on top of existing atolls. To reclaim the land they dredge corals and sand from the shallow seabed, then pumped it into a designated area and pour concrete on top (Barnes and Hu 2016) (Fig. 16). Numerous articles have been published regarding the damage that these reclamations have caused to the environment and specifically to the coral reefs (Barnes and Hu 2016; Loftus-Farren 2015; Mora et al. 2016; Smith et al. 2019). Further research is required regarding the adaptation of these islands to sea-level rise. However, the surrounding coral reefs if they are healthy, they could protect the islands from high waves and erosion.

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Fig. 14 Case study 13. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 15 Case study 14. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 16 Case study 15. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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3.16 Thilafushi, Maldives The island of Thilafushi in Maldives is a newly developed island, west of Male, that is made out of trash (Naylor 2015) (Fig. 17). The problem of waste disposal in the Small Islands Developing States is well documented (Anonymous 2019; Kapmeier and Gonçalves 2018). Only in the Maldives, the waste production is approximately 120 tonnes per day (Kapmeier and Gonçalves 2018). This waste was depositing at Thilafushi and the island was growing approximately one square metre per day (Omidi 2009). In 2003, there was 550,000 tonnes of waste deposed on top of the island, creating in this way a new landmass above water (Kapmeier and Gonçalves 2018). However, toxic waste such as batteries and asbestos was also included in the filling material, polluting in this way the living reef (Kapmeier and Gonçalves 2018). To prepare the land they topped the waste with sand from the lagoon and they levelled the area (Omidi 2009). Part of this island is now used for industrial purposes. The coral reef is protecting the island from extreme events. However, there is currently no research regarding the adaptation of this island towards sea-level rise.

3.17 Waldorf Astoria Maldives, Ithaafushi Atoll Waldorf Astoria in Maldives is a series of 56 bungalows located at Ithaafushi Atoll (Fig. 18). To construct the island they first surveyed the sea base to determine the best construction process and material (Giacobbe 2020). The engineers raised the bungalows on stilts to allow for the free flow of water beneath the structure. Construction with stilt immersion can be challenging when the existing seabed is not levelled. Also even though the stilt construction allows the free flow of water, there still needs to be a consideration regarding the size and density placement of the stilts, as it can affect both the flow and the marine life (Giacobbe 2020). The structure is raised on stills in higher level than sea level. Consequently, it is protected until a specific sea-level rise. Moreover, the coral reef that surrounds the structure, dissipate part of the wave energy and protects the island from extreme events.

3.18 Sovereign Islands, Gold Coast Sovereign Islands is a combination of six interconnected islands that were constructed in six different phases between 1988 and 2004 for the development of high-end waterfront properties. The islands are in the Southport Broadwater precinct and are protected from the ocean side by South Stradbroke Island (Fig. 19). The shape of the islands, which is formed from a series of narrow landforms, allows for the creation of autonomous waterfront properties. The width of each landform ranges between 80 and 100 m. Whereas the width of the canals ranges between 40 and 60 m.

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Fig. 17 Case study 16. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 18 Case study 17. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 19 Case study 18. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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The first step to construct the islands was to prepare the existing land by removing the trees and cleaning the earth of any unsuitable materials. Then they reclaimed the low-lying areas. The reclaimed material, which was sand, derived directly from the Broadwater, and it was hydraulically placed and compacted. Following the preparation of the land, a surveyor marked the perimeter of the new canals and then the excavation started. First, they constructed the majority of the rock revetment on the canal batter profile. The next step was the construction of the concrete footing and the concrete wall. Geofabric material was installed at the back of the concrete wall and beneath the rock revetment. Lastly, a concrete pathway with a small concrete block secondary wall was constructed along the perimeter of the revetment wall. The final step was to flood the canals using pumps and remove the bunds (Gregory 2021). The islands are in a semi-protected environment, therefore they do not require protection from high waves and strong currents.

3.19 Oceanix City BIG Architects (2019) proposed a series of floating islands to be placed in the tropical and subtropical regions (Fig. 20). The islands, known as Oceanix City, are designed as a series of hexagons. The hexagon is accommodating approximately 1,650 people and it is composed of a cluster of six triangular modular. Each triangle has production, protection and connection areas, four to seven stories of residential buildings with solar panels at the top and a farm area of 3,000 sqm. The bottom of the triangular structure is designed to inhabit marine organisms such as seaweed, oyster, mussel, scallop and clams that would clean the water and increase the biodiversity. Floating Biorock reefs will surround the platforms to dissipate wave energy (BIG 2019). Construction information is not yet available as it is still in the conceptual phase. These islands adapt to sea-level changes due to buoyancy.

3.20 Symbiosis The project Symbiosis was about the expansion of Mumbai in the Arabian Sea, influenced by the coral reef formation and anatomy (Fig. 21). The concept was to create several islands on a similar scale of the Maldives’ atolls. Dividing the expansion into smaller islands would allow the free flow of water, instead of interrupting the natural forces by a large megastructure. Moreover, the zoning of the islands was creating multiple protection layers. Consequently, strong, dense, underwater structures were protecting the perimeter and brittle structures with mangroves would appear in the middle zones. This project in comparison to the previous artificial islands case studies, proposed the creation of a porous infrastructure that functions both as a habitable structure and wave breaker, while it allowed the natural flow of water within the structure to eliminate pollution and water stagnation. The idea of

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Fig. 20 Case study 19. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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porous design allows the natural flow of water while at the same time guiding it and slowing it down. Also, the structure was proposed to be built by 3d printing limestone material which allows the growth of corals, mollusks and algae to further enhance biodiversity.

Fig. 21 Case study 20. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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This proposal created a multifunctional artificial structure that acted as a wave breaker, as a habitat for marine life and as a habitation space for people. The design concept of various-size openings would allow the water flow through the islands, eliminating in this way erosion and water pollution. Also, the islands were proposed to be in a higher level than the sea level, responding in this way to the upcoming sea-level rise.

3.21 Biorock Prof. Wolf Hilbertz and Thomas Goreau, the inventors of biorock, created hybrid structures that use electricity to grow limestone and corals underwater (Hilbertz 1991). Mineral accretion technology is used to protect or enhance the growth of corals or create new coral colonies. Currently, there are 500 structures in 40 countries around the world. These structures are made of steel and they use low-voltage electricity to produce limestone. According to research evidence, limestone grows at a rate of 2 cm per year (Goreau and Prong 2017). Solar or wave energy provides the required voltage to grow the limestone. Corals are placed on the structure, and they start to grow, expand and create a new coral reef community (Goreau et al. 2013). Thomas Goreau used this technology to create a living wave breaker made out of coral reefs at Pulau Gungga (Fig. 22). The wave breaker would protect the beach from erosion and enhance the accretion of land. The project is still in an experimental stage consequently further research is required. However, the combination of infrastructure and living organisms could create structures that can self-repair and can grow stronger with age. Also, they can withstand strong waves and protect the land from erosion.

3.22 Foram Sand Project, Funafuti, Tuvalu The research project Foram was conducted from 2009 to 2014 by Prof. Kayanne and his team. The project was funded by Japan Science and Technology (JST) and Japan International Cooperation Agency (JICA). The purpose of the project was to increase the land area of Fongafale Island, Funafuti, an atoll of Tuvalu at the Pacific Ocean by enhancing the growth of foraminifera (Fig. 23). The first step of this project was to identify the natural growth process of the island. Funafuti is an atoll and the island on top was formed by foraminifera, corals, algae and mollusks, with foraminifera to contribute more than half of the sediment production. Based on their research, the main contributor was Baculogypsina sphaerulata with sand production rate reaching 1,000 cm3 /m2 /year. These organisms are fast growing on the ocean-side reef flat 20 to 80 cm below mean sea level and their sediments are transferred by longshore current, through the channels towards the lagoon side (Final Report of Eco-Technological Management of Tuvalu against Sea Level Rise 2014; Fujita et al. 2014, 2016). Consequently, they explored if they could increase

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Fig. 22 Case study 21. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Fig. 23 Case study 22. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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the land area by increasing the number of foraminifera. The first step was to cultivate them at the lab by using the optimal conditions. Overgrowth of foraminifera can lead to the overgrowth of competitive algae, consequently, the growth needed to be regulated. Then they selected an area of growth to transplant the foraminifera, close to the transportation channel. To enhance the survival rate, they added coral sand to the chamber (Hosono et al. 2013). Their experiment showed sand production of 99.8 cm3 yr−1 m−2 . Cultivating the foraminifera at the sea significantly reduced the cost of their experiment. This project is significant because the researchers tried to grow the island by enhancing the natural growth processes. However, the funds needed didn’t allow for the appropriate implementation of the project (Kayanne 2021); consequently, there is no available data regarding the adaptation to sea-level rise.

3.23 Growing Islands, Self-Assembly Lab, MIT MIT Self-Assembly lab published research in 2019 regarding the growth of land in the water by utilizing natural forces and specifically wave energy (Fig. 24). The project was focused on Maldives at the Emboodhu Finolhu island. MIT’s proposal is to create a series of underwater structures that could promote sand accumulation in specific locations. For their experiment, they used submerged sandbags 20 m × 4 m × 2 m, and they are analysing the sand accumulation through satellite images. Their experiment showed that an area of ~600 m2 and 300 cubic metres of new sand had accumulate in 4 months (Alice Song et al. 2019). This proposal could adapt to sea level by creating new land in the water. However, as referred it is still in an experimental stage so further research is required for the adaptation of this proposal to sea-level rise.

4 Artificial Islands Growth Concepts This section focuses on compiling the growth processes of the twenty-three case studies analysed above into a table of artificial island growth processes (Table 1). This table can be used to conceptualize different processes for the growth of land in the water. Each process is then described in the following sections.

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Fig. 24 Case study 23. Satellite image from Google Earth, diagram of the surrounding environment and conceptual section of the structure (not on scale)

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Table 1 This table summarizes the growth processes for the creation of land in the water as derived from the analysis of the twenty-three case studies. The arrows represent the action, the light blue colour represents the water and the numbers refer to the case studies that were analysed above

4.1 Deposition A common construction method of artificial islands is land reclamation, which refers to the extraction and then deposition of filling material in the water up until they penetrate the water surface (Frankel 1997). Drained reclamation is one method for land reclamation, which refers to pumping sand onto the sea bottom (Martín-Antón et al. 2016). Deep cement mixing where the seabed is drilled and filled with concrete is used when the existing sea bottom cannot support heavy loads (for example airport construction) or is contaminated (Martín-Antón et al. 2016). Sand compaction pile is another method similar to deep cement mixing, but it is using sand instead of cement

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(Corporation 2018). Other land reclamation filling materials that have been used in the case studies analysed above are rocks, coral boulders, waste or debris. With the use of this method, various size of structures can be created, from small islands (such as case studies 1 and 5) to larger islands such as airport constructions (case studies 13 and 14). Also, this method can create large stable islands that can hold a lot of weight, such as it is needed for airport construction. However, land reclamation has been constantly accused of environmental destruction, as the process of spraying sand particles, creates a turbulence in the water and destructs the living organisms (Mora et al. 2016). Also, it requires a lot more material infill than the other methods analysed below. Consequently, even though land reclamation can be used to support entire cities, it should be avoided in areas with limited material resources. Moreover, the new land reclamation structures should be built higher than the sea-level rise predictions as seen in the analysis of Hulhumale island case study.

4.2 Consumption and Disposal This growth concept refers to the creation of landmasses in the water by consumption and decline of products. For example, the island of Mound Key (case study 3) was constructed due to the disposal of mollusks’ shells. Similarly, there are many cases around the world that use wastes as a filling material. For example, the case of Thilafushi, the trash island of Maldives (case study 16). Using waste as a landfill material, it resolves the issue of limited material availability. However, untreated waste can cause pollution to the water and destroy the environment. Consequently, the material used for this method should be thoughtfully selected. Moreover, same with the land reclamation method, for this concept to adapt to sealevel rise, the new land should be higher than the sea-level rise predictions. However, even though this method again refers to deposition of a material from one source to the other, this method uses materials that derive from human consumption instead of locally sourced materials. Another difference is that this method would possibly require more time to develop the island, as the material is not available immediately, but it built up through time. However, by analysing the local activities, designers can predict possible sources of similar secondary materials and facilitate in their design predictions for future landfill areas. Another outcome of this method’s analysis is that living organisms can act as binding agents when there is an appropriate substrate. Specifically, in the case study, three mollusks attached to the structure and bound the shells together. In the third stage of development, mangroves took over and bound the sediments again. Consequently, artificial structures can be used as substrates for living organisms to attach and bound the sediments together. Moreover, the growth of wetlands on top can be beneficial not only for the structural stability but also for the protection of the island from erosion. However, as this method uses living organisms as fundamental elements in the structure, the design outcome will be unpredictable, as there are

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many parameters that affect the growth and survival of living organisms that are not currently discussed in this chapter.

4.3 Additive Manufacturing Additive manufacturing refers to the concept of creating 3d structures on-site (case study 20). This concept has not yet been used for the creation of islands in the water or for the construction of larger-scale structures. However, it is being explored for the growth of structures in extreme environments, such as in outer space. Even though this concept is still experimental, it has a lot of potential for the creation of structures in the middle of the ocean by using materials found on-site. New possibilities can occur in the construction industry by bringing the manufacturing zone in the consumption space (Hebel and Heisel 2017, p. 21). Also, it will eliminate the construction cost as the island can be built directly on-site. However, there are still questions to be answered regarding the carbon footprint of the large-scale 3d printing structures. Another important aspect of this technology is the freedom it gives for the form. Taking advantage of this opportunity, it can create many new possibilities in the design of the island and in the adaptation strategy. As seen in case study 20, a porous design could be achieved with the use of 3d printing and robotics. This porosity could eliminate the need of material by optimizing the structural stability of the structure. Moreover, various size openings (porous design) could be used to dissipate wave energy or to guide the water flow as per design requirements. This design would be beneficial for the natural environment as it would allow the natural flow of water and sediments and it would not interrupt the living organisms. Consequently, the use of additive manufacturing in combination with thoughtful design could create lands in the water with various design possibilities that also adapt to environmental conditions.

4.4 Extraction of Water Artificial islands can be constructed by extracting water from designated areas. This method is also known as polderization (Goeldner-Gianella 2007). Netherlands (case study 11) and Germany have reclaimed approximately 6,000 km2 each, France 1,400 km2 and the United Kingdom almost 1,000 km2 by using this method (GoeldnerGianella 2007). The first step is to build dikes at the perimeter and then pump the water out (Martín-Antón et al. 2016). The advantage of this method is that it does not require any material resources for land-fill, which can be proven beneficial for areas with limited material resources (Martín-Antón et al. 2016). However, the new land is at a lower level than the sea level, which requires continuous maintenance of the structure to avoid flooding. Even though there is a lot of available land underneath

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the water surface, the maintenance of these islands could be proven unsustainable for low-income countries. This method could be used as a generator for various design forms. Moreover, in comparison to the analysed case studies, this method has created a larger footprint as measured in Google Earth. However, the dikes would be an important part of the design as they need to keep the water outside the designated area. Careful design of the “dike” could create various design opportunities as it could be incorporated into the island functions.

4.5 Extraction of Land Extraction of land has also been used for artificial island creation. This concept refers to the idea of creating channels and allowing the water to penetrate the land. This is an interesting concept as in comparison to the other growth processes, it allows the water to expand into the land instead of the land into the water. To construct islands with this method, first they use land reclamation to fill designated areas and then divide them into smaller-scale islands by creating channels in-between (Gregory 2021). The extracted land can be used to elevate further, the artificial islands. This method was used for the construction of Sovereign Islands in Gold Coast and Sea City in Kuwait (case studies 9 and 18). Both case studies that were analysed above have created waterfront properties and have increased the land value of these areas (Gregory 2021). This method can be used when there are available land resources as happened in Kuwait. Moreover, similar to the land reclamation process, the new land should be higher than the highest sea-level rise predictions.

4.6 Immersion Immersion of stilts in the water is another growth process of land in the water. Two case studies were analysed above based on this concept. The first was Venice (case study 7) which was constructed hundreds of years ago in a lagoon and the second was the new construction of Waldorf Astoria in Maldives (case study 17). Construction of landmasses raised on stilts has many benefits as it uses fewer materials in comparison to other methods. Also, it does not interrupt the flow of water (subject to the density of the stilts). Marine organisms such as oysters could create habitats on these stilts. However, this structure requires a stable substrate, and it can carry only lightweight structures to avoid sinking. Consequently, this method is preferable for less permanent and smaller-scale islands. Moreover, lands in the water that are raised on stilts, should be higher than the sea-level rise predictions. From the design perspective, the process of immersion can create various possibilities as the stilts allow for the structure to grow towards multiple directions (point expansion), to create various shapes. Multiple heights can also be used to allow for

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sunlight to penetrate underneath the structure. This method also gives the possibility for a design to provide functions both on top and underneath the structure. As a result, the growth process of immersion could be translated similar to the concept of pilotis in the urban fabric. Pilotis allow for the free flow of people and the development of various temporary functions underneath the structure. In a similar way, structures raised on stilts could generate experiences in aquatic environments.

4.7 Reformation Another growth process that was explored above is the use of natural forces to create land above water. In 2019, MIT Media Lab announced a research project where they tried to grow islands with the use of wave energy and sand accumulation, by mimicking the natural forces (case study 23) (Skylar Tibbits et al. 2019). Underwater landscape reformation can rearrange the existing landscape without the use of extra materials. Also, it can provide a substrate for the enhancement of natural growth and guide the water. However, if unmanaged, it can interrupt marine organisms and create stagnated waters. Moreover, this concept is challenging as it is difficult to control the shape due to the strong underwater currents and the waves. Also, as discussed with the polderation method, there is much available land underneath the water that is currently not used. Thoughtful design could enhance the reformation process to elevate the underwater lands above water.

4.8 Vegetation Blending Islands can be created by blending vegetation together. For example, the Athaphum at Lake Loktak and the Uros islands at Lake Titicaca (case studies 4 and 6). In both case studies, people blend the vegetation found on-site to create floating islands for habitation or aquaculture. This concept has many advantages as it allows the water to flow beneath the structure uninterrupted. Also due to the natural materials these structures increase the local biodiversity and reduce pollution by filtrating the water with the vegetation roots. The limitations are that they can only grow in protected environments as their structure is not strong enough to withstand high waves and strong currents. Also, this vegetation grows only in fresh waters. Moreover, the scale of the islands is small as these structures cannot carry heavy weight. Even though the limitations, the importance of floating islands as an adaptation method should be stated. Floating islands are currently used as a design response to sea-level rise and floods as they can stay on the water surface. Another important benefit of this concept is that the structure is not impacted by the substrate, as it happens with all the other design concepts that have been analysed above.

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4.9 Growth of Marine Organisms Experiments have been done to grow islands by growing living organisms such as corals or foraminifera (case studies 21 and 22). Architect Wolf H. Hilbertz proposed the growth of artificial island with the use of corals and electricity (Hilbertz 1991; Turnbull 1997). This idea was never implemented in a large-scale structure. However, there are many organizations that are growing artificial reefs with mineral accretion. This method is used to grow reefs with electricity. Even though growing islands with the use of mineral accretion would require a lot of time and electricity, it is still an important process to be examined further. Similarly, as seen on case study 22, a research team from the University of Tokyo tried to grow foraminifera to expand the land of Funafuti. However, this concept was also not implemented. Growing land by incorporating living organisms as a fundamental element in the design could be beneficial both for humans and for the environment as it would increase the local biodiversity. There is much literature to support the argument that coral islands can grow vertically in response to sea-level rise due to the growth of corals that surround the island (Kench et al. 2018; Masselink et al. 2021; Webb and Kench 2010). At the same time, corals are susceptible to environmental changes such as temperature increase, salinization etc. and to anthropogenic pressures (Duvat and Magnan 2019). As a result, the design outcome would be unpredictable, as the growth of living organisms is affected by many parameters that are not examined in this chapter.

5 Adaptation to Sea-Level Rise This section is focusing on analysing the extent of adaptation to sea-level rise for each case study. The analysis has been compiled in Tables 2 and 3, based on the environment that each case study has been created.

5.1 Enclosed Environments On enclosed, protected environments such as lakes, stagnated calm waters with less currents and no high waves are suitable for floating structures made of vegetation blending (case studies 4 and 6). These structures have many benefits both for the environment and for peoples’ lives. First, they increase the local biodiversity as they are made of vegetation and fish can eat and protect themselves from predators. Second, they can filter the water with their roots. Third, their modular, floating design allows for easy translocation based on the needs both environment and the people. Regarding the adaptation to sea-level changes, there is ecosystem-based adaptation and accommodation. Ecosystem adaptation refers to the use of living aquatic

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Table 2 Categorization of the case studies based on the environment that they have been created and summary of their growth concept, design, material and adaptation to sea-level rise

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Table 3 Categorization of the case studies based on the environment that they have been created and summary of their growth concept, design, material and adaptation to sea-level rise

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plants and the increase of the biodiversity whereas accommodation refers to the floating structure and the change of the height level based on the water level. However, floating islands made of aquatic plants can only grow in freshwater lakes. Therefore, in semi-protected or unprotected environments, wave breakers, dykes or protection rings can be used to create enclosed, protected environments, where floating modular structures can be located. These structures can be made of vegetation if they are found in freshwater, otherwise, artificial, lightweight materials should be used.

5.2 Semi-Protected Environments Semi-protected environments are the ones that are not completely exposed to high waves and strong currents, such as bay, gulf and sea. Case studies 3, 7, 8, 9, 10, 11, 12, 13, 14 and 18 have been constructed in similar environments. Various growth processes, designs and materials have been used for artificial island structures. These environments are suitable for artificial structures not only because of being less exposed than if they were in the middle of the ocean, but also because of their proximity to coastal cities. Due to this proximity, they are used as fundamental parts of the city. The growth processes that have been used are many and differ based on the technological and material resources. For example, the oyster islands were created after the consumption and deposition of oyster shells. Semi-protected environments allowed for the accumulation of shells and the growth of oysters in the landmass. Immersion has been also used, but as seen, suitable substrates are needed, to avoid the structure from sinking. Recent structures mostly use deposition of hard and soft materials that are found in proximity to the site. However, for these structures to adapt to sea-level rise they need to be build in higher level than the sea-level rise predictions. Extraction of land can be used to accommodate water within the city fabric. Whereas extraction of water requires dykes and sea walls to protect the structure from flooding. The materials that have been used are usually found on-site, such as rocks, sand, oysters and mangroves. The design can be categorized in solid-defined forms for functions that have specific requirements such as the airports. Forms that grow their volume and change their shape are based on living organisms such as oysters and mangroves. Forms that allow the water to penetrate the land and increase the coastal areas’ waterfront properties and forms that are raised on stilts. The adaptation methods that have been used in this environment vary as well. Recent constructed islands are built higher than the highest prediction to accommodate sea-level rise, up to a specific height. Protection dykes and wave breakers are usually used in the exposed side to protect the island from erosion. Case studies 9 and 18 allow the water to penetrate through the island in designated areas. Ecosystembased-adaptation has been used in examples that use oysters and/or mangroves as fundamental elements in the structure. Same with the aquatic vegetation that has been analysed above, oysters and mangroves can provide many benefits in the design and

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the environment. Living organisms increase the biodiversity, filter the water and prevent erosion by holding the sediments together and they could be used as a living material in areas with limited materials resources. Specifically, oysters can attach and rapidly grow on the structure. As they grow, they produce calcium carbonate which can be used to bind the sediments together.

5.3 Living Environments Living environments refer to artificial islands that have been constructed within a coral reef ecosystem. Case studies 2, 5, 15, 16, 17, 19, 21, 22 and 23 are found in such environments. These islands can grow only in areas where corals can grow, mostly in the tropical zone in the Pacific, Indian and Atlantic Oceans. The growth process that is mostly used in these islands is the growth and deposition of the material to a designated area. The most common material that is used for island construction is coral boulders and fragments as it is the most accessible material. Recent structures have introduced concrete or waste as a material. The design of the islands in the earlier years such as in Nan Madol and at Langa Langa lagoon was small-scale stable structures as there were no technological resources to be used for the structure. Whereas in recent years larger structures are able to be constructed with the addition of material and technological resources. Moreover, many researchers experiment with landscapes that grow with the use of living organisms. Even though these case studies (21, 22, 23) are still experimental, they will be very useful in areas with limited materials and technological resources once they are ready to be applied. Ecosystem adaptation is the main adaptation strategy in living environments. According to IPCC, reefs protect over 100 million people in over 100 countries and can reduce wave-driven flooding by 72% (Oppenheimer et al. 2019). Other research has shown that coral reefs can dissipate wave energy by 97% and constitute some of the best-submerged wave breakers (Ferrario et al. 2014). Their function has the same efficiency, as do solid barriers. Also, there is much literature to support the argument that coral islands can grow vertically in response to sea-level rise (Duvat and Magnan 2019; Kench et al. 2018; Masselink et al. 2021; Webb and Kench 2010). At the same time, corals are susceptible to environmental changes such as temperature increase, salinization etc. and to anthropogenic pressures (Duvat and Magnan 2019).

5.4 Unprotected Environments This research analysing only one case study (20) that was proposed as a design solution for the growth of artificial islands in the Indian Ocean. The design was biomimicking the coral reef structure by creating layers of protection towards the

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harsh environments and by using various size openings to dissipate and guide the water flow. Additive manufacturing can be used to create materials in situ, avoiding transportation from one location to the other.

6 Conclusion The case studies that were analysed above present various growth processes of artificial islands, according to the available resources, the design brief and the environment that they are built. These parameters also affect the design of the structure and the adaptation to sea-level rise. The analysis showed that the most common method of artificial creation is by deposition of materials found on-site and creation of solid bounded forms. This process requires a lot of material to create solid stable structures. This is a preferred method when the programme requires a strong substrate, such as in airports or when the structure is built in extreme environments. On the other hand, these constructions have been accused many times of destructions of the local biodiversity and topography. Extraction of land is another process that can create flood-resistant environments in dense areas and at the same time form islands by dividing the site into smaller pieces. Smaller, modular designs made of living organisms (vegetation, mangroves, coral, oysters) demonstrate a human-centred and environment-centred design solution. These modulars can grow or disappear based on the needs, allowing a flexibility in the design solution. These structures can grow in various environments. As seen the benefits are numerous, especially for areas with limited material and technological resources. However, using living organisms in the design has many limitations as well. For example, it is difficult to predict how and if the structure will grow or how it will react on environmental changes. Therefore, a combination of living organisms with hard materials could provide a better response regarding the adaptation of the structure to sea-level rise. Moreover, regarding the design concept, floating structures or structures that grow vertically could respond better to sea-level rise than solid static structures that have a defined height and morphology. Each of the growth processes that were analysed above can provide various design opportunities. These processes can be used individually or in combination to grow land in the water. All of them, have been proven to have advantages and disadvantages. However, the decision for the growth process selection should be based on the local environment, the available material, the technological resources and the design brief. At the same time, new parameters should be included in the design criteria such as the adaptation of the structure to sea-level rise and the flexibility of its form to accommodate the environmental changes and the peoples’ needs.

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Transferring the Plastic Sea into the Sea: Environmental Opportunities for Floating Greenhouses in Almería (Spain) Elisa Fernández Ramos , Joerg Baumeister , and Paul Burton

Abstract To create new sustainable food production systems that are more efficient, occupying less land space, and closer to the cities, will be critical for global stability. Rapid urbanization, the way we distribute food, the carbon footprint it entails, and the fragility of global food security systems demonstrate that the way we understood food production might need to be redefined to find new balances with urbanization and food demand. This chapter aims to elucidate the advantages and disadvantages of the potential use of the sea as a new territory for producing food. It will be tested by transferring The Plastic Sea (Almeria´s greenhouses) into the sea. It will be considered which would be the potential technologies that might allow this hypothesis to be feasible, considering the environmental conditions. It is presented as an exploratory approach to technological innovation systems for sustainable food production and will be part of a larger project that will focus on creating a generic descriptive framework for a sustainable marine agricultural system. The sea as an agricultural territory could have significant consequences for urban living, and architects and urban designers would need to consider how to define new potential relationships with the marine environment.

1 Introduction Creating new sustainable food production systems that are more efficient and occupy less land space, and are closer to cities would be critical for global stability (Rees and Wackernagel 2008). Rapid urbanization consequences and challenges, the way E. F. Ramos (B) · J. Baumeister · P. Burton SeaCities Lab, Cities Research Institute, Griffith University, Gold Coast Campus, Southport, QLD, Australia e-mail: [email protected] J. Baumeister e-mail: [email protected] P. Burton e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. Baumeister et al. (eds.), SeaCities, Cities Research Series, https://doi.org/10.1007/978-981-99-2481-3_5

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we distribute the food, the carbon footprint it entails (Wackernagel and Rees 1998), and the fragility of current food security globally (Chen and Kates 1994), convey that the way we understood food production is most likely about to be redefined, in order to find a new balance with urbanization and food demand (Satterthwaite et al. 2010). Considering the learnings of the past, changing the way we produced food has also changed our societies and the way we lived (Flannery 1973), so a new culture and society may probably be about to be developed. This would imply a new form of urbanism that may be directly related to the way we design sustainable systems for food production and their relations with the cities. Historically, cities have been located on coastlines due to facilities like transport, food, and ecological benefits, since products and money traditionally flowed into countries through their ports. Nowadays, eight out of the top ten largest cities in the world are still located by the coast (Food et al. 2002). Surrounding almost half of the world’s population (UN 2017), the sea could be used to grow and supply the city with fresh and local produce with easy transport. Covering approximately 75% of the Earth’s surface, seawater could become the most sustainable source of water and space on the planet. But freshwater usable by humans is only 0.1% of the total volume of water on Earth. Of all this water, the agricultural sector requires almost 70% worldwide (Sophocleous 2004). With the consequences of climate change such as recent droughts or rising sea levels, this percentage of available fresh water is becoming even smaller (UN 2017). From an environmental perspective, floating farms in the sea could allow us to return farmland to its original ecological function, avoid deforestation and reduce the burden on freshwater sources (Moustafa 2016). It may also provide locally produced food to big cities (Despommier 2013). The idea of growing food in the sea may be possible by designing floating farms by combining different technologies of seawater desalination and energy production (Moustafa 2016). The aim of this chapter is to elucidate the advantages and disadvantages of the potential use of the sea as a new territory to produce food, evolving toward Sustainable Global Security Food, tested by transferring the Plastic Sea (Almeria’s greenhouses) into the Sea, and which would be the technologies that may allow this hypothesis to be feasible, considering the environmental conditions for agriculture production, such as climate, territory, water, and crops. The proposed thesis is presented as an explorative approach to technological innovation systems for sustainable food production, mostly related to seawater, and will be part of a larger project that will focus on creating a generic descriptive framework for an agricultural sustainable environment and community, based on the sea (ISO 2019). Mainly the environmental aspects of this descriptive framework will be explored in this chapter. The methodology followed to develop it is based on a qualitative literature review, focusing on different greenhouses technologies, such as seawater greenhouses, closed and semi-closed greenhouses, floating greenhouses, and Almeria’s greenhouses in terms of the relationship between the environmental aspects and their performance (temperature, humidity, wind, CO2 , water, soil, and crops), considering the marine and the land ones in the Almeria region (Fig. 1).

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Fig. 1 Satellite image by Nasa of Campo de Dalías in Almería and its “Plastic Sea” made of greenhouses (NASA 2004)

2 The Plastic Sea in Almeria. Water Resources and Future Challenges The site is in a geographic zone that became out of an infertile terrain in southeastern Spain, a major agricultural productive area by using greenhouse soft technology. Currently, it is being studied by NASA (Baños 2022) as a case study for tech security, food, and space agriculture, thanks to the optimization of the production and harvesting process of these greenhouses and also because Almeria has some of the most similar conditions to Mars on Earth. A number of international studies of this phenomenon in Almería (Wolosin 2008) make it especially attractive to be analyzed and compared to the new agricultural developments and technologies for food production. This is one of the main reasons to choose the site as the origin of this research. This place is known as The Plastic Sea. It is a 32,550 ha greenhouse sector (Cajamar 2021), mostly covered by plastic, and it has the highest concentration of greenhouses in the world (Wolosin 2008). In recent decades, this “sea made of plastic” parallel to the Alborán Sea in the Mediterranean, has generated very large yields of fruit and vegetables from small producers, becoming leaders in exports of these products worldwide (Cajamar 2021). This greenhouse cultivation system is characterized by very low investment due to its soft technology and has been developed from the materials and techniques available locally in the region (Perez Parra and Céspedes 2008). Thanks to these structures, it is possible to save on water consumption, by almost half of non-covered

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crop production (Sánchez et al. 2015), extending the production cycles and reducing damage caused by the weather, pests, and diseases (Martínez et al. 2014). Normally, these greenhouses lack air conditioning and only have manual mechanical systems to control the climate very partially, such as natural ventilation through windows or shades. This is one of the main reasons why the construction of these greenhouses has been moving toward the Mediterranean coast, in search of more moderate climates owing to the proximity to the sea (Perez Parra and Céspedes 2008). This phenomenon of creating a highly profitable production system, due to the massive introduction of low-tech greenhouses, has managed to transform the territory, the economy, the society, the culture, and even the climate throughout the region of Almeria (Wolosin 2008). But after several decades of exploitation without global management of water resources that were once very rich in the area, together with all the environmental consequences of climate change, it has led to a situation of overexploitation which is difficult to be resolved with the measures that are currently being proposed (GEM 2021). Therefore, introducing a viable and sustainable alternative for these farms related to water management becomes increasingly urgent in this region. Human activity should adapt to the available resources. Since the resources are limited, and the demand grows exponentially, to consider circular production approaches may lead us to achieve the Sustainable Development Goals (SDGs). This chapter will investigate the convenience of designing a floating greenhouse prototype that would test this circular production approach by recreating the hydrologic cycle, evaporating water from the sea and regaining it as freshwater by condensation to produce food, the same concept The Seawater Greenhouse technology (SWGH) is based on (Al-Ismaili and Jayasuriya 2016). This way, it might meet the challenge of food production without exploiting any limited resources. Most of the solutions proposed by the institutions to solve the water constraints in Almeria involved the construction of desalination plants that are currently below their operating capacity. This is due to the high costs of desalination added to the cost of pumping desalinated water to the farms, which causes water prices to rise as the farms are located far away from the desalination plants (GEM 2021). Despite this, some studies point out that desalinated water may be profitable as it leads to an improvement in crop quality and quantity (Cajamar 2005).Therefore, replacing the traditional greenhouses in Almeria with the SWGH technology on the land side as an alternative to desalination plants might not be an ideal solution for the region, since the sea water would also need to be pumped from the sea. Given that the coastal space is limited, the profitability of these technologies is reduced by the distance from the sea, while the energy expenditure to pump the water is increased (Beltrán and Koo-Oshima 2006). For that reason, this technology may not be a feasible solution in this region. But transferring it to the sea may create a very different scenario. The costs of water in Almería will foreseeably continue growing. With the natural resources depleted by overexploitation, the investment to obtain water from desalination plants or other systems may become unavoidable. It could make the water price non-viable for the agricultural sector, especially for small or medium producers who

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are the vast majority in this region (Grindlay et al. 2011). The economic viability of the proposed floating farm system will not be addressed in this chapter, since to begin with, there is a great lack of studies that reflect the economic aspects of these greenhouses technologies (Al-Ismaili and Jayasuriya 2016). Due to the scale of this experiment, a great initial investment may be required, but further analysis would be needed to consider the total cost-effectiveness of it adding the km. of coastline land savings, the possible reduction in energy and water consumption, as well as the increase of productivity, not only in relation to crops but also regarding another synergy due to the fact that it is located in the sea, as it will be further explored in the next section (Fig. 2).

Fig. 2 Morphology of the greenhouses in The Plastic Sea, Almería. Based on the Sentinel Image, Summer 2020 (Setinel 2020)

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3 The SWGH: Environmental Parameters and Performance, Sea vs Land Side Up to date, there are four examples of SWGH built (Greenhouse), which have been analyzed in different studies to extract data on their performance and effectiveness as well as experimental models produced for possible improvements to increase their effectiveness (Essa et al. 2020). Most of them were focused on improving the design of some of its parts, such as the still, or the cladding (Davies and Paton 2005). Based on these examples and the data provided, the main environmental aspects that may affect their performance will be considered and analyzed whether the fact of being in the Mediterranean Sea could have any advantages or disadvantages, and which technologies could be applied or combined in each case to improve it further. Although, the use of models would be required to verify the convenience of combining these technologies and their potential performances in the marine environment. These SWGHs have been tested in Tenerife, Oman, Abu Dhabi, Somalia, and Port Augusta in Australia, although the data available for the last one is just the one issued to the press by a private company for commercial purposes (Al-Ismaili and Jayasuriya 2016). In addition, there is a fifth SWGH located in Jordan, which was combined with solar energy production. This last example was also made on a commercial scale and seems to report a great productive capacity (Project). External climatic conditions are the first important characteristic of the design and effectiveness of any kind of greenhouse (Baudoin et al. 2013). The SWGH technology is widely considered by the scientific community as a possible solution to produce food in areas with fewer water resources, especially in arid and semi-arid areas near the sea (Sablani et al. 2003), similar to the region where The Plastic Sea extends, which constitutes the aridest area of the Iberian Peninsula and the entire southern European flank (Almería 2009). The Seawater Greenhouse system uses sunlight, seawater, and air to provide fresh water and cooled and humid air, to supply a more sustainable environmental condition for the cultivation of a variety of crop species, thereby avoiding water or heat stress (Salehi et al. 2011). It also must deliver hot fluid to the distillation stage with solar radiation (Davies and Paton 2005).The technology is based on two principles, humidification-dehumidification techniques in solar desalination, and the integrated solar still-greenhouse system (Goosen et al. 2001). In hot climates, greenhouses mainly provide a cool environment using pad-and-fan evaporative cooling systems. Seawater greenhouses (SWGH) are similar to ordinary pad-and-fan greenhouses but with two extra components: an additional evaporator and a condenser (Al-Ismaili and Jayasuriya 2016).

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3.1 The Temperature From a total water consumption viewpoint, all types of greenhouses in arid and semiarid climates are water-intensive due to the high temperatures. For that reason, fanand-pad evaporatively cooled greenhouses do not resolve the water scarcity constraint considering their high cooling-water demand (Al-Mulla 2006). Therefore, one of the main challenges for the SWGH in arid regions is how to reduce the temperature without increasing water or energy consumption. As an example, in Oman, where the second SWGH was tested, summer temperatures can exceed 45 °C. The use of evaporatively cooled greenhouses helped to overcome the high-temperature constraint and significantly reduced irrigation water demand compared to open-field agriculture (Al-Ismaili and Jayasuriya 2016). But the amount of water required for evaporative cooling is greater than the water needed for irrigation (Al-Mulla 2006). The climate in the coastal region of Almería, where The Plastic Sea is located is milder, but the temperature can reach 30 °C (AEMET). It is a sub-desert Mediterranean climate that extends along the southeastern coast of Spain. The only characteristic of this Mediterranean climate is the concentration of rainfall in the cold season (Britannica 2019), which is a brake to the development of protected cultivation since crops are sheltered in the cold season of the year. During the rains, the extremely high temperature that exists inside them due to radiation in summer is a risk for the crops (Becerra and Bravo 2010). The species cultivated under the protection of greenhouses are mainly temperate crops that withstand average minimum temperatures between 12 and 32 °C. Temperatures above 30 °C in dry environments and above 35 °C, if the relative humidity is high, are not tolerated and cause extensive crop damage (Baudoin et al. 2013). Inside the greenhouses, due to intense radiation during the day, the temperature is much higher and can reach a value with a 15 °C difference (Montero et al. 1985). Considering that Almeria´s temperature can exceed 30 °C in summer (AEMET), the climate inside the greenhouses is considered not only harmful to the crops but also to the people who work inside in such an extreme environment (Callejon-Ferre et al. 2011). And, all this is despite the so-called Albedo effect, which has occurred in the region as a result of the extension of greenhouses that reflect a large part of the solar radiation they receive. As a consequence, the temperature of The Plastic Sea area has decreased by one degree in the last few years (Sánchez et al. 2015). Under similar conditions, it would be worth studying whether this reduction in temperature would also take place in the sea due to big extensions of floating greenhouses and if this would have any consequence by partially reducing the sea temperature, considering that the Mediterranean Sea’s temperature rose by 1.4 °C in the last 40 years due to high concentrations of greenhouse gases (Pörtner et al. 2022). Several studies concluded that Almería-type greenhouses must have greater control over their microclimates to meet the quality demands imposed by the markets and be more productive (Martinez-Mate et al. 2018). A study about the microclimates

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in greenhouses in Almería was carried out on the two most common types of greenhouses, the “Raspa and Amagado” and the “Asymmetric” (Arellano García et al. 2006), whichdetermined that the first would need to increase the temperature in winter in the north and reduce the load energy in the south in spring–summer, which may indicate a need to soften both climatic extremes. The proposal that emerged from that study to reduce this energy load, was to do so by increasing the volume of irrigation to favor an increase of the relative humidity and create a milder microclimate, which is in direct conflict with the policies to improve consumption and management of the already scarce water resources. The geometric design of the roof in the Asymmetrical subtype homogenizes the microclimate in spring–summer, but also requires climatic action in winter, especially in the north. In this case, mainly powered ventilation strategies were suggested to address it, which would imply increasing energy consumption. From all this, it may be assumed that both the irrigation and water management systems, as well as the temperature control systems of all the greenhouses in The Plastic Sea, would need to be reviewed and improved to continue being viable in this region. This could mean a huge increase in energy demand and numerous investments to guarantee the continued supply of water and energy. As an alternative, this greenhouse production could be transferred to a different location, as it may be the sea, and benefit from the possible advantages of being in a new territory. One of these benefits could be the milder temperatures that may decrease the water and energy demand of the greenhouses. The temperature in the sea is always milder due to the thermal behavior of the water (WMO). As a result, the climatic situation is very different with respect to land in the Alborán Sea, where the coast of Almería is located. This is one of the warmest maritime areas of the Iberian Peninsula. Its average temperature is 17.71 °C. The average maximum temperature does not exceed 26.5 °C, and the average minimum does not fall below 12 °C (Requena 1981) −9.6 °C on average. January is the coldest month of the year on land-(AEMET), so these milder temperatures, added to the high relative humidity of the marine environment, seem a priori favorable for these varieties of crops in terms of climate, improving the conditions of the area on which it now expands The Plastic Sea. In the first SWGH prototype, which was built in Tenerife (Spain) in 1994, the original concept was to use deep seawater to cool the greenhouse, but due to economical constraints, they ended up using heat pumps to imitate deep-sea’s temperature, with the consequent energy consumption increase (Al-Ismaili and Jayasuriya 2016). This idea could be reconsidered for floating SWGH. These cooling technologies with deep-sea water have been proven to be very effective, although not very economical when applied on land far from the sea (Hunt et al. 2019). The sea creates an opportunity to develop lower-cost cooling systems. The case of the Mediterranean, specifically in the Alborán Sea, is characterized by having two layers or currents. A layer of Atlantic water, warmer and less salty, extends from the surface of the sea to a depth of 150 or 200 m, and another layer of Mediterranean water, colder and saltier extends below 200 m to the bottom, from 1,500 to 2,000 m depth (Schroeder et al. 2016). Even though they are shallow waters compared to the

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rest of the Mediterranean Sea, the Ester Mediterranean Deep Waters (WMDW) are cooler than the East Mediterranean ones, so they might be suitable for this cooling system (GRID-Arendal 2013).This sea also has a reduced presence of deep-sea waves (Requena 1981)which makes it a less hostile sea environment to build this system or any kind of floating structure. From an agricultural production point of view, not only a sustainable cooling system for greenhouses can be a great improvement in its efficiency, but also it can serve to maintain optimal storage temperatures for fruits, and vegetables, farming food, and grain storage (Hunt et al. 2021).The possibility of using geothermal brackish groundwater energy in the SWGH was also investigated (Al-Ismaili and Jayasuriya 2016). This technique was expected to produce more freshwater than required for irrigation which potentially could have similar results using deep-sea water-cooling systems. Also, as per the experimental SWGH in Tenerife, the cooling systems allowed the cultivation of species that would not have been possible in this region under other conditions, such as lettuce, beans, herbs, and ornamental plants. It can be concluded that new local products can be raised if these technologies are implemented in floating stations. This cooling system requires a higher initial investment than traditional systems, but the low cost of cooling with seawater air conditioning processes has been considered a viable alternative for urban cooling (Hunt et al. 2021). Therefore, this initial investment could be compensated by its multiple uses, and the scale of the intervention, not only for intensive offshore agricultural cultivation but potentially also for the nearby urban systems. In addition, it is a very reliable source of cooling, since cold water can be stored in thermal energy storage tanks and meet the demand at any time. Other variable renewable energy sources such as wind or solar energy could be combined with it. However, although it is clean energy, researchers warn of challenges such as the return of water and its possible impact on marine fauna (Ma et al. 1998). There are other alternatives for energy production to supply the SWGH. A huge parabolic solar collector was used in the fourth SWGH to generate most of the greenhouse’s energy requirement, but it was reported to be insufficient at times (Sundrop).To increase the energy reliability of the SWGH and to make it a stand-alone unit, a study was conducted to determine the possibility of using hybrid photovoltaicwind power generation systems. The result concluded that it was technically feasible to use wind/solar energy to power the greenhouse to produce freshwater without the backup of fossil fuel energy sources (Mahmoudi et al. 2008).This potentially could be feasible to be integrated into the sea farms, considering the vast number of current projects of floating wind and solar energy plants that are proving their technical and cost-effectiveness (Golroodbari and van Sark 2020).

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3.2 The Relative Humidity Another important climate aspect to be considered for the performance of the SWGH is humidity. As per the results obtained in Oman’s SWGH, elevated humidity inside the greenhouse causes a reduction in crop evapotranspiration by almost 60–80% and therefore causes large water savings (Al-Ismaili and Jayasuriya 2016). In this regard, another consideration could be added regarding the sea territory: the level of humidity in the air is much higher as we go into the sea (Laîné et al. 2014). The Mediterranean Sea is a concentration basin. This means that, on average, throughout a year, evaporation exceeds rainfall and contributions from rivers (Yáñez 2019). In particular, there is a phenomenon called The Alboran’s Sea Fog that causes cooler temperatures mostly in the hot season, so the consumption of water and energy could be decreased even in hot seasons (Polvorinos Pascual 2010). Besides reducing the water necessity in the greenhouses, the humid environment could be an additional source to obtaining fresh water. In areas with high humidity such as the marine environment, the greenhouses could be opened overnight and use a hygroscopic solution to absorb external vapor, which is transformed into usable fresh water by desorption and condensation processes during the next day. This way, water production can be increased with atmospheric vapor harvesting systems in addition to rainwater harvesting (Mbaga 2015),which would make it possible to produce larger amounts of additional fresh water due to the marine environment (Jarimi et al. 2020). Solar desalination systems combined with humidification and dehumidification systems in greenhouses (GHHD) were analyzed for different climate conditions (Ghosal et al. 2003).The yield of fresh water was found to be higher in warm, humid climates, compared to composite climates. Another study (Kabeel and El-Said 2015) demonstrated the importance of solar radiation compared to many other parameters for the process of humidification and dehumidification technics in greenhouses. Thus, considering the high concentrations of radiation in the Alboran Sea, it would be one of the most optimal places in terms of this parameter in all of Europe (AEMET 1983–2005).

3.3 The Winds Patterns and Airflow Rates Another parameter, the airflow rate, appears to have an important role in the dehumidification process and freshwater productivity. One of the main challenges of GHHD implementation in arid climate zones is that the ventilation fans must change as the weather shifts and the wind blows in from different directions, so they may be required to be powered (Katsoulas et al. 2015). It should be noted that the Alborán Sea frequently behaves with abundant changes in wind direction (Sánchez-Laulhé 2001). Statistically, it has two predominant directions, the light easterly component winds predominate during the summer, and for the rest of the year the westerly component winds (Yáñez 2019).

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To avoid intensive use of powered fans, this condition would require a geometry design based on models that allow collecting the greatest amount of wind for its optimization, which could be considered since there is no space limitation in the sea. Therefore, alternative geometries to those existing on land could also be considered for their optimization if this external air exchange is reported to be efficient on the sea. The GHHD process operation is not stable due to variability in wind flow, but it may be used as an additional system to obtain water from the environment due to the sea winds (Sánchez-Laulhé 2001). However, allowing external air exchange may bring a risk in terms of contaminants, including salt spray, dust, pests, pollen, and insects (Hand 1987). This condition of dependence on the changing external environment (radiation, winds, humidity) in general for all greenhouse systems, whether (semi-)closed or traditional, for greater effectiveness (Baudoin et al. 2013), suggests that the floating greenhouses could reach their maximum potential if they were designed to adapt to climatic conditions, becoming a phenomenological architecture, which could be controlled by mechanized systems, artificial intelligence, and responsive materials. The resulting salt from the distillation of seawater, in addition, to being used for many different commercial purposes (Association), could also be incorporated into humidity control systems in cold seasons. The sea salt can be used as a desiccant to create Integrated thermo-chemical climate control strategies. For heating purposes, desiccants can be used to absorb water vapor in the greenhouse during cold periods to dry the greenhouse air and transfer energy to reheat the air. The diluted desiccant solution also heats up and can be stored to provide power during periods of lower temperatures such as at night (Buchholz) (Fig. 3).

Fig. 3 Right image: Alboran Sea environmental description map based on the bathymetric image from EMODnet (Bathymetry 2009) and on the dynamics of water masses and winds from Serrano and Guerra (2004). Left image: Annual prevailing winds in the Alboran Sea based on Requena (1981)

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3.4 The CO2 Concentration and Emissions According to the agreement of The European Union’s “EU Climate and Energy Package” to meet the Kyoto Protocol, greenhouse horticulture must contribute to a reduction in CO2 emissions (Sapounas et al. 2020). Achieving these objectives should constitute another study factor of these new agricultural production systems. The control of the CO2 production, the energy efficiency derived from its design, as well as the use of renewal energy sources, can be some of the strategies to considerably reduce it and even reach a negative CO2 balance since greenhouses CO2 sinks (Montero et al. 2008). To date, to achieve the goals of CO2 reduction and water savings, most of the proposed improvements over traditional greenhouses have focused on climate control systems and the improvement of manual ventilation systems with mechanical systems. These types of greenhouses, closed or semi-closed, same as the SWGH, are widely accepted as a concept to achieve those objectives (Buchholz). One of the main climatic differences with traditional greenhouses is the concentration of CO2 . Semi-closed greenhouses allow carbon dioxide to accumulate in optimal quantities, which improves the growth rate of plants (Qian 2017). Usually, in greenhouse horticulture, the CO2 is supplied by combustion systems, but more sustainable solutions can be applied where CO2 can be obtained through fermentation processes. This excess of CO2 could even be stored in form of biomass (Buchholz). As a result, the design of (semi-)closed greenhouses allows temperature, humidity, and CO2 concentration to be controlled independently of all the climate phases. Consequently, different combinations of climatic conditions can be achieved that until now were not possible in conventional greenhouses (Sapounas et al. 2020), a fact that may expand the spectrum of products that can be grown in each region (Al-Ismaili and Jayasuriya 2016).

3.5 The Crops Production As per the existing examples, solar distillation plants tend to occupy substantial areas of land and this implies the needs such as securing the site, providing access roads, and general services mostly in deserts, where they are often located (Davies and Paton 2005). Another possible advantage of being transferred to the sea is the lack of space constraints and the convenient connections by maritime transport to ports. The average production of Almería’s greenhouses is approximately 100 tons per HA per year (Cajamar 2021). Proportional to the estimated demand in 2050 (UN 2022), the area of greenhouses should increase to 7,500 Ha in the region, with the water demand that it would imply.If we compare this productivity data with the last SWGH tested in Jordan (Project), the production and extension of covered farmland are practically the same, but as per the results of the existing examples, the

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SWGH could easily save up to 2/3 of the freshwater demand in ordinary greenhouses (Al-Ismaili and Jayasuriya 2016). This proportion could be increased with possible optimizations of the system, the use of other compatible technologies for harvesting water in the sea, or even increasing the volume of water for irrigating by mixing it with raw seawater (Fiaz et al. 2018) due to the optimum quality of the freshwater produced in SWGH which was shown to have almost zero salinity (Al-Ismaili and Jayasuriya 2016). In this case, it would be important to consider the latest advances in biosalinity research, which includes studies of mechanisms of salt tolerance in plants, and breeding selection for salt tolerance. It also may include the investigation of the use of saline irrigation water to increase desirable traits (such as sugar concentration in fruit) in crops or to control the ripening process (Mbaga 2015). Biosalinity research also includes the development of naturally salt-tolerant plant species into crops (Fiaz et al. 2018). There are examples of traditional agricultural methods with similar techniques in different Mediterranean regions, carried out in coastal interdune systems, using only salt water without desalination. The plants do not receive water from above as in traditional irrigation, but rather the water reaches them from below through capillarity (Sánchez and Cuellar 2016). These products have even proved to have a higher quality in terms of flavor (Roa 2017), which has caused this type of crop to have a great market value. Their main clients are currently haute cuisine restaurants (Monge). Another promising initiative conducted by a famous Chef awarded with four Michelin stars in Spain is a new innovator food project researching food production under the sea, looking for new ingredients for human consumption (Mar Cristal Marilum 2020). The general objective is to replace ingredients and products of terrestrial origin currently used in the agri-food sector. To date, the team has found different types of marine cereals that they are already using for designing their menus. This could imply that the crops produced in these proposed floating farms may not only be in greenhouses on the surface of the sea, but also under the water, thus increasing their productivity and diversity. Several companies are now studying ways of farming even traditional crops under the sea designing underwater farms, and they have already yielded many different types of vegetables and plants (Group 2012). This great range of crops produced in the sea could imply a dietary change that, if implemented, would directly impact the evolution of today’s societies and cities (Parham 2020) and could help to achieve the UN diet criteria for the climate change challenge (SDGs). Considering circular approaches to food production, we can’t forget the potentiality of aquaculture integrated with floating greenhouse systems (Jena et al. 2017), such as aquaponics, which is an intensive sustainable agricultural production system that connects hydroponics and aquaculture. Hydroponics and greenhouse technologies require nutrient-rich water for plant growth instead of soil (Fiaz et al. 2018). A hydroponic system with seawater was tested in SE of Spain, and the results demonstrated a great improvement in water productivity and greenhouse gas emissions concerning soil cultivation. However,

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specific energy consumption increased, although using renewable energy could reduce emissions by 9% (Martinez-Mate et al. 2018). When Aquaculture is integrated with agriculture, it reduces the water required to produce quality fish protein and fresh vegetable products. A fish-vegetable system could be developed using the nutrients from the fish as direct inputs for vegetable production (Jena et al. 2017). This technology has great potential regarding the sustainability effect of aquaponic fish replacing other sources with a more negative environmental impact such as could be meat, wild catch, or fish from unsustainable aquaculture (König et al. 2018). In particular, this effect could be huge in Spain, which is the third country in the world in terms of fish consumption (Figueras Huerta and Novoa 2014).

4 Conclusion Based on the analysis of various advanced greenhouses technologies and their potential effectiveness in terms of the climate parameters of the sea environment, an integrated system could be proposed for increasing the productivity and efficiency of floating greenhouses. The collection of water could be carried out by a system such as the SWGH, coming from the humidification produced by the plants themselves and the solar distillation of the seawater (Al-Ismaili and Jayasuriya 2016), improving the cooling system using the marine humidity (Mbaga 2015) and the deep-sea watercooling system (Hunt et al. 2021).This energy input could also be combined or substituted for floating wind and solar energy plants (Mahmoudi et al. 2008). In addition to crops, SWAC, energy, and freshwater could be provided to urban developments on the land side, depending on the scale of the infrastructure, to increase the cost-effectiveness. Apart from vapor and rain harvesting, excess salt from the desalination process could be used as a desiccant to produce additional fresh water and dry the air and reheat it during cold periods (Buchholz). The CO2 levels could be controlled as well as their production thanks to the design of fertilization processes within the greenhouse. This climate control also could allow for growing a great range of products (Al-Ismaili and Jayasuriya 2016). The design may be responsive to external conditions (wind, humidity, CO2 , solar radiation) to improve its efficiency. However, using the models would be required to verify the convenience of combining these technologies and their potential performances in this Alboran sea environment. The water demand to grow crops in floating farms may be adequately supplied with seawater (Rees and Wackernagel 2008). The crops cultivated in these farms could be highly diverse, thanks to the climate control used in the SWGH, avoiding the need to import many products produced in other climatic regions (Al-Ismaili and Jayasuriya 2016). Also, the productivity of these crops could be improved due to the regulation of environmental parameters (Sapounas et al. 2020). Even the quality and taste may be improved using seawater distillation (Roa 2017). New types of sea ingredients for human consumption could potentially be grown on a sea farm below water (Mar Cristal Marilum 2020), as well as seaweed crops, molluscs, and fish using sustainable

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techniques integrated with crops production, such as aquaculture, to replace other sources of seafood production with a more negative environmental impact (König et al. 2018). That way, it may increase the viability of the farm investment by growing food below and above water solidarily. The great range of products that may be sustainably produced in the sea, could provide most of the elements required locally to achieve a balanced diet, meeting the UN diet criteria for the climate change challenge (SDGs). But not only food and energy, but water may also potentially be produced sustainably and circularly in the sea. Oceans are seen as an inexhaustible source of resources to achieve the balance of demand at a global level (Figueras Huerta and Novoa 2014). Seaweed crops can even be harvested for fertilizers, textiles, and pharmaceuticals (https://kelp.blue/ 2020).All this can have significant urban consequences. A combination of these industries, and new technologies, based on the sea as a productive territory, and the way it may impact our society, could guide us to design new sustainable production approaches and urban developments. Architects and urban designers would need to consider how to define these potential new urban relationships with the marine environment.

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Floating Jakarta: A Human Dimension Rukuh Setiadi , Joerg Baumeister , and Alex Lo

Abstract This chapter highlights the potential for water-based development solutions as a new or less explored option for the sustainable and future-proof development of Jakarta. It begins with the overview of the problematical issue of urbanization combined with sea level rise threat in the city and is followed with assessment of the recent policies in Jakarta. We argue that sea urbanism to deal with the issue has been overlooked, particularly on floating strategy which advances urban development and life above the water. Therefore, we are interested to know community’s perception and attitude towards advancing above the water and this is likely the first study on the topic for Jakarta. We conducted a questionnaire survey involving 540 individuals from six districts in North Jakarta that are predicted to be inundated by 2050. It suggests while the majority of survey participants in the study area have a preference for conventional protective strategies, almost half of them are interested in innovative and transformational ones, such as advancing strategies. It indicates that people in Jakarta will likely not oppose the idea of advancing development on water. Finally, the chapter highlights the potential implementation and implications for advancing development on Jakarta’s water from a human dimension perspective.

R. Setiadi (B) Department of Urban and Regional Planning, Diponegoro University, Semarang, Indonesia e-mail: [email protected] J. Baumeister School of Engineering & Built Environment—Architecture & Design, Griffith University, Southport, Gold Coast, QLD, Australia e-mail: [email protected] A. Lo School of Geography, Environment and Earth Sciences, Victoria University of Wellington, Wellington, New Zealand e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. Baumeister et al. (eds.), SeaCities, Cities Research Series, https://doi.org/10.1007/978-981-99-2481-3_6

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1 Introduction Indonesia has long coastlines and many Indonesian cities, including Jakarta, are exposed to sea level rise (SLR) and associated risks, such as coastal flooding and erosion (Setiadi et al. 2020). Jakarta is the national capital and the biggest coastal city in this country, which has the largest population in Southeast Asia. The modern history of Jakarta’s development is closely related to the sea. Jakarta’s port, which was known as Sunda Kelapa and then as Batavia, played an important role back in the eighteenth to early twentieth century. Herbs, spices and timbers in Europe were shipped out from this port (Fig. 1). Since then, Jakarta continues to grow. The city has been and will probably continue to be an economic hub, even though its role as the capital of the country for more than seven decades will come to an end in the near future. Jakarta is now a home for almost 11 million people and hosts more than three million additional people during the day as it is also a magnet for adjacent administration cities within Jakarta Greater Area, the world’s second largest urban agglomeration (Martinez and Masron 2020). Jakarta has about 662 kms square of land area. UN Habitat Global Urban Observatory (2014) listed Jakarta on the top 25 of the most crowded cities in the world with density of about 9600 people per square kilometre. Today, the average density

Fig. 1 Sunda Kelapa Port, the oldest port in Jakarta (Photo by Rukuh Setiadi)

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of Jakarta has increased to 14,464 people per square kilometre (Central Bureau of Statistic of Jakarta 2021). Jakarta’s residents have experienced acute urban problems, including air pollution, poor sanitation, a lack of housing and transportation issues, and this is exacerbated by ineffective planning interventions and migration. Air and noise pollution is inevitable as more than 20 million vehicles cramp on metropolitan streets every day (Martinez and Masron 2020) and industrial areas within 20–30 kms from the centre of the city are located (Santoso et al. 2020). Increasing trend of the annual average concentrations of airborne particulate matter and frequent violation of the annual average of the fine particles with diameter less than 2.5 micron dominated by sulfur and black carbon are observed in Jakarta (Santoso et al. 2020). Piped water covers only 40% of city’s residents (Kooy et al. 2018). Water pollution from industries and domestic activities flows through water bodies and run into Jakarta Bay (Kunzmann et al. 2022), containing a high concentration of paracetamol, nutrient and some metals (Koagouw et al. 2021), while some of the sedimented materials entangled with trash reduced the capacity of stormwater infrastructures and natural drainage. It also poses vulnerability of pumping station to trash blockage (Ogie et al. 2017). As a result, Jakarta has been prone to flood in the wet season. A major problem in Jakarta is the land subsidence. Jakarta is also one of the fastest sinking cities in the world due to massive underground water extraction over the last few decades (Deltares 2015; Takagi et al. 2016). Land subsidence has reached an average of 10–15 cm annually, and more in North Jakarta. Furthermore, increasing SLR is posing a threat to the city as ocean warming will continue not only for this century but for millennia (IPCC 2021). Under RCP 4.5, IPCC (2021) estimates an increasing mean sea level up to 71 cm by the end of this century. A projection study indicates that by 2050, sea level rise will affect about 1.6 million people and submerge up to 10 Kms inland (Takagi et al. 2016) and 55,220 hectares in north coast of Java (Suroso and Firman 2017). This chapter will provide an overview of the recent urban development issues in Jakarta and discuss the interaction between city and the sea from the public’s perspective. It includes an explanation of how public perception and attitude relate to the existing policies and their outcomes. Then, the chapter analyses the potential of an aquatic-based development for Jakarta.

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2 Methodology This study used primary data based on an online questionnaire survey which was conducted during the second quarter of 2021. Then, a field observation on the first quarter of 2022 followed. The questionnaire survey aims to understand urban community’s perception and attitude towards advancing above the water as part of strategies in dealing with sea level rise. Therefore, the survey targeted 6 Districts in North Jakarta which are predicted to submerge in 2050 due to sea level rise and land subsidence. These districts are Penjaringan, Pademangan, Tanjung Priok, Koja, Cilincing and Kelapa Gading. We distributed the online questionnaire through several ways. Firstly, we attached our questionnaire to a website which is publicly accessed and specifically dedicated to the research. Second, we shared the questionnaire link to all sub-district leaders in the targeted study area and then they passed it to the community via internal communication channel. Thirdly, we use paid social media promotions belonging to local community groups. Finally, we use informal networking channels which have direct and indirect relations with the community in the study area. We collected data of respondent’s behaviour in responding to sea level rise, opinion on the existing and advancing strategies, risks perception and awareness, willingness to pay for better living above the water and socio-economic attributes. The type of questions asked is mainly the combination of a polar and check list questions with several short answer type questions. 540 household respondents participated in the online survey but only 530 fully completed the online questionnaire survey. Figure 2 describes the distribution of respondent from the survey.

3 Sea Level Rise Impacts on Jakarta Today, the low land area of Jakarta is already lower than the sea water level (see Figs. 3 and 4). Some reports estimate it as much as 40% of the city (World Bank 2011; Kimmelman 2017). As a result, the city’s coastal areas rely on three forms of infrastructure: dykes, polders and pumps. Unfortunately, some researchers argue these are not reliable in the long run (Garschagen et al. 2018; Takagi et al. 2017; Slobbe et al. 2013), while the community has a different view, due to lack of knowledge about the dyke (Esteban et al. 2017). They have a false perception that the dyke is strong enough, and have a low motivation to prepare for flooding. These factors have placed Jakarta as one of the most vulnerable coastal cities in the world. People in North Jakarta understand the consequences of SLR for the community. SLR has impacted people in the coastal area of Jakarta in various ways. Figure 5 shows the overall awareness of respondents about the type of impacts related SLR

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Fig. 2 The distribution of respondents

faced by community. Tidal flood is the most common phenomenon encountered by the community, followed by a reduction of land area and damaged infrastructure. About 70% of respondents mentioned tidal floods as a consequence of SLR. 54% highlighted the reduction of land area and 51% pointed to infrastructure damage. Even, during a normal day, some drainage networks in low-income settlements or urban kampong of North Jakarta are clogged (Figs. 6 and 7). The performance of drainage especially in low-income settlements is likely sensitive to the shift of coastal water and weather conditions. The risk of tidal flooding has disrupted people’s activities. About 45–46% of respondents believed that SLR impacts have reduced their living comfortability and disrupted their activities respectively. Around a quarter of respondents stated that SLR reduces their property value and impacts them psychologically.

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Fig. 3 Sea water level which is higher than the surrounding area in Marunda, Cilincing District (Photo by Rukuh Setiadi)

Nearly 10% of respondents are unhappy with their living conditions, but 83% of respondents expected to stay longer in their current location. Nearly 75% of respondents have already made effort to keep their home dry. Consequently, many of them have to make extensive repairs to their home. About 65% of respondents have budgeted to make their house flood free. More than half of the respondents (Fig. 8) have already conducted more than one significant house maintenance work, with an average value of repairment at 5,260 USD. At the neighbourhood level, community members elevated footpaths and roads through collection action or working with the local government. Some landowners decided to retreat from the rising water levels. Some of the inundated areas have to be abandoned (Fig. 9) or are transformed for other purposes, such as small-scale fish cultivation (Fig. 10). Wealthier people and high-income groups have experienced less impact from SLR, as they believe that they are able to maintain their standard of living and do not see serious degradation of the physical environment in the area. There is no evidence of decreasing property value, in the areas such as Mutiara Marina or Pantai Indah

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Fig. 4 A coastal dyke protecting a settlement area in Marunda, Cilincing District (Photo by Rukuh Setiadi) Tidal flood

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Fig. 6 Clogged drainage system during a normal day in Kapuk Muara, Penjaringan District (Photo by Rukuh Setiadi)

Kapuk in Penjaringan District and West Pademangan in Pademangan District. In contrast, the property prices in these areas are skyrocketing as businesses are also moving in and the land prices among the highest which reach up to 3,200 USD per square metre (Elmanisa et al. 2017). Figure 11 shows that Mutiara Marina has a waterfront lifestyle. On the other side of the Jakarta Bay, a real estate company has transformed the area into a waterfront superblock (see Fig. 12). However, to ensure futureproofing the residents and the property developer would have to strengthen and level up the dyke as shown in Fig. 13 as well as make sure the pumping system will be in operation. The interplay of urbanization and sea level rise has influenced the coastal area of Jakarta but not much influenced the willingness of the people to live in and protect their land and settlement. They realize its impacts and have different responses to these impacts depending on their capacity. Sea level rise likely limits and poses threat to the economically disadvantage group, but for some others adapting to sea level rise is part of “the game” for living in such environment.

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Fig. 7 Elevated pathways in a settlement area in Marunda, Cilincing District (Photo by Rukuh Setiadi) 15.7

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Fig. 9 Stagnant water in the front of a public school in Marunda, Cilincing District (Photo by Rukuh Setiadi)

4 Sea Urbanism is out of Radar in Jakarta Policy 4.1 Jakarta Spatial Plan 2030 Jakarta’s spatial plan delivers both comprehensive and sectoral strategies to address various urban issues (Jakarta Province Government, 2010). In terms of the land use plan, Jakarta is designed to support 12.5 million inhabitants. North Jakarta, a coastal area, will host 18.6% of this population. South Jakarta will accommodate 22.6%, although high-density residential development in this area will be limited. Almost 50% will be allocated equally in West and East Jakarta. Development of super-blocks and vertical dwellings as well as relocating existing dwellings on the riverbanks and water catchment area will be focused on avoiding disruption to the water cycle. Managing green open space by increasing the green space allocation up to 30% is also one of the critical planning issues of the Jakarta spatial plan to improve urban air and living qualities, a hard request in the midst of decreasing land availability.

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Fig. 10 An inundated area for fish cultivation in Marunda, Cilincing District (Photo by Rukuh Setiadi)

Indonesian spatial planning law mandates an integrated utilization and control of land and sea space. So far, it manifests in the management of coastal areas, and by law as a provincial unit, the Government of Jakarta has authority to manage the coast up to seven miles offshore. Today, the coast of Jakarta is allocated for different activities. For example, the Ancol coast in Pademangan District (see Figs. 14 and 15), which is prone to abrasion, is famous as a recreation destination and also a gateway to Kepulauan Seribu, offshore islands within Jakarta administration. Prone to land subsidence, Pantai Indah Kapuk on the west side of Jakarta Coast is famous as a luxurious residential area. Jakarta’s spatial plan 2030 determines low-density commercial areas in the north such as in Kamal Kapuk, Pademangan, Ancol and Cilincing. At the same time, the plan also directs medium and large-scale industrial development in the surrounding, such as West Ancol, Marunda and Cilincing. A mandate to coordinating the utilization of land and sea space by law is so relevant, particularly when considering Jakarta as a delta city. As a delta city, Jakarta is prone to both fluvial and tidal floods. Other than traffic congestion, flood is considered as one of the critical issues that will impede the development in Jakarta. A study estimates that Jakarta’s loss from flood events with a return period of 100 years would be about USD 4.4 billion, and this number will increase by a factor 4–5 by 2100 (Ward et al. 2011). The spatial plan of Jakarta explicitly acknowledges climate change as one of the contributing factors of Jakarta’s flooding. The spatial plan also

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Fig. 11 A waterfront residential development in Pantai Mutiara Marina, Penjaringan District (Photo by Rukuh Setiadi)

highlights the urgency of and demands for increased adaptation and mitigation to reduce disaster risks. To reduce disaster risk, the spatial plan of Jakarta outlines the development of flood infrastructure, maintains and enhances drainage system, develops route and emergency evacuation zone, improves access for emergency response particularly in dense settlement, and development of dyke to address sea level rise. As for adaptation to climate change, the spatial plan of Jakarta directs the utilization of spaces that are exposed to the impact of climate change for high adaptive activities. The term means activities which able to independently adjust and thrive in the mid of climate change impacts given a limited support from the government, such as recreations and services. The plan attributes the North Coast of Jakarta as the epicentre of the climate change impacts. The spatial plan of Jakarta places emphasis on the development of water-sensitive urban settlements and strengthening the adaptive capacity of buildings and natural areas for coping with climate-induced disasters, and on the development of blue open space to cope with increasing precipitation. The restoration of Pluit Lake is one of the notable efforts of Jakarta in transforming slums and squats around the lake into an active public space (see Figs. 16 and 17).

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Fig. 12 A waterfront superblock development on the other side across Mutiara Marina (Photo by Rukuh Setiadi)

The spatial plan directs infrastructure development of Jakarta to prevent, mitigate and restore all environmental damage caused by water through the development of appropriate infrastructure. In terms of energy and environmental management, the spatial plan of Jakarta highlights the provision of an integrated energy system utilizing both renewable and non-renewable environmentally friendly alternative energy. Additionally, the plan promotes green building and sustainable urban design concepts, increasing the quantity and quality of green open space through the restoration of mangrove forests, construction of roof gardens and green walls with proper vegetation that is effective for carbon absorption, efficient and environmentally friendly technology-based waste management and improvement of wastewater treatment. In the water sector, the Jakarta spatial plan has discussed the expansion of the piped clean water services mainly to the west, east and north Jakarta, including the slum areas of these regions.

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Fig. 13 Levelling up a dyke in Mutiara Marina, Penjaringan District (Photo by Rukuh Setiadi)

Fig. 14 Tourist boats are docking in Ancol Coast, Pademangan District (Photo by Rukuh Setiadi)

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Fig. 15 The Ancol Coast, a recreational destination in Pademangan District (Photo by Rukuh Setiadi)

4.2 Climate-Resilient Low Carbon Development Plan 2045 Furthermore, the Governor of Jakarta released the Climate-Resilient Low Carbon Development Plan 2045 in 2021, emphasizing strategies outlined in the spatial plan. It focuses on a wide range of sectors including transportation, water, energy, land use, health, disaster management, environmental management, coastal and food security sectors. The following list highlights a set of strategies in the intersection of coastal management and human settlement outlined in the plan. • • • • • • • • • •

Finishing tree conservation monitoring system Advancing green open space Campaign of roof top garden Transforming neglected land to green open space Promote urban farming Strict building control and development monitoring Mangrove conservation Public campaign on the provision of private green open space Fishermen village revitalization/regeneration Regulation on incentive and disincentives for development in Kepulauan Seribu.

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Fig. 16 Pluit Lake in Penjaringan District as a natural infrastructure element to deal with flood (Photo by Rukuh Setiadi)

Fig. 17 Pluit Lake has been transforming as an active green public space (Photo by Rukuh Setiadi)

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The goals, policies and strategies of these plans have considered the impact of climate change in the coastal area. Both plans address some issues regarding the water area but not the additional dimension of considering the water as an active zone in the same way land areas are considered. It remains territorial (land) instead of aquatic (sea water) based. For example, there is no discourse in the existing plans to allocate coastal water of Jakarta for implementing floating solar panel and better aquatic farming to support energy generation and food production respectively for the city. Another example is the absence of alternative options in the revitalization of degraded coastal settlements or fisherman village with advancing above the coast. Sea territory of Jakarta is missing from the spatial plan, although Jakarta’s water area is 10.5 times larger than its land territory.

5 The Efficacy of Jakarta’s Sea Defence System Jakarta Sea Defence System is one of the most prominent among the comprehensive strategies outlined in the Jakarta spatial plan 2030. It is articulated as “reclamation islands” within the spatial plan and has been implemented as the National Capital Integrated Coastal Development (NCICD) or giant sea wall project. According to Setiadi et al. (2020: 255), the project aims to solve Jakarta’s flooding and sinking land problems through the development of a giant seawall located 2.5 km north of the Jakarta Coast. The project also aims to achieve additional benefits such as providing space for new housing and real estate projects, creating a freshwater water retention lake which could supply fresh water for Jakarta, reducing Jakarta’s traffic issue by adding a ring road on top of the seawall. Moreover, the seawall would provide a new icon for Jakarta, as its overall design would be modelled on the Garuda, the mythical eagle and Indonesia’s national symbol. The large-scale project would develop 32 km, 1250 hectares of land reclamation, and a 7500 hectares water retention basin. The project has met with both scepticism and optimism. There were debates among the involved parties over social, environmental and financial issues (Dijck 2016; Octavianti and Charles 2018; Wade 2019). Despite its controversy, the first stage of the giant sea wall project has been moving ahead since 2016. While the project is still far from finish, at the moment Jakarta relies on the existing dykes, polders and pumps. Figure 18 illustrates one of the pumping systems for Pluit Area. The spatial plan of Jakarta 2030 claims that 24 more polders need to be built in order to have a total of 64 polders to optimally protect Jakarta. Areas which are not yet serviced by the polders are in Kalideres and Cilincing located in the west and east side of the coast respectively. Many respondents of our survey are aware that the giant sea wall project is underway. Figure 19 shows that nearly 45% of respondents feel secure with, and do not oppose, the project, while nearly 40% remain neutral with the project. However, only 40% of respondents are confident in the efficacy of the project to save them

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Fig. 18 A pumping house in the area of Pluit, Penjaringan District (Photo by Rukuh Setiadi) 50

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from floods in the long term. Surprisingly, although only few respondents, approximately 15.2%, feel insecure about the project, the number of respondents who are not confident in the long term with the project is higher, about 22%. Most of the respondents, approximately at 85.5%, ask for other long-term strategies to deal with flood and sea level rise (see Fig. 20). Almost half of the respondents, 48.8%, agree that elevating their house which is part of “accommodate” according to UN-defined SLR strategies will help to save them from sea level rise, and 54.8% said that moving to higher ground known as “retreat” is the best option for them. Surprisingly, almost half of the respondents do not oppose the idea of advancing above the water or “float” and about 44% would like to try. However, only 21% of respondents think that moving to the top of the water or floating will be the best option for them. Elevating the house is a short-term strategy. Floating housing can be seen as a long-term alternative, given that retreat would be challenging, due to the high density and land availability in Jakarta administration territory (Setiadi et al. 2020). The giant sea wall and reclamation in Jakarta Bay triggered a strong protest from NGOs, fishermen and environmentalists, while media reports intensified the protest. In fact, the survey shows that 80.7% of respondents do not oppose the giant sea wall because the giant sea wall will not disrupt the idea of place and livelihood for the majority of people in Jakarta. In other words, the giant sea wall will place people in the “comfortable zone”. However, this adaptation strategy is dangerous as the community will develop a false sense of security. It may also result in more business, commercial and residential developments. Ultimately, it will increase the density and long-term vulnerability in the area.

Fig. 20 Community perception on the existing and potential strategies in dealing with sea level rise

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In addition, this strategy does not align with the spatial plan which recommends a low density in this area. It contradicts efforts to control underground water utilization, given that freshwater remains an issue in the Jakarta Coast. Protecting Jakarta with the giant sea wall, polders and pumps will be adequate under several conditions such as significant reduction of groundwater use, effective solid waste management from the upstream to downstream, particularly that flows into the water body, sufficient budget for operational and maintenance of pumps and polders, as well as reinvestment to strengthen and levelling up the seawall. The collapse of the construction during the development of the giant seawall in the end of 2019 repeated resistance to relocate for dyke extension leads to pessimism and doubt on the readiness of the government with this option. “Advance” strategy is less explored currently and may provide viable alternatives with socio-culture, affordability and technical aspects explored in the following section.

6 Advancing Above the Water for Jakarta: A Human Dimension People in Jakarta will likely not oppose the idea of development on top water as it does not involve reclamation. They are curious about the idea. Our survey shows that almost 19% of the respondents are optimistic about the idea, while 61% remain neutral. Nearly 59% of the respondents believed that an economically productive life and sustainable living could be implemented above the water. However, they admit that living above the water will be challenging, including to maintain their productive life when it is compared to life on land. In other words, it shows an ambiguity between what people believe and their attitude towards productive living on top of water. It signs of a challenge to advancing floating strategy for Jakarta. The floating strategy may potentially result in gentrification of the coastal water of Jakarta. Eventually, the gentrification could be aesthetic or inelegant depending on the human factors (e.g. who is going to use or live in the created new space above water). It can be analogous to the transformation of the urban landscape of Jakarta’s mainland so far. Focusing on the material expression, we have seen chaotic Jakarta in one development area but also orderly Jakarta on the other development areas. Martinez and Masron (2020: 9) state that “the gentrification of the [Jakarta] city which has resulted in further segregation between different groups of people with varied socio- economic statuses in the city”. From an economic point of view, willingness to pay reflecting the level of sacrifice to afford goods or services may indicate the feasibility of advancing in the future. Our survey shows that 8.9% of respondents are interested in investing in the same average of land-based housing investment. Figure 21 outlines the willingness to pay and potential realistic demand for the idea of living above the water on the Jakarta Coast. We define realistic demand as willingness to pay at least IDR. 100 million or equal to 7000 USD. Advancing development on the coastal water in Jakarta,

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Fig. 21 The percentage of willingness to pay and potential demand for advancing on the Jakarta’s coastal water

as a solution to sea level rise, is about affordability for the impacted people. A significant number of them are low-income earners, and their lower incomes may discourage them from switching to living above the water unless the construction and all technologies required are subsidized. In the long term, it also depends on the financial capability of the potential residents. Without adequate operation and maintenance, the floating strategy may lead to floating slums. Baumeister (2020) classifies twenty tactics envisioning the future of cities that place the sea and ocean as the main asset for humanity and sustainability as shown in Fig. 22. Some of these tactics are relevant to dealing with sea level rise and the broader challenge of climate change in coastal cities including Jakarta. These tactics, also known as aquatic-based development strategies, are grouped into four major categories namely protect, accommodate, retreat and advance. So far, advancing development on coastal water in Jakarta has been limited to production activities, specifically for the fish cultivation. Additionally, there has been limited effort in advancing the ecosystem, which includes coral reef and mangrove conservation programmes. These types of advancing refer to the 17th and 20th tactics of aquatic-based development respectively (Baumeister 2020) in order to establish a culture of living on the water. However, there are several other possibilities in advancing development on water in Jakarta. First, advancing buildings or space (16th tactic). Floating buildings or space which form a floating neighbourhood can be an alternative to avoid dense, degraded settlement condition where further business as usual, conservative adaptation is not possible. This type of advancing may provide aquatic benefit to reduce swell protecting the coast. Second, advancing for community (18th tactic). This tactic allows larger community to have more choices in experiencing “blue culture” or “blue recreation” (Baumeister 2020). In Jakarta, these can include floating parks, floating exhibitions and floating public venues.

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Tactics for "Protect" (1. - 5.)

1. Buildings / Space

2. Production

3. Community

4. Infrastructure

5. Natural Environ.

8. Community

9. Infrastructure

10. Natural Environ.

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Tactics for "Advance" (16. - 20.):

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20. Natural Environ.

Fig. 22 Twenty tactics of SeaCities (Source Baumeister 2020)

Third, advancing for infrastructure. As a tropical area, Jakarta has lots of sunshine everyday as source of renewable energy. The coastal water in Jakarta can be a potential location for laying out floating solar panels instead of on the land which is increasingly scarce. This strategy also delivers aquatic benefits as the water provides cooling effect for the PV modules that improved solar performance, in contrast the panel will reduce evaporation from and algae bloom in the water bodies. The same cooling effect by water could be also used for passive cooling of buildings. However, advancing development on water also presents challenges, due to the absence of relevant legal planning principles. In Indonesia, for example, building permission is the authority of city government but the management of coastal water falls under the remit of provincial government. Challenges may also arise from the legal boundary and ownership of existing coastal water that was previously private land and submerged by the sea level rise. Existing utilization of coastal water is also an issue that needs to be taken into account. Assuming coastal water as an empty space is problematic, because it is used for shipping lanes, underwater cables and pipe networks, marine fisheries, offshore mining and tourism (Setiadi et al. 2020). Planning on advancing development on water should not come into conflict with these existing uses.

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Finally, the most important human factor is the political will of decision makers and the shifting attitude of people. If they continue to embrace a “business as usual” approach in dealing with sea level rise challenges, Jakarta’s Coast will only see higher seawalls and dykes, more polders and pumps stations. This would be a lost opportunity taking our survey’s positive community feed-back into account.

7 Conclusion Sea level rise is impacting the community in Jakarta particularly those living in the low land of coastal area and who are economically disadvantaged and marginalized. Current planning and implementation projects do not consider the advance option albeit the willingness of the community to explore such options. The outcome of our survey is that advancing development onto the water is a promising concept to deal with coastal issues. Partly, there is already an upcoming willingness to finance floating developments. But it is of course difficult to promote the concept as long as there are no visible and tangible examples. Moving towards an experimental survey would be important for the near future to foster the idea of advancing development on water. Therefore, built prototypes should demonstrate in the next step the advantages and human acceptance of advancing developments above the water. The twenty tactics of seacities offer a potentially viable alternative and should be explored further.

References Baumeister J (2020) Re-building coastal cities: 20 tactics to take advantage of sea-level rise. In: Baumeister J, Bertone E, Burton P (ed) SeaCities: urban tactics for sea-level rise. Springer Nature, pp 1–18 Central Bureau of Statistic of Jakarta Province Government (2021) DKI Jakarta province in figure 2021. Jakarta Deltares (2015) Sinking cities: an integrated approach towards solutions. https://www.deltares.nl/ app/uploads/2015/09/Sinking-cities.pdf Dijk MPV (2016) Financing the national capital integrated coastal development (NCICD) project in Jakarta (Indonesia) with the private sector. Journal of Coastal Zone Management 19(5):435 Elmanisa AM, Kartiva AA, Fernando A, Arianto R, Winarso H, Zulkaidi D (2017) Land price and price ampping of Jabodetabek, Indonesia. Geoplan J Geomat Plan 4:53–62 Esteban M, Takagi H, Mikami T, Aprilia A, Fujii D, Kurobe S, Utama NA (2017) Awareness of coastal floods in impoverished subsiding coastal communities in Jakarta: tsunamis, typhoon storm surges and dyke-induced tsunamis. Int J Disaster Risk Reduct 23:70–79 Garschagen M, Surtiari GAK, Harb M (2018) Is Jakarta’s new flood risk reduction strategy transformational? Sustainability 10:2934 IPCC (2021) 6th assessment report of the IPCC: the physical science basis summary for policymakers. https://www.ipcc.ch/report/ar6/wg1/ Jakarta Province Government (2010) Jakarta spatial planning 2030. Jakarta Jakarta Province Government (2021) Jakarta low carbon development policy 2045. Jakarta

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Kimmelman M (2017) Jakarta is sinking so fast, it could end up underwater. The New York Times, December 21. Accessed 28 June 2022 Koagouw W, Arifin Z, Oliver GWJ, Ciocan C (2021) High concentrations of paracetamol in effluent dominated waters of Jakarta Bay, Indonesia. Mar Poll Bull 169. https://doi.org/10.1016/j.mar polbul.2021.112558 Kooy M, Walter CT, Prabaharyaka I (2018) Inclusive development of urban water services in Jakarta: the role of groundwater. Habitat Int 73:109–118 Kunzmann A et al (2022) Impact of megacities on the pollution of coastal areas—the case example Jakarta Bay. Sci Prot Indones Coast Ecosyst 285–346 Martinez R, Masron IN (2020) Jakarta: a city of cities. Cities 106:102868. https://doi.org/10.1016/ j.cities.2020.102868 Octavianti T, Charles K (2018) Disaster capitalism? examining the politicisation of land subsidence crisis in pushing Jakarta’s seawall megaproject. Water Altern 11(2):394–420 Ogie RI, Dunn S, Holderness T, Turpin E (2017) Assessing the vulnerability of pumping stations to trash blockage in coastal mega-cities of developing nations. Sustain Cities Soc 28:53–66 Santoso M et al (2020) Long term characteristics of atmospheric particulate matter and compositions in Jakarta, Indonesia. Atmos Pollut Res 11:2215–2225 Setiadi R, Baumeister J, Burton P, Nalau J (2020) Extending urban development on water: Jakarta case study. Environ Urban ASIA 11(2):247–265 Slobbe EV, De Vriend HJ, Aarninkhof S, Lulofs K, De Vries M, Dircke P (2013) Building with nature: in search of resilient storm surge protection strategies. Nat Hazards 65:947–966 Suroso DSA, Firman T (2017) The role of spatial planning in reducing exposure towards impacts of global sea level rise case study: northern coast of Java, Indonesia. Ocean Coast Manag 153:84–97 Takagi H, Esteban M, Mikami T, Fuiji D (2016) Projection of coastal floods in 2050 Jakarta. Urban Clim 17:135–145 Takagi H, Daisuke F, Esteban M, Yi X (2017) Effectiveness and limitation of coastal dykes in Jakarta: the need for prioritizing actions against land subsidence. Sustainability 9(4):619 UN Habitat Global Urban Observatory (2014) Population density by city, 2014: the number of people per square km of land area for the world’s largest 100 cities. https://bit.ly/3oWlShv Wade M (2019) Hyper-planning Jakarta: the great garuda and planning the global spectacle. Singap J Trop Geogr 40:158–172 Ward PJ, Marfai MA, Yulianto F, Hizbaron DR, Aerts JCJH (2011) Coastal inundation and damage exposure estimation: a case study for Jakarta. Nat Hazards 56:899–916 World Bank (2011). Jakarta: urban challenges in a changing climate. Mayor’s task force on climate change, disaster risks & the urban poor. https://bit.ly/3zTvDne

Marine Spatial Planning at the Municipal Scale: Lessons from China and Sweden Thang Viet Nguyen, Joerg Baumeister , and Paul Burton

Abstract With rising sea levels and a growing trend for floating development initiatives around the world, the urban seascape is fast becoming a new frontier for aquatic urbanism and presenting new challenges for spatial planners. Given that urban planning is essentially land-based, and the sea is a fundamentally different environment from the land, can an emerging marine spatial planning (MSP) provide answers to the challenges of planning for this increasingly urbanized seascape? Case studies of Chinese and Swedish municipal MSP will be examined critically in this chapter to understand why and how municipal MSP has been developed and to what extent they can address some of the current and future challenges of planning for urban seascapes. Based on the literature review, we explore the origins, contexts, priorities, legal frameworks, and planning systems of municipal MSP, then examine the key issues, approaches, processes, and outcomes of marine spatial plans of selected cities in the two countries, and the influences of terrestrial planning traditions on MSP. Finally, key findings in the comparison between the Chinese and Swedish case studies will be presented to draw lessons, and identify the remaining challenges for planning urban seascapes to support a more sustainable future for aquatic urbanism.

1 Introduction The world’s population is in a state of rapid urbanization, with much mass migration toward cities concentrated in coastal areas (Glasow et al. 2012). The land–sea interface is increasingly exploited for various uses, including industry, transportation, energy, and recreation (Perkol-Finkel et al. 2012). Researchers have noted that T. V. Nguyen (B) · J. Baumeister · P. Burton Cities Research Institute, Griffith University, The Gold Coast, QLD, Australia e-mail: [email protected] J. Baumeister e-mail: [email protected] P. Burton e-mail: [email protected] © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2023 J. Baumeister et al. (eds.), SeaCities, Cities Research Series, https://doi.org/10.1007/978-981-99-2481-3_7

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‘continuing human population growth and the corresponding expansion of coastal cities has contributed to a modern-day multiuse seascape’ (Dafforn et al. 2015, p. 61). Pittman et al. (2019, p. 161) define urban seascape as ‘the marine and coastal space (above and below water) that most influences the city and is most influenced by the city’. In many coastal cities, land reclamation (from the sea, wetlands, or other water bodies) has been implemented to provide space for urban expansion. However, this conflicts with coastal and marine ecosystems (Lai et al. 2015; Chee et al. 2017). The use of floating structures is emerging as an alternative to land reclamation for the sustainable expansion of coastal cities to their adjacent marine environment (Wang et al. 2019). Floating solutions are also developed for marine renewable energy, aquaculture, infrastructure, etc. In times of sea-level rise, researchers argue that ‘the future of resilient coastal cities is on the water and hybrid cities might be the next step toward floating cities’ (Lin et al. 2019, p. 880). With the growing trend for floating development initiatives around the world, the urban seascape is becoming a new frontier for aquatic urbanism. Urban processes are extending increasingly far into the sea. However, city plans typically do not stretch beyond the coastline due to their land-based jurisdictions or a divide of jurisdictions between land and sea. Development projects in urban seascapes are often selected on a case-by-case basis, lacking a holistic approach. Calling for thinking beyond a city’s terrestrial boundaries, Beatley (2014) argues that cities must begin to include the sea in their planning. Given that urban planning is still essentially land-based, and the sea is a fundamentally different environment from the land, can marine spatial planning (MSP) provide the answers to the challenges of urban seascapes? In recent decades, MSP has emerged as ‘an important tool to plan for, manage, and improve marine environments’ (Retzlaff and LeBleu 2018, p. 1) using an ecosystembased approach as the guiding framework (Domínguez-Tejo et al. 2016). Around 100 countries/territories now have MSP initiatives, ranging from early stages to plan adoption and revisions (IOC-UNESCO 2021). As of 2021, over 45 countries worldwide are either implementing or approving marine spatial plans (UNESCO 2021). Based on recent literature reviews (Domínguez-Tejo et al. 2016; Retzlaff and LeBleu 2018; Santos et al. 2019) and the latest information on MSP in each country from the website of UNESCO’s Intergovernmental Oceanographic Commission (IOCUNESCO 2021), we can see that marine spatial plans are normally formulated on national and regional scales for exclusive economic zones and territorial seas. Although MSP can be conducted on multiple scales, a larger spatial perspective of marine regions is more relevant and required for true ecosystem management (Retzlaff and LeBleu 2018). On such larger scales, ‘the details may be lost’ (Westholm 2018, p. 266), or the local issues of the urban seascape may not be addressed. As Westholm (2018, p. 266) states, ‘A local government may have different priorities and rationale in their planning than a national authority’. Conversely, ‘if the geographical boundaries of a local municipality are chosen as the planning scale, the overall perspective may be lost’ (Westholm 2018, p. 266). Based on available information from the IOC-UNESCO and online resources, we find that China and Sweden stand out as the two exceptional cases for MSP on a municipal scale besides other larger scales among the countries that have approved

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and implemented MSP. The case studies of Chinese and Swedish municipal MSP will be examined in this chapter to understand why and how municipal marine spatial plans have been developed in these two countries and to what extent they can address the current and future challenges of urban seascapes. We will explore the origins, developmental contexts, policy priorities, legal frameworks, and planning systems of municipal MSP in China and Sweden. We will then examine the key issues, planning approaches, processes, and outcomes of marine spatial plans of the selected cities and municipalities in the two countries, as well as the influences of terrestrial planning traditions on marine planning. Finally, the key findings in the comparison between the Chinese and Swedish case studies will be presented to draw lessons from each country and identify the remaining challenges for planning urban seascapes that give implications for further research on new planning tools for aquatic urbanism. This chapter uses a literature review as the key research method, based on journal articles, project reports, planning documents, theses, and online resources. There are some limitations to examining the case studies of China and Sweden. The planning documents of the Chinese municipal MSP are not available to the public. So a review of Chinese MSP is based largely on literature by Chinese researchers. On the contrary, Swedish municipal MSP documents are available on municipal websites in Swedish but have not gained much attention in the literature. Although we do not have interviews with people involved in MSP processes in China and Sweden, we can gain insight into local perspectives based on two studies. A study by Carneiro et al. (2017) included interviews with MSP stakeholders in Xiamen, China. Johanson and Ramberg (2018), in their master thesis on MSP from a municipal perspective, interviewed respondents in Swedish municipalities. This research will begin by examining the Chinese case study.

2 The Case Study of China In the following sections, the case of Chinese municipal MSP is explored through the historic development of the marine functional zoning (MFZ) system in the context of policy and its relationship with other marine plans (Sect. 2.1), the issues of MFZ schemes in the pioneer municipality of Xiamen (Sect. 2.2), and the influence of landuse functional zoning on Chinese MFZ in transforming urban seascapes (Sect. 2.3).

2.1 The Development of the Marine Functional Zoning System in China According to the government white paper, ‘The Development of China’s Marine Programs’ (1998), China’s land natural resources per capita are lower than the world’s average. Therefore, China, as a major developing country with a long coastline (more than 18,000 km), ‘must take exploitation and protection of the ocean as a

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long-term strategic task before it can achieve the sustainable development of its national economy’ (Information Office of the State Council of the People’s Republic of China 1998). According to this paper, China’s Ocean Agenda 21 formulated in 1996 put forward a development strategy for China’s marine programs. Among the cited policies are ‘overall planning for marine development/ control’ and ‘setting up a comprehensive marine management system’. In these regards, China would ‘strengthen the comprehensive development and administration of its coastal zones, exploit the coastal land and sea areas, improve marine functional zoning and planning, strengthen the management of marine development and protection, as well as the utilization of sea areas to form coastal economic belts and marine economic zones’ (Information Office of the State Council of the People’s Republic of China 1998). This can be considered the policy context for the development of MFZ in China. MFZ identifies the primary sea use function for designated sea areas, often based on social-economic development planning and industry development planning, and is equivalent to what is known internationally as marine spatial planning (Fang et al. 2018; Yu et al. 2020). MFZ originated in the context of increasingly severe and high-intensity exploitation of marine resources, conflicts between sea users, increasingly and seriously damaged coastal ecology, and deteriorating offshore environment in China (Yu et al. 2020). In the past 30 years, there have been three generations of MFZ (Teng et al. 2021). The MFZ scheme approved by Xiamen City Government in 1997 was the first to have the legal status for enforcement and became an effective tool for integrated coastal management (Fang et al. 2018), contributing to the beginning of the legalization of MFZ in China (PEMSEA 2006). The case study of MFZ in Xiamen city will be explored in the following part to understand how MFZ contributed to the development of the city’s marine space. In terms of the legal framework, the Marine Environmental Protection Law amended in 1999 and the Law on the Management of Sea Use (LMSU) enacted in 2001 formalized the legal status of MFZ in China. The LMSU established three main principles for ocean management in China: (1) the sea use right authorization system, (2) the marine functional zoning system, and (3) the user-fee system (Li 2006). It requires that all uses of sea areas comply with approved MFZ schemes (Fang et al. 2011). Lu et al. (2015, p. 99) note that ‘MFZ is revised every ten years by law, and modifications can be proposed every two years’. By 2008, most coastal cities and counties had completed their MFZ schemes, together with the approved national and provincial MFZ plans (Fang et al. 2011), serving as ‘a main legal basis for the protection, exploitation, and utilization of the marine in China’ (Yu et al. 2020, p. 3). At the municipal level, 53 coastal cities and 242 coastal counties have municipal MFZ schemes implementing national and provincial zoning objectives (Pan 2021). MFZ is implemented using a top-down system in which the lower level must conform to a higher level (Yu et al. 2020). There are three implementation levels (national, provincial, city/county) of MFZ with a two-level management system (national, provincial), in which the national and provincial levels’ MFZ schemes (for exclusive economic zone and territorial sea, respectively) are approved by the

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national government, and the city/county level’s MFZ schemes (for sea areas under the corresponding jurisdiction) are approved by the provincial government (Teng et al. 2021). The decision-making is strongly influenced by a top-down approach. The higher-level national or provincial MFZ has the role of ensuring horizontal coherence at the lower levels of provincial or city/ county MFZ, given ‘the absence of proactive collaboration between neighboring provinces or neighboring cities’ (Carneiro et al. 2017, p. 18). The main MFZ tasks at city or county levels are ‘to implement the refined provincial zoning targets, identify the marine functional subzones with specific requirements for sea use and environmental protection’, and propose ways of guaranteeing the implementation of MFZ’ (Teng et al. 2021, p. 3) (Fig. 1). Technical directives and guidelines are provided by a national agency to standardize the MFZ process and classification of marine functional zones at all levels (Fang et al. 2011). The emphasis on uniform functional classification is an outstanding characteristic of the Chinese MFZ system. The past evolution of MFZ as highlighted by Chinese researchers (Yu et al. 2020; Teng et al. 2021) focused mainly on the technical aspects of MFZ, such as standardization and classification for rational allocation of marine resources, and not on how MFZ can deal better with dynamic changes, marine ecosystems, environmental impacts, social inclusion, land–sea integration, climate change, sea-level rise, etc. The latest classification in the third generation of MFZ has eight primary types of marine functional zones at the provincial level (Yu et al. 2020) (see Fig. 1). Among these primary zones, the industrial and urban sea zone represents land reclamation for industrial and urban construction, the special utilization zone is for research, military use, disposal, and dumping, and the reserved zone is at present not developed or utilized. These eight zones are further divided into 22 subzones at the municipal level (Teng et al. 2021). According to Yu et al. (2020), 70% of the sea in provincial jurisdictions is designated for human uses, supporting the high intensity of marine

Fig. 1 Hebei province’s MFZ (left) and Tangshan city’s MFZ (right), based on Teng et al. (2021)

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exploitation, of which over 16% is for industrial and urban sea zones (land reclamation). The functional zones are considered rigid, and ‘it may become unreasonable to mandate that a certain sea area is only suitable for only one specific purpose’ (Yu et al. 2020, p. 7). MFZ has the highest legal status among other marine zoning tools, including marine environmental functional zoning (MEFZ) and marine ecological red line (MERL) (Fig. 2). Mu et al. (2013, p. 65) state, ‘MEFZ divides sea area into different environmental functional zones, in which each zone is a designated sea area carrying out the same environmental quality standard, to protect and improve the marine and coastal environment’. Lu et al. (2015, p. 97) add that ‘MEFZ focuses on water quality protection, mainly aiming to set water quality management objectives for specific sea areas’. In terms of ecological protection, MFZ is supplemented by the MERL management system (enacted in 2015), where ‘important marine ecological functional zones, ecological sensitive zones, and ecologically fragile areas are classified as key control zones under strict classified control, to protect the health and safety of the marine ecology’ (Lu et al. 2015, p. 99). However, ‘the marine ecological red line zone layout is restricted by the existing division of marine functional zones … For example, when dividing functional zoning, the administration of sea use for urban construction requests that its “natural attributes” are allowed to be conditionally changed, even if such a zone has ecological value’ (Lu et al. 2015, p. 99). Teng et al. (2021) argue that the implementation of MFZ promotes the rational allocation of marine resources, coordinates the sea use of different sectors, reduces conflicts between marine resource uses, and promotes the rapid development of the marine economy. The implementation of MFZ has promoted marine environmental protection efforts in China through the improvement of national inshore water quality and the establishment of marine protection zones, according to Teng et al. (2021). However, the implementation of MFZ has revealed several problems and deficiencies pointed out by Chinese researchers (Fang et al. 2011, 2018; Yu et al. 2020; Teng et al. 2021), listed below: . ‘Focusing on resolving user–user conflicts and neglecting the user–environment conflicts’. As a result, the zoning process commonly emphasizes the exploitation of marine resources.

Fig. 2 Three different marine zoning plans in the North Tianjin sea area, based on Lu et al. (2015)

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. ‘Allowing rapid development of port, industrial and urban zones through largescale sea reclamation’, limiting the marine ecological space, and damaging marine ecosystems. . ‘Insufficient marine ecological and environmental protection’, given that the intensity of marine exploitation and utilization continues to increase. Under the management of the current MFZ, ‘the sea projects tend to get approval if the local sea use does not violate the main functions determined by the MFZ, but little attention is paid to its impact on the marine ecological environment’. . ‘Lagging and inflexible plans unable to cope with changes and to keep up with the development of the times’. For example, the current MFZ, released in 2012, does not address the issue of ocean-based renewable energies. If marine survey data is not updated more often, ‘the MFZ cannot be assessed more often and revised according to changes in the marine environment’. . ‘Neglecting monitoring and evaluation of MFZ performance in the practice … The revision is mainly pushed by the driving forces of rapid economic development’. . ‘Lacking coordination between the zoning schemes of both sea area and the coastal land area’. For example, the issue of land-based source pollution, especially pollutants from rivers, cannot be addressed by the MFZ. . Lacking engagement from stakeholders, such as enterprises, social organizations, and the public. ‘The process of formulating MFZs involves mainly relevant government departments which manage and utilize the sea’. . Top-down requirements, for example, ‘national zoning objectives for provinces may not be consistent with local natural conditions of sea area and development degree of marine resources’. . ‘No explicit strategy to deal with climate change’. Chinese researchers expect that the next generation of MFZ (from 2020) will address ecosystem-based management, climate change adaptation, vertical planning, land– sea integration, and public participation in the context of the recent national strategy of ecological civilization (Teng et al. 2021; Yu et al. 2020). The recent reform of the spatial planning system in China and the new Ministry of Natural Resources (taking over the responsibilities of the former agencies for both territorial and marine spatial planning) are expected to influence positive changes to the MFZ system, particularly the integration between land and sea planning systems. In the following section, the intensification of interactions between land and sea at the city level will be examined in the case of Xiamen.

2.2 Pioneering Marine Functional Zoning in Xiamen Xiamen is a coastal city located on the southeast coast of the Fujian Province on the West coast of the Taiwan Strait. The area under the jurisdiction of Xiamen consists of the land, islands, and sea, with a total land area of 1,699 km2 , a sea area of 390 km2 , and a 234 km coastline (Fang and Ma 2018). Xiamen’s coastal waters include

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the West Sea, East Sea, Tong’an Bay, and Jiulong Estuary (Fig. 3). The population of Xiamen increased from 1.2 million in 1995 to 4.255 million in 2014 (Carneiro et al. 2017). As a key port city, Xiamen is one of China’s first four special economic zones that opened in the 1980s, serving as a pilot area for the country’s reform. The advantageous natural conditions provide huge potential for developing the port and shipping industries, as well as tourism, which are priorities in Xiamen’s master plan (Fang et al. 2018). Xiamen was a pioneer local government in implementing MFZ at the city level. The competing uses in the Xiamen sea included fisheries, aquaculture, shipping, tourism, waste disposal, and land reclamation (PEMSEA 2009). In Xiamen, ‘MFZ arose out of the need to organize these maritime activities, whose rapid and often unregulated expansion was leading to … severe degradation of coastal and marine environments’ (Carneiro et al. 2017, p. 23). The development and implementation of MFZ is an essential part of the Integrated Coastal Management (ICM) program in Xiamen (Fang et al. 2018). Xiamen’s first MFZ scheme (Fig. 4) was approved in 1997 by the Xiamen City Government for the planning period 1998–2006 (Fang et al. 2011). It covered marine waters, islands, shorelines, and some adjacent land areas under the jurisdiction of the Xiamen Municipality. As Carneiro et al. (2017, p. 18) state, ‘The special administrative status of Xiamen allows it to pass its laws on several domains that “regular”

Fig. 3 Xiamen City Master Plan and sea area in the city jurisdiction, based on the Xiamen land-use plan (Calthorpe Associates 2014) and the boundary of sea area in the Xiamen administrative area map (Carneiro et al. 2017)

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cities may not, which enabled it to pass its MFZ regulation ahead of the national law, national and provincial MFZ plans’. ‘The goals of the MFZ scheme outlined in 1997 were to address sea use conflicts, rationally exploit and utilize marine resources, and to protect and improve the marine environment’ (Carneiro et al. 2017, p. 23). As shown in Fig. 4, the dominant function of the West Sea area of Xiamen was for ports and navigation, while that of the East Sea area was for tourism development. To avoid conflicts between sea uses, the aquaculture farms in these two areas were transferred to the Tong’an Bay area and the Dadeng Sea (Fang and Ma 2018). Revisions to Xiamen’s MFZ scheme were approved by the Fujian Provincial Government in 2007 and 2016 for the planning periods 2007–2012 and 2013–2020, respectively, following the approved provincial MFZ schemes (Fang et al. 2018). Carneiro et al. (2017, p. 34) note that ‘The main parties involved in the MFZ process were the planning authorities, and indirectly the maritime sector departments and bureaus that submitted their sectoral plans to the MFZ authority for inclusion in the MFZ scheme and provided feedback before it was finalized’. Xiamen’s latest MFZ scheme (Fig. 5) included ‘guiding the optimization of the marine economic structure and repairing and restoring coastal ecosystems in addition to the previous goals’ (Carneiro et al. 2017, p. 24). Carneiro et al. (2017, p. 24) also state that ‘The aquaculture industry was actively restricted through the reduction of allocated

Fig. 4 Xiamen’s first MFZ scheme for the planning period 1998–2006, based on Fang and Ma (2018)

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Fig. 5 Xiamen’s latest MFZ scheme for the planning period 2013–2020, based on Fang et al. (2018)

areas and prioritization was given to more economically valuable industries such as shipping and tourism’. Several marine functions in MFZ, such as reclamation, industry and urban construction, and port zones, indicate significant allocation of land-based activities to sea planning. MFZ expands land-based urban development into marine space by reclaiming land from the sea, which has been a practice in Xiamen for many decades. Although MFZ takes environmental aspects into account (Fang et al. 2011), a study of MFZ in Xiamen by Carneiro et al. (2017, p. 26) found that ‘there is barely any knowledge about the impacts of human activities on the marine and coastal ecosystems, hence the knowledge about the functioning of the ecosystem appears to be limited’. Zhang and Xue (2013) found that intensive development activities in Xiamen Bay, such as shipping, aquaculture, reclamation, and tourism, had led to a decline in marine biodiversity, habitat loss, and water pollution. To achieve the objective of sustainable development, the local governments in Xiamen Bay have recently implemented a new MERL plan to regulate ecologically sensitive areas (Hu et al. 2019). The coastal waters of Xiamen serve as an important habitat for various marine species. To protect endangered species, a national marine protected area in the West Sea was set up in 2000 (Fig. 6), contributing to ‘the increased visibility of the Chinese white dolphins’ (Fang and Ma 2018, p. 499). However, marine protected areas in the West Sea, as well as the East Sea, overlap partially with the tourism, port, shipping lane, and reclamation zones in the MFZ scheme (see Fig. 6 and the details of the West Sea in Fig. 7). The West Sea of Xiamen is not only an important habitat for

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endangered species such as the Chinese white dolphin and egret but also the only area deep enough for shipping and ports in Xiamen (PEMSEA 2006). In the MFZ scheme 2007–2012 (Fig. 7), ‘port and shipping were set as the dominant function (sea use type) in the West Sea while tourism, nature protection, and

Fig. 6 Marine conservation zones for white dolphins in Xiamen, based on Fang and Ma (2018)

Fig. 7 Key ecological areas (left), MFZ 2007–2012 (middle), and MFZ 2013–2020 (right) of the West Sea in Xiamen, based on Fang et al. (2019)

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ecological restoration were set as ancillary functions’ (Fang et al. 2019, p. 509). This demonstrates that priority was given to marine economic development, even encroaching on the protected areas where there would be serious conflicts between intensive human activities and protected marine species. To protect the Chinese white dolphin there, ‘the speed restriction imposed on all vessels was incorporated into the MFZ scheme, according to the Xiamen Port Authority’ (Carneiro et al. 2017, p. 33). Nevertheless, increased port and shipping activities cause greater disturbance to marine habitats. An analysis by Fang et al. (2019, p. 513) indicates that ‘the expansion of sea uses (particularly tourism) to untapped sea areas (e.g., intertidal zone) in the MFZ scheme 2013–2020 is the main contribution to the decrease in the key ecological area protection value in the West Sea’. Despite being a national marine protected area, the West Sea has the most serious conflicts between sea use activities and the ecological environment in Xiamen (Hou et al. 2022). The West Sea, with such intensive sea use activities, also provides the highest marine economy values in Xiamen, as demonstrated by Hou et al. (2022). Fang et al. (2018, p. 4) state, ‘According to Xiamen City Government, the implementation of MFZ avoided the issue of disordered, excess and unpaid use of sea areas, and established a good order to exploit and manage the sea areas in Xiamen’. However, Carneiro et al. (2017, p. 45) believe that ‘MFZ’s main contribution has been in terms of regulating—and, for selected sectors, improving—access to the marine resources, rather than enhancing their conditions’. The case of Xiamen highlights how MFZ has become a fundamental tool for regulating the uses of China’s marine areas at a city level to support marine economic development and urban expansion toward the sea.

2.3 Marine Functional Zoning: Adopting Land-Use Functional Zoning and Transforming Urban Seascapes As illustrated by the case study of Xiamen, China exploited marine space for aquaculture, fishing, reclamation, port, shipping, etc., long before the implementation of the MFZ system. MFZ brings order and rationality to these development activities. Dividing the marine area into functional zones horizontally, MFZ has similar characteristics to land-use functional zoning in Chinese urban planning. Based on the literature review, we consider MFZ to be the adoption of a land-use functional zoning approach in marine space. Buck (1975, p. 27) notes that ‘functional zoning has been the dominant method in Chinese urban planning since the early 1950s’. It was influenced by the modernist urban planning model (Curien 2014). As Zhang et al. (2012, p. 1) state, ‘functional zoning continues to be an important part of the statutory “general planning” for the development of cities in China’. A study by Curien (2014) on Chinese urban planning reveals some key characteristics of urban functional zoning that can explain those similar features in MFZ. In the ‘general planning’ of Chinese cities, the various urban functions, being allocated

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the proportions of land based on the national standards for urban use, are arranged in space according to a generic hyper-quantitative functional zoning method (Curien 2014). In this zoning approach: Eeach block is allocated a single function: [such as] residential zones, industrial zones, shopping zones, cultural and educational zones, administrative zones, green space zones, and so on [...] Everything revolves around detailed standards and urban functions, leaving little room for qualitative considerations. [For Chinese planners], zoning appears to be the most rational model [...] when it comes to constructing a new city [...] [Functionalist planning method and] large-scale urban zoning [...] appear to provide the most effective means of constructing large cities very quickly, of carrying out urbanization on the largest scale and as quickly as possible, and in doing so, achieving the ultimate political goal of maximizing economic growth [...] The process of planning new cities does not involve any overall and systemic consideration for environmental matters. (Curien 2014, pp. 23–29)

Curien (2014, p. 25) raised the challenge of ‘how to reconcile the increasing concern for the environment and the pursuit of development and urbanization on a massive scale’, given the Chinese developmental context and its ‘hyper-productivist and functionalist planning’. This challenge is the same for marine development in China, where marine biodiversity and ecological protection are marginalized in the process of intensive marine exploitation and marine urbanization supported by MFZ, as demonstrated in the case of Xiamen. Fan et al. (2012, p. 197) note, ‘Local governments of provinces, cities, and counties all commit to accelerating industrialization and urbanization and setting the GDP growth rate as the main objective of development, or even the unique goal’. The priority objective of maximizing economic growth has become one of the basic principles of Chinese urban planning (Curien 2014). Adopting the functional zoning approach transferred from Chinese urban planning practices, MFZ focuses on the order and rationality of marine uses for economic growth and often neglects the conflicts between human uses and marine ecosystems. As Hou et al. (2022, p. 1) put it, ‘The current MFZ is too economically oriented to address adequately the ecological environment’. The designated functions in the rigid zones of MFZ fail to represent the dynamics of the marine environment and ecosystems. In the seaward process of intensive urbanization, habitats of marine species are squeezed and damaged over time, despite the establishment of marine protected areas in MFZ. Driven by rapid economic development and influenced by urban functional zoning, MFZ intensified marine urbanization by allocating large-scale land reclamation for ports, industrial, and urban zones at sea (Fig. 8). MFZ contributed to the human-made transformation of urban seascapes in the interface between cities and sea under the government agenda for economic and urban development. It should be highlighted that the concept of ‘ecological civilization’ was embedded in China’s constitution in 2018 and became the national development strategy and the cornerstone of the ‘New Era’ (Wei et al. 2020, p. 1). Wei et al. (2020, p. 2) state, ‘A focal point of ecological civilization is a national ecological conservation system called the Ecological Conservation Redline’. On land, ‘the major innovation in the national zoning plan is designating “ecological function zones” and “ecological red

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Fig. 8 Coastal land reclamation in Bohai Bay showing the extensive urban expansion of Tianjin City and Tangshan City into the sea in 2002–2014, based on Meng et al. (2017)

lines” across the country to restrict development by regional carrying capacities’ (Wong et al. 2018, p. 1). At sea, the MERL management system has been enacted since 2015 to work alongside MFZ. However, there are still some limitations to this MERL system, due to the dominant role of MFZ system in marine planning. The current MFZ cannot keep up with the environmental and policy changes. The improvement or adaptation of MFZ has been awaiting its next round of revision and becoming obsolete in terms of ecological protection and readiness for emerging uses, such as renewable ocean energy and floating developments that were not anticipated in MFZ. The current challenge is how the next generation of MFZ should be innovated to be in line with China’s national strategy of ecological civilization to obtain harmony between humans and nature. In this section, various aspects of Chinese MFZ have been examined in detail to provide the basis for the comparison between Chinese and Swedish municipal MSP in Sect. 4 and draw lessons from Chinese municipal MFZ in Sect. 4.2. The following sections cover the case study of Sweden.

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3 The Case Study of Sweden In the following sections, the case of Swedish municipal MSP is examined through the legal framework, challenges of municipal comprehensive plans covering the territorial sea overlapped by national marine spatial plans (Sect. 3.1), and outstanding cases from cross-municipal MSP of northern Bohuslän to MSP integrated into the Gothenburg municipal comprehensive plan (Sect. 3.2) and the ecosystem approach in strategic guidance of municipal MSP for urban seascapes (Sect. 3.3).

3.1 Municipal Level Versus National Level in Planning the Territorial Sea In Sweden, the response to potential offshore expansion, such as renewable energy, led to the extension of the municipal terrestrial planning system to 12 nautical miles offshore in the government’s revision of legislation during the mid-1980s (Smith et al. 2011). The Swedish Planning and Building Act (PBA), which was first introduced in 1987 as a modernization of the legislation, requires municipal comprehensive plans covering all the territorial waters 12 nautical miles from the baseline. The jurisdiction of Swedish municipal planning extending to the limit of the territorial sea is a remarkable feature, different from most other countries. In the 1990s, despite the existence of a legal framework enabling the integration of land and sea planning, ‘Swedish municipal comprehensive plans concentrated on land use and development, paying little attention to the water mass and seabed’ (Taussik 1998, p. 179). Schulman and Bohme (2000, p. 75) note that ‘Planning was mainly understood as and focused on land-use planning in the Swedish physical planning tradition’. A notable exception is the Lysekil Municipality, one of the first to become involved in water planning and coastal management (Taussik 1998). The comprehensive plan, including coastal areas and the sea of Lysekil Municipality, was published in 1991 (Ackefors and Grip 1994). Until 2010, only four out of 80 Swedish municipalities engaged in marine planning within the territorial sea (Wenblad 2012). Therefore, sea planning in Sweden is still emerging practice, particularly in the last decade, energized by the recent process of national marine spatial planning, which we will discuss later in Sect. 3.2. Taussik (1998, p. 179) explained the limitations of marine planning by Swedish municipalities in the 1990s in the following: Firstly, inspite of the legal framework, water elements [were] not universally included in comprehensive plans. Where they [were], they tend[ed] to be separate elements of the plan, often without cross-referencing between them. The intended integration of land and water seldom exist[ed] in practice. Secondly, many municipalities [did] not identify coastal water areas as part of municipal planning areas. Where they [did], for example, in archipelagos, seldom [was] it to the limit of the territorial sea [...] Often local opinion contend[ed] that water areas [did] not need planning because there [were] no conflicts of use associated with them [...] Thirdly, where coastal waters [were] incorporated in plans, the plan content for water areas [was] less satisfactory than for land. Usually, it referr[ed] only to surface water

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and not to the water mass or the seabed [...] [Another factor was] the lack of tradition in dealing with water planning and thinking about water-related issues, a limitation shared by both professional planners and politicians. (Taussik 1998, p. 179)

Three decades after the introduction of PBA, a survey by Johanson and Ramberg (2018) found that the lack of knowledge, data availability, and skills were still major challenges in Swedish municipalities’ work with MSP. Their interviews with planners in several municipalities also found that the complexity of the marine environment was a reason why the sea had not been planned before. As they note, ‘Many municipalities were still in the startup phase for municipal MSP’ at the time of the survey (Johanson and Ramberg 2018, p. 82). The Swedish Agency for Marine and Water Management (SwAM) (2015, p. 198) also reported that ‘the lack of planning data and knowledge of marine values was a reason why so few municipalities planned the entire marine area’. In addition, the prioritization of terrestrial areas made the seas less interesting for some municipalities (Johanson and Ramberg 2018). The survey of coastal municipalities by Johanson and Ramberg (2018) indicated that municipalities need a common database and new methods and tools to be developed for a new planning environment like the municipal sea areas. They state that ‘Several municipalities had difficulties in using the same planning methods in their sea areas as they use on land’, and therefore ‘there is a need for different methods and tools other than the ones used for terrestrial planning’ (Johanson and Ramberg 2018, p. 91). Schulman and Bohme (2000, p. 73) reveal that ‘The Swedish planning system is focusing on the municipalities—with the notion of the “local planning monopoly” as a basic concept’. It should be noted that the Swedish administrative system formally consists of three levels: the national level (the state), the regional level (counties), and the local level (municipalities) (Koglin and Pettersson 2017). The PBA reinforces the decentralization of power to the municipalities, which ‘gives the municipalities an exclusive right to decide how comprehensive planning should be carried out, not only for terrestrial areas but also for marine areas’ (Johanson and Ramberg 2018, p. 11). As a key element of the Swedish planning system, the municipal comprehensive plan is mandatory but not legally binding and provides guidance for decisions on how the land and water areas are to be used (Boverket 2016). As Schulman and Bohme (2000, p. 77) state, ‘It was meant to be a powerful tool for strategic planning at the municipal level’. Persson (2020, p. 1190) notes, ‘In the local planning monopoly, municipal comprehensive plans do not have to conform to plans or programs at higher levels’. However, the municipalities are required to interpret and demonstrate how the various national interests are to be accommodated into their comprehensive plans (Johanson and Ramberg 2018). National interests, which are described by responsible national authorities according to their policy fields, describe geographic areas of national importance and are regulated by the Swedish Environmental Code. As Schulman and Bohme (2000, p. 77) note, ‘The municipal comprehensive plans are prepared in a broad consultation process (involving citizens) based on cooperation between the County Administrative Board, having a coordinating role for national interests, and the municipalities’. Koglin and Pettersson (2017, p. 7) add, ‘Municipal planning decisions are the result of interactions between many different stakeholders,

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so, planning in Swedish municipalities means collaborating between many different stakeholders’. As a result of the municipal planning monopoly, Swedish municipalities take various approaches to marine spatial planning in their municipal jurisdictions. Marine planning is an integrated part of the Lomma comprehensive plan adopted in 2011 for the planning period 2010–2020 (Fig. 9), as well as the new one adopted in 2022 for the planning period 2020–2030. Several municipalities collaborate on a common marine spatial plan, such as the four municipalities of Lysekil, Strömstad, Tanum, and Sotenäs, which worked together on a comprehensive plan for the sea in northern Bohuslän from 2013 and adopted it in 2018. In the PBA, there are provisions for regional planning on a voluntary basis and inter-municipal coordination for local planning (Schulman and Bohme 2000). The Gothenburg region, together with Orust and Uddevalla municipalities, developed inter-municipal coastal zone planning in 2016–2019 (Fig. 9), providing a regional strategy for the eight participating coastal municipalities in their coastal and marine planning (Göteborgs Regionen 2022a). However, the responsibility to develop marine plans within the municipality still falls on the municipality itself (Johanson and Ramberg 2018). Marine spatial plans of northern Bohuslän, and Gothenburg municipality will be explored further in the next section. In the Swedish territorial sea, municipal marine spatial plans overlap with national marine spatial plans adopted in 2022 by the Government of Sweden (Fig. 10). Sweden’s national MSP was developed as a response to the challenges in sea uses and the EU framework directive for MSP. The 2014 EU Directive placed a legal requirement on member states to develop and implement MSP by 2021 at the latest (Directive 2014). The European MSP directive and the national MSP are also recent drivers for Swedish municipal MSP. Several decades after the PBA 1987, enabling Loma municipal comprehensive plan

Northern Bohuslän Blue Plan of 4 municipalities

Inter-municipal coastal zone planning in Gothenburg region, Orust and Uddevalla

Open sea Archipelago Coastal settlement Coastal centers Transport route

The core Node / central location on the coast Node / central location inland

Fig. 9 Loma municipal plan (left), Northern Bohuslän Blue Plan (middle), and inter-municipal coastal zone planning in Gothenburg region, Orust and Uddevalla (right) (Sources Lomma Kommun [2011], Tillväxt Norra Bohuslän [2018a, b, c], and Göteborgs Regionen [2019])

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Fig. 10 Boundaries of municipal and national MSP in Sweden (Source SwAM [2015])

municipal MSP, legislation for national MSP has been in place since 2014 (SwAM 2015). Three national marine spatial plans cover Sweden’s Exclusive Economic Zone and territorial waters from one nautical mile outside the baseline. SwAM is responsible for the national MSP process, which is regulated by Marine Spatial Planning Ordinance issued in 2015.

3.2 From Cross-Municipal Marine Spatial Planning of Northern Bohuslän to Marine Spatial Planning Integrated into Gothenburg’s Municipal Comprehensive Plan 3.2.1

Inter-Municipal Collaboration for Marine Spatial Planning of Northern Bohuslän

In northern Bohuslän, the four municipalities of Strömstad, Tanum, Sotenäs, and Lysekil collaborated on a common MSP known as the Blue Comprehensive Plan. Around 50,000 people live in these four municipalities, which have around 1,780 km2 of land area and 2,900 km2 of sea area (Statistics Sweden 2016). Located in Västra Götaland County in western Sweden, Bohuslän is formed by the sea, and its identity has been associated with the archipelago for a long time (Tillväxt Norra Bohuslän 2018c). The sea and islands off the coast in northern Bohuslän make up the Kosterhavet National Park (390 km2 ), Sweden’s very first marine national park and one of Sweden’s most visited tourist destinations. Inter-municipal collaboration for tourism was the start of Northern Bohuslän’s work with the coastal zone and MSP (Johanson and Ramberg 2018).

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The following analysis is based on the document of the Blue Comprehensive Plan for northern Bohuslän (Tillväxt Norra Bohuslän 2018c). The Blue Plan has the same horizon year (2050) as the national North Sea Marine Spatial Plan (SwAM 2022) and 2035 as the reference year. It has been adopted in all four municipalities since 2018 as a comprehensive plan for the sea and has become part of their respective municipal comprehensive planning. It contains recommendations for how the sea and archipelago areas are to be used in the long term to ensure the sustainable use of common resources. A web map of the Blue Plan allows the public to access all layers of recommendations (Tillväxt Norra Bohuslän 2018a). The Blue Plan was drawn up in parallel with another policy document, the Maritime Business Strategy, to provide a common approach to conservation and development in and by the sea in northern Bohuslän. The Blue Plan is based on the needs identified in the Maritime Business Strategy (Tillväxt Norra Bohuslän 2018b). According to Tillväxt Norra Bohuslän (2018c), the cooperation of municipalities provides benefits that cannot be produced by individual small municipalities with limited resources. These benefits include building a comprehensive knowledge of the sea, a unified view of how the sea is to be developed for the benefit of the whole area, and a holistic perspective of the entire northern Bohuslän waters. The collaboration helps the municipal MSP to have stronger proposals to the state (national MSP) in terms of how the sea is to be developed and conserved. Otherwise, there is a risk from the municipal perspective that the individual small municipality might be imposed by the national MSP in terms of opportunities to exploit and take advantage of the marine resources (Tillväxt Norra Bohuslän 2018c). For example, the national MSP may promote wind farms in locations where municipalities want to restrict wind turbines in their municipal sea. Johanson and Ramberg (2018) state that ‘It is desirable for the municipalities to develop their municipal marine plans to put forward their arguments toward the state when prioritizations are to be made in the relation to the national marine spatial plans’. The planning area in the Blue Plan consists of two parts: the offshore zone (open sea, from the limit of territorial waters to the red line one nautical mile outside the baseline) and the coastal zone (archipelago/internal sea waters from the red line to the coastline) within the municipalities’ territorial boundaries (Fig. 11). The plan proposals include the formulation of a blue vision, blue community development goals, key concepts, strategic blue input, strategies, and recommendations followed by the environmental impact assessment. Recommendation maps are formulated in connection to five focus themes: Natural Values, Marine Food, Maritime Tourism and Recreation, Shipping and Boating, Marine Energy, and Research (see Figs. 11–13). Each focus theme has a strategy and detailed recommendations. The recommendations serve as guidelines for future decisions. Zones are formulated strategically in each focus theme to indicate the geographic locations/spatial distribution for various activities or actions, such as to protect, develop, or investigate further. Instead of dividing the whole sea area into zones as in sea use zoning, recommendation maps highlight only the zones in focus in different layers of recommendation according to the focus themes. The zones can overlap across different focus themes thanks to the concept of coexistence, explained

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Fig. 11 The planning boundary and recommendations for natural values in the Blue Comprehensive Plan for northern Bohuslän (Source Tillväxt Norra Bohuslän [2018c])

below. The recommendations were developed based on an ecosystem approach, in which the conditions of ecosystems frame the use of the sea. Planned on the principle of sustainability, the use of the sea and the archipelago shall be a natural part of the living environment and give ecosystems space to develop (Tillväxt Norra Bohuslän 2018c). The strategy and recommendations of the Blue Plan are based on five key concepts: Sustainability, Coexistence and Collaboration, Pristineness, Accessibility, and Seasonal Variation. Among these key concepts, Coexistence and Seasonal Variation provide the strategy for spatial and temporal allocation of marine space that is more flexible and adaptive than the sectoral division of the sea. Coexistence allows as many activities as possible to use the same space without destroying natural values and ecological conditions. For increased coexistence to be possible, increased collaboration is required through extended dialogue between all stakeholders across jurisdictions and sectors. Overlapping zones for commercial fishing and shipping in the open sea can be seen in the recommendation maps for marine food (Fig. 12) and shipping (Fig. 13). In the recommendation maps for marine food and energy (Fig. 12), development zones such as multi-species cultivation of fish, algae, or mussels and wave energy are designated. Wind energy is restricted here due to the concern for its impact on the benthic ecosystem, with the exception of floating wind turbines. The purpose of these development zones is to enable future development to even cover activities that are currently not known about. Coexistence is also supported by Seasonal Variation. The concept of Seasonal Variation recognizes changes over the

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Fig. 12 The recommendations for marine food (left) and marine energy and research (right) in the Blue Comprehensive Plan for northern Bohuslän (Source Tillväxt Norra Bohuslän [2018c])

year that affect the conditions for living, working, and experiencing the sea and the archipelago. For example, there is a great difference between the summer and winter seasons in the number of people staying at sea, along the coast, and in the archipelago, which has implications for planning. The harvesting of algae in algae farms in winter can limit conflict with boating and outdoor life (Tillväxt Norra Bohuslän 2018c). The Blue Plan presents opportunities for developing local industries linked to the sea, such as marine food, energy, tourism, and outdoor activities. However, permit decisions will depend on later processes involving the County Administrative Board and how projects demonstrate measures to avoid or minimize conflicts between interests and with nature conservation (Tillväxt Norra Bohuslän 2018c). The Blue Plan reports the municipalities’ orientations and provides a holistic perspective and guidelines for permit examination implemented by the County Administrative Board for the establishment of activities and facilities in the sea. The issue of land–sea interactions is addressed by strategic blue inputs in the Blue Plan. Strategic blue inputs consider the influence of land development on the waters through multifunctional places, communication nodes, nodes for outdoor life, business land near the sea, fishing ports and delivery facilities, large ports, marinas, harbors, research stations, and infrastructure. They indicate where the development of the sea needs coordination on land. Although the Blue Plan does not formulate recommendations for coastal land, these blue inputs support the review of municipalities’ comprehensive planning to consider functions on the border between land

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Fig. 13 The recommendations for shipping and boating (left) and maritime tourism and recreation (right) in the Blue Comprehensive Plan for northern Bohuslän (Source Tillväxt Norra Bohuslän [2018c])

and sea where land use is of strategic importance for marine development and the recommendations formulated for the sea (Tillväxt Norra Bohuslän 2018c). The Blue Comprehensive Plan for northern Bohuslän is exemplary for intermunicipal collaboration, the ecosystem approach, and adaptive allocation of marine space in municipal MSP. This plan also indicates the important role of the political sector in the involved municipalities that prioritized sea planning in northern Bohuslän.

3.2.2

Gothenburg Comprehensive Plan

Gothenburg is Sweden’s second largest city with 580,000 inhabitants and the capital of Västra Götaland County. There are 448 km2 of land area and 563 km2 of sea area within the Gothenburg municipal jurisdiction. Gothenburg’s sea area consists of the open sea and the internal coastal waters with the archipelago and the estuaries of the Göta River and the North River (Fig. 14). The sea is of great importance for Gothenburg’s identity as a historic coastal and trading city. Gothenburg has Scandinavia’s largest port. Ports and shipping are among the priority interests in Gothenburg’s sea area (Göteborgs Stad 2022). From 2016 to 2019, the City of Gothenburg joined in inter-municipal coastal zone planning under the leadership of the Gothenburg Region (GR). The GR is a cooperative organization uniting 13 municipalities in the Gothenburg region to focus

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Ecologically sensitive areas Gothenburg

Gothenburg

Fig. 14 Sea and land area (left) and ecologically sensitive areas (right) within Gothenburg jurisdiction, based on Göteborgs Stad (2022)

on such issues as regional planning, environment, and traffic (Göteborgs Regionen 2022b). Within the framework of the project ‘Inter-municipal coastal zone planning in the Gothenburg region, Orust and Uddevalla’, eight coastal municipalities including Gothenburg collaborated to produce a strategic document that comprised six agreements of actions and a common structural illustration for the coastal zone in Gothenburg, Orust and Uddevalla (Göteborgs Regionen 2022a; see Fig. 9 for this structural illustration). This strategic document, which was adopted by the related municipalities in 2019, serves as a basis and guide for coastal and marine planning in the comprehensive plans for Gothenburg and other municipalities. From 2019 to 2021, the inter-municipal collaboration in GR also worked on a regional maritime strategy for the region of Gothenburg to foster the blue economy and integrate terrestrial and marine spatial planning, taking into account interactions between land and sea (Göteborgs Regionen 2022c). The process for the Gothenburg city plan began in 2017, went through phases of consultation from 2018 to 2021, and was adopted in 2022. In the digital version of the city comprehensive plan (Göteborgs Stad 2022), the section on geographic orientations describes the development direction for the sea as follows: The overall direction of development for the sea area is to promote a living sea. A rich biodiversity in the sea is a basic precondition for all different uses of the sea to take place in a sustainable way. Fishing, outdoor life, boating, tourism, and aquaculture will be developed with respect to the seascape and natural environment. Planning requires that the sea can maintain its biodiversity and its ecosystem services regardless of whether the uses are commercial fishing, outdoor activities, or other interests. (Göteborgs Stad 2022)

The ecosystem approach is considered the starting point of the marine plan. The plan recognizes that many interests need to coexist on and in the sea. For the use of Gothenburg’s sea area, four interests are prioritized at an overall level: national defense, shipping and ports, outdoor activities, and marine natural values that are a basic prerequisite for all uses and must be protected. Geographic areas of national defense and shipping are indicated by the national interest in the Swedish Environmental Code and marked in the land and sea use map of the city plan (see Fig. 15 for layers of defense and shipping in the digital map). Other interests must

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cooperate and adapt to each other, according to the municipal plan. Gothenburg’s planning interests are compatible with the national marine spatial plan for the North Sea that covers Gothenburg’s territorial sea. The national MSP agrees that in large parts of the sea, different uses can coexist if they adapt to each other, while in some marine zones, the use or uses listed take precedence over other uses. Gothenburg’s sea planning is based on the Swedish Maritime Administration’s overall goal for marine planning to contribute to a good marine environment and sustainable growth (including blue growth). Marine planning in Gothenburg’s comprehensive plan focuses on the interests of marine natural values, outdoor activities (recreation, tourism, boating, marinas), and maritime industries (shipping and ports, commercial fishing, aquaculture, marine energy). The plan provides analyses of the potentials, constraints, policies, operations, and environmental impacts of these interests. The plan also discusses how some conflicts of interest in the sea can be handled when they arise and provides a guide for making trade-offs. Marine zones are marked on a land and sea use map (see Fig. 16 for some layers in the digital map) to show the geographic areas of those interests under consideration. Marine planning has a minor position in the comprehensive plan for Gothenburg, which focuses on urban planning and development on land. This reflects the prioritization of terrestrial areas in the municipal comprehensive plan and that the interest in sea planning was not very high among politicians in Gothenburg, as found in the survey by Johanson and Ramberg (2018). As an added component in a much later phase of the city plan, marine planning has not been addressed in the starting points and development strategy of the comprehensive plan for Gothenburg. Nevertheless, marine planning in the second largest city of Sweden is a positive sign of the rising interest in the sea, given that the previous cases of Swedish municipal MSP were mostly from small coastal municipalities.

National interests of shipping

National interests of defence Gothenburg

Gothenburg

Fig. 15 National interests of defense (left) and shipping (right) taken into account in the comprehensive plan for Gothenburg, based on Göteborgs Stad (2022)

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Nature reserves Gothenburg

Gothenburg

Commercial fishing

Outdoor activities Gothenburg

Gothenburg

Fig. 16 Layers of geographic orientations for the sea in the comprehensive plan for Gothenburg, based on Göteborgs Stad (2022)

3.3 Municipal Marine Spatial Planning: Ecosystem Approach in Strategic Guidance for Urban Seascapes The whole process from the beginning to the adoption of municipal MSP plans took about five years, including dialogues between stakeholders, coordination, development of the knowledge base for the plan, preparation and update of plan proposals, and various phases of consultation with the public, authorities, companies, and organizations. These are social and political processes that are highly differentiated in adapting municipal MSP to the local contexts and needs. They are also collaborative processes rather than technical ones. Although there are differences between Swedish municipalities in their approaches to municipal MSP, they all highlight the use of the ecosystem approach in developing MSP proposals. The ecosystem approach is an international strategy for the conservation of natural values, sustainable use, and equitable distribution of natural resources (SwAM 2018). According to Hammar et al. (2020), two fundamental aspects of the ecosystem-based approach to MSP are respect for the structure and function of ecosystems and strong stakeholder participation. These aspects are evident in Swedish municipal MSP, as well as in national MSP. Under the EU’s Marine Strategy Framework Directive 2008, EU member states are required to apply an ecosystem approach to their marine spatial plans (Directive 2008). According to the EU MSP Directive, ecosystem-based MSP means that MSP is based on the best

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available scientific knowledge about the ecosystem and its dynamics, among other requirements (European MSP Platform 2018). In Swedish municipal MSP, the knowledge base was developed to provide a comprehensive understanding of the marine environment and ecosystems. Marine natural values of urban seascapes are identified and protected in municipal MSP, based on the knowledge of ecosystem components and marine biodiversity. The conditions of marine ecosystems and impact assessment provide the basis for how the sea can be used sustainably to respond to municipal, national, regional, and inter-municipal interests. As required by Swedish law, environmental impact assessment is an integral part of marine spatial plans. Sweden is internationally recognized as a leader in many fields of environmental policy. Environmental aspects, occupying a priority position on the political agenda, have been a strong driving force in Sweden (Schulman and Bohme 2000). The priority of the environmental agenda is also reflected in how MSP has been formulated in Sweden. Protecting healthy ecosystems and enhancing the delivery of ecosystem services has been the focus of Swedish municipal MSP. Using the ecosystem approach, it helps human uses/activities at sea to respect ecosystems and become a part of nature rather than dominating it. There is a limitation to this approach at the individual municipal level because the extents of marine ecosystems are often beyond the marine jurisdiction of the individual municipality. Therefore, a regional/inter-municipal knowledge base is necessary for municipal MSP. Swedish municipal MSP, as a part of municipal comprehensive plans, also has characteristics influenced by planning practices on land, such as strategic and collaborative planning, and the zoning tool of land-use planning. The influences on municipal MSP can be examined in the development of Swedish municipal planning. Reviewing the history of Swedish planning, Nilsson (2017, pp. 128–130) described the change from master plans to comprehensive plans that are more strategic and collaborative: [With the introduction of the PBA in 1987], previous planning instruments, such as master plans, development plans, and construction plans, were replaced by comprehensive plans and detailed development plans [...] The requirements for sustainable development and increased citizen participation in the comprehensive planning process were included in the revised PBA in 1996 [...] The strategic function of the comprehensive plan was strengthened [in the revised PBA in 2011]. (Nilsson 2017, pp. 128–130)

Persson (2020, p. 1190) notes, ‘The strategic intentions underlying the municipal comprehensive plans have been explicitly noted by legislators since the introduction of the PBA as well as in amendments to the PBA’, while Busck et al. (2008, p. 7) says, ‘These plans are not legally binding since their purpose is only strategic and intended to guide future decisions’. Ptichnikova (2012, p. 1) states that ‘Municipal planning guidelines became the new planning instrument replacing the former master plans for cities and towns’, and Persson (2020, p. 1190) adds that ‘Municipal comprehensive plans provide “strategic guidance”, mapping out the long-term intentions of the municipality and guiding upcoming decisions rather than regulating them in detail’. They are supposed to provide strategic perspectives to spatial planning. However, ‘strategic spatial planning is not a fixed and regulated institutional practice in either planning in general or in the Swedish planning system’ and ‘Various

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strategic approaches to spatial planning have been introduced and implemented in Sweden in recent decades’ (Persson 2020, p. 1183). In general, municipal comprehensive plans are increasingly being used for strategic spatial planning in Sweden (Bjärstig et al. 2018; Trygg and Wenander 2021). According to Persson (2020), the Swedish municipal comprehensive plan is a hybrid of strategic guidance and a traditional land-use plan that maps the locations of various land uses, areas regulated by other laws, and areas of national interest. This feature can also be found in municipal MSP plans that have strategic guidance in the forms of planning strategies, recommendations, focus areas, and a sea use map, in which marine zones are formulated according to priorities, actions, interests, natural values, and degree of use. Different from traditional land zoning, marine zones in these plans are not regulatory and, therefore, do not provide detailed regulations. They indicate possibilities and considerations for sea uses, not a blueprint. As an indicative framework, they provide the overall perspective and geographic locations for priorities/actions to support strategic guidance. The principle of coexistence, demonstrated by overlapping or multiple-use marine zones in other cases of municipal MSP and national MSP, allows greater flexibility and adaptation to changes. With the ecosystem approach embedded in formulating strategic guidance for urban seascape, Swedish municipal MSP addresses the challenges of reconciling human and nature, three dimensionality of seascape, land–sea integration, climate change, and sea-level rise adaptation that are lacking in Chinese municipal MFZ. However, like Chinese municipal MFZ, Swedish municipal MSP does not consider the potential of floating developments. The findings in comparing Swedish municipal MSP and Chinese municipal MFZ will be presented in more detail in the next section.

4 Comparison Between Chinese Municipal Marine Functional Zoning and Swedish Municipal Marine Spatial Planning 4.1 Key Findings From what has been presented in the previous sections on the development of Chinese municipal MFZ and Swedish municipal MSP, it is evident that China and Sweden have contrasting approaches and processes rooted in different development contexts, national policies, legal frameworks, and planning on land. In municipal-level sea planning, these countries have some similar conditions that are not in place in many other countries. First, the sea is in the municipal jurisdiction in both countries. Second, the legal framework in each country requires municipalities to plan the sea at a municipal level. In China, municipal MFZ is a level of MFZ for sea use and management, in which decision-making goes top-down from the top national level to the next provincial level and down to the lowest municipal level. Chinese municipal MFZ

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divides primary marine functional zones decided by provincial MFZ into subzones at the municipal level. Classification of marine functional zones is decided at the national level. In Sweden, municipal MSP is a part of a municipal comprehensive plan for guiding the use of municipal land and sea in a planning system featuring municipal planning monopoly. As a result, different Swedish municipalities have different approaches to and processes for municipal MSP. In most of the Swedish territorial sea, municipal MSP overlaps with national MSP, which provides guidance to municipalities. A fundamental difference between China’s and Sweden’s planning for the municipal sea is how the respective tools are used. Chinese legally binding municipal MFZ is a tool to regulate and control sea use, while Swedish municipal MSP is a non-legally binding tool to guide future decisions at sea. In China, all uses of sea areas must conform to the approved MFZ schemes. The government will approve sea projects if the sea use is in line with the marine functions regulated by MFZ schemes. The environmental impact of these sea projects or cumulative impact assessments may not be influential factors in the decisions. In Sweden, with marine spatial plans providing strategic guidance, each sea development decision is subject to administrative and political discretion, considering if the projects align with the strategies. The difference between the Chinese and Swedish sea planning tools is like the difference between conformance-based and performance-based approaches to planning, which has been in practice and discourse for a long time, as explained by Rivolin (2008), Steele, and Ruming (2012). Each planning tool serves the different tasks and policies associated with the development context of each country. Chinese municipal MFZ and Swedish municipal MSP originated and developed from very different contexts. Yue et al. (2018, p. 509) note that ‘China is one of the countries with the highest number of sea use activities and the most intensive sea area development’. This was the case long before and intensified after the introduction of MFZ alongside China’s development strategy for marine programs. MFZ brought order to sea use by avoiding current and future conflicts between sea users and ensuring rational allocation of marine resources for different economic sectors. MFZ is a legal base to transfer sea use rights to entities and to collect the sea user fee as a financial source for the government. An important element of MFZ is that the size of the area designated for each type of sea use is based on sectoral development demands and available marine resources. Horizontal division of the sea area into functional zones and separation of sea uses according to maritime sectors are the key features of Chinese MFZ. It has similarities to the functional separation of uses in land-use zoning in many countries since the early twentieth century. The process and outcome of municipal MFZ mirror the functional zoning in Chinese urban planning, as shown in the analysis in the previous section. MFZ is produced from a rational technical process, which is expert-based and lacks public participation. It is standardized by the national technical guidelines on the design and formulation of MFZ. With the planning process focusing on technical aspects and quantitative targets, MFZ follows the traditions of modernist rational planning. The high development pressure in China’s marine space can be explained by the enormous population in coastal regions, limited coastal land, economic boom, and

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the political agenda for rapid economic growth in a developing country. Therefore, intensive marine exploitation and land reclamation are supported and regulated by MFZ with marginal environmental consideration and the absence of an ecosystem approach. According to the statistics by Yu et al. (2020), the industrial and urban sea zones (land reclamation from the sea for urban and industrial development) designated by MFZ constitute the second primary use of Chinese seas in terms of designated sea area, second only to port and shipping zones. This is how the Chinese urban seascape has been transformed seaward in such a rapid development process dominating nature in recent decades. China has become the country with the most land reclaimed from the sea at the price of marine ecosystems. In this context, MFZ is a development-oriented system. Although China has shifted its national strategy toward ecological civilization, it will take time to update the next generation of MFZ. Sweden, unlike China, is a developed country leading in environmental policy. Respect for the environment and commitment to sustainability are some of the most notable aspects of Swedish culture. With a rather small population and a long tradition of environmental protection, Sweden does not have the same developmental pressure on the coastal and marine environment as China. The Swedish legal framework for municipal MSP started in 1987 with the requirement of the municipal comprehensive plan covering both land and sea in the municipal jurisdiction. However, three decades later, only a small number of Swedish municipalities have adopted municipal MSP. Among several reasons for this delay, a lack of knowledge and data of the sea was highlighted by researchers as the main constraint. Some municipalities did not see any conflicts in sea use to solve. Others prioritized planning and development on the land. With increasing interest in the sea, most cases of Swedish municipal MSP have begun in the last decade, together with the start of national MSP required by the EU Directive for MSP. Although the cases of Swedish municipal MSP have diverse forms and approaches in different municipalities, they all emphasize the use of the ecosystem approach in formulating strategic guidance on how the sea should be used sustainably to respect and enhance marine ecosystems. Human uses at sea are planned to become a natural part of coastal and marine environments. Municipal comprehensive plans, which are an indicative and guiding framework for future decisions, provide a tool for strategic spatial planning based on the participatory and collaborative process. Municipal MSP, as a part of municipal comprehensive planning, also has these strategic and collaborative features. The processes and documents of Swedish municipal MSP are highly differentiated and context-based in different municipalities that are in contrast to the standardized uniform process and outcomes of Chinese municipal MFZ. In Sweden, municipal MSP can be formulated for individual municipalities, such as the Gothenburg Municipality, or cross-municipalities, such as the collaboration of four municipalities in northern Bohuslän. Inter-municipal collaboration is also supportive of formulating regional strategies in the coastal zone to guide individual municipal MSP, such as in the case of the GR and Gothenburg Municipality. Municipal MSP can provide guidance for the sea only, such as in northern Bohuslän, or the coastal land and the sea, such as in the Kristianstad Municipality, or can be integrated into the comprehensive plan, such as in the Lomma and Gothenburg Municipalities.

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Although Swedish municipal MSP has a sea use map delineating marine zones to accompany strategic guidance, it does not have marine zoning as a regulatory tool like Chinese municipal MFZ. In most cases of Swedish municipal MSP, marine zones are formulated to indicate geographic areas and locations for priorities/actions/interests explained in planning strategies, planning focus, or recommendations in different plans. Contrary to Chinese single-use marine zones separated to avoid user conflicts, marine zones in Swedish municipal MSP can be overlapped for the coexistence of multiple uses and natural conservation, with the exception of some exclusive use zones for shipping and blue industries. In the same geographic areas, there can be different marine zones for the sea surface, water column, and seabed. Three dimensionality and the temporal aspect of the dynamic seascape are considered in marine zones. Different uses need to adapt to each other in spatial–temporal considerations to coexist in these overlapping marine zones. This requires a high level of collaboration among involved stakeholders. The coexistence of marine uses allows plans to be more flexible and adaptive to changes. For example, the integration of sustainable aquaculture and marine renewable energy can be anticipated in Swedish coexistence in marine zones but is impossible in Chinese marine functional zones that are separated between sectors, such as aquaculture and marine energy. Chinese prescriptive functional zones, which reflect sectoral division and may not anticipate technology innovation for marine exploitation, are not flexible to deal with such new circumstances. Revisions of MFZ or MSP are often pending for a long time until the next planning cycle to adapt the plans to the new conditions. In China, MFZ is revised every ten years by law. In Sweden, it is also around ten years between planning cycles of municipal plans, such as in the cases of the Lomma and Gothenburg Municipalities. Both Chinese municipal MFZ and Swedish municipal MSP have characteristics influenced by terrestrial spatial planning in their respective countries, as analyzed in the previous sections. Kidd and Ellis (2012) found that MSP experience in the UK demonstrated that MSP draws heavily on the experience of terrestrial planning and, in particular, the spatial planning paradigm. This is also what we observed in Chinese municipal MFZ and Swedish municipal MSP in the relation to their land-based planning systems. In Fig. 17, based on the analysis, we position Chinese municipal MFZ and Swedish municipal MSP in opposite directions on the diagram made by Kidd and Ellis (2012) for planning process traditions encompassed within terrestrial spatial planning. In this comparison, Chinese municipal MFZ is in the direction of technical and quantitative processes. Swedish municipal MSP is in the direction of participatory and qualitative processes. In Fig. 18, on the diagram made by Kidd and Ellis (2012) for changing paradigms of terrestrial planning over time, we consider that Chinese municipal MFZ reflects the paradigm of rational planning in the mid-twentieth century while Swedish municipal MSP reflects the paradigm of spatial planning in the early twenty-first century. The combination of the ecosystem approach and strategic spatial planning affords Swedish municipal MSP a more advanced position to deal with the complexity and uncertainty of the marine environment and the dynamics of the relational social-political context. As a part of the municipal comprehensive plan for the entire municipality, Swedish municipal MSP has advantages to address the issues of land–sea integration with the

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Technical Expert-based

Chinese municipal MFZ Modernist rational planning traditions

Expert opinions

Terrestrial Spatial Planning

Quantitative Drawing upon science/economics

Qualitative Drawing upon art and social science

Post-modernist communicative/collaborative planning traditions

Participative modeling

Swedish municipal MSP Participatory Expert-facilitated

Fig. 17 Comparison of Chinese municipal MFZ and Swedish municipal MSP in relation to terrestrial spatial planning process traditions, based on Kidd and Ellis (2012)

Chinese municipal MFZ

Swedish municipal MSP

Early 20th century

Mid-20th century

Late 20th century

Early 21st century

Planning as a design process

Planning as a scientific process

Planning as a communicative process

Spatial planning: integrative, holistic

Changing planning paradigms

Fig. 18 Comparison of Chinese municipal MFZ and Swedish municipal MSP in relation to the time scale of changing planning paradigms, based on Kidd and Ellis (2012)

focus on ecological and cultural connections between land and sea, adaptation to sea-level rise, and coordination of facilities and infrastructure on coastal land to support marine uses and conservation. In the case of China, where planning systems are divided between land and sea, there is a lack of coordination between the zoning schemes of the sea and coastal land areas, particularly the impact of land uses on the marine environment. Chinese municipal MFZ’s industrial and urban sea zones demonstrate that their focus on land–sea interactions is in the urban extension into the sea through extensive land reclamation. The key points of difference between Chinese municipal MFZ and Swedish municipal MSP are shown in Table 1.

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Table 1 Comparison of the differences between Chinese municipal MFZ and Swedish municipal MSP Chinese municipal MFZ

Swedish municipal MSP

Separate planning systems for land and sea. Municipal MFZ covers the sea within the municipal jurisdiction

Municipal comprehensive planning covers both land and territorial sea within the municipal jurisdiction

MFZ is governed by the Chinese Law on the Management of Sea Use enacted in 2001

Municipal planning is governed by the Swedish Planning and Building Act enacted in 1987

Municipal MFZ is the lowest level in the 3-tier Municipal MSP is a part of a municipal MFZ system (national, provincial, and comprehensive plan municipal) Municipal MSP partially overlaps with national MSP in the territorial sea The municipal level must conform to higher levels (provincial, national) in a top-down system Municipal MFZ is approved by the provincial government

Municipal plans do not have to conform to plans at a higher level but are required to consider national interests Municipal MSP is consulted with the county and adopted by the municipal council

MFZ scheme for the individual municipality

MSP plan for the individual municipality or inter-municipalities

Development approach

Ecosystem approach

Economic priority Marine exploitation, land reclamation Dominates nature

Environmental priority Precaution to development Respects nature

Modernist rational planning Traditional functional zoning

Strategic spatial planning Strategic guidance + sea use map

Legally binding Prescriptive/Regulatory/Controlling Tool to regulate and control

Not legally binding Indicative/Performative/Guiding Tool to guide future decisions

Standardized rational technical process of universal applicability Expert-based planning process lacking public participation

Highly differentiated and place-specific social and political process Participatory and collaborative planning process

Sectoral division of the sea area into marine functional zones classified according to the national technical guideline for MFZ Horizontal zoning on the sea surface like land zoning Separation of marine uses in various zones to avoid conflicts between marine users Inflexible marine zoning due to a single function in each zone

Marine zones are formulated to indicate geographic locations for priorities/actions and can be overlapped for coexistence of natural conservation and multiple uses Marine zones consider three dimensionality and temporal aspect of seascape Different uses adapt to each other to coexist in overlapping marine zones Coexistence of uses in marine zones allows better flexibility in dealing with changes

GIS software is used for mapping in MFZ

MSP process can be supported by GIS-based decision-support tools (continued)

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Table 1 (continued) Chinese municipal MFZ

Swedish municipal MSP

Land–sea interactions focus on urban extension into the sea No consideration yet of climate change and sea-level rise in MFZ

Land–sea interactions focus on ecological cultural connections, sea-level rise Consideration of climate change and sea-level rise in MSP

No available information on environmental impact assessment in the plan

Environmental impact assessment is an integral part of the plan

MFZ plans are not available to the public

Municipal plans are publicly accessible through websites and web-based maps

4.2 Lessons from Chinese Municipal Marine Functional Zoning and Swedish Municipal Marine Spatial Planning From the comparison between Chinese municipal MFZ and Swedish municipal MSP, we can draw several lessons that may help in establishing planning frameworks or tools for urban seascapes in sea cities. Lessons are drawn by examining how planning approaches and processes in the Chinese and Swedish case studies address the challenges of sea planning.

4.2.1

Lessons from Chinese Municipal Marine Functional Zoning

Marine zoning is internationally considered to be a primary instrument of MSP, allocating areas of marine spaces for reasonable human use while protecting the natural values of the marine management area (Ehler and Douvere 2009). As Jay (2013, p. 510) says, ‘For many proponents of marine zoning, dividing sea areas into functional zones is the principal expression of spatiality in the emerging endeavor of marine planning’. China is among a few countries to have pioneered marine zoning some decades ago. Chinese municipal MFZ works as an extension of land-based functional zoning. The main achievement of MFZ is to solve the conflicts between competing sea users by preventing the mixing of incompatible sea uses and allocating marine resources rationally to different economic sectors under great pressure from a huge population and a booming economy. MFZ provides the integration of sectoral marine plans at sea. However, Chinese MFZ also demonstrates some limitations. In the Chinese context, MFZ brings order to the sea. However, it is a static order of human use that is imposed on, or in some cases against, the logic of nature and the dynamics of three-dimensional seascapes. Municipal MFZ schemes are designed rationally as long-term blueprints for marine development and protection. This means that the functions, requirements, and boundaries of single-use marine zones in MFZ schemes are fixed for a long period (ten years by law) until the next revision or the next generation of MFZ. Static boundaries of marine functional zones established for economic activities at sea are hardly linked with dynamic ecological boundaries.

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As a legally binding tool, MFZ, on the one hand, provides legal certainty for marine management and economic actors investing in sea projects or operating in sea space, but on the other hand, implies rigidity of implementation. Static marine functional zones unchanged for a decade cannot respond or adapt in time to a faster pace of change. These numerous changes are not only related to human impacts on the marine environment but also to new technologies and innovations for marine activities. Rigid functional zones cannot keep up with the inherently dynamic environment of the sea and can be outdated to economic dynamics. The long planning cycle and static nature of MFZ also make it difficult to keep pace with policy changes, such as a recent Chinese national strategy for ecological civilization. Since 2015, the MERL system has been introduced as a new tool for ecological control zones to work alongside MFZ, but MFZ still has a higher status. Given that knowledge of marine ecosystems remains limited or overlooked, functional zones in MFZ may not work with the functions and processes of marine ecosystems, as evidenced in the conflicts between human uses and the ecological environment in the case study of Xiamen. Formulation of MFZ is based on the historical data and national standards for static zoning design, so functional zoning cannot be prepared for unforeseeable futures with changing global and local conditions. Jay (2013, p. 516) states, ‘The certainties projected by the act of zoning will always be vulnerable to the unknown and the unexpected’. For example, as all marine functions are classified universally at the national level, existing municipal MFZ cannot accommodate emerging marine uses, such as floating developments that do not fit into approved marine functions. Another limitation of marine functional zones is that they have only two horizontal dimensions to address three-dimensional marine space. There has been no vertical consideration in MFZ in terms of possible different designations for the sea surface, the water column, and the seabed. In a conformance-based system such as MFZ, sea use rights are assigned in advance alongside zoning design. Therefore, the government’s decisions for sea projects are often based on their conformance to functional zones in the MFZ scheme rather than their environmental performance. Among other factors, the developmentoriented MFZ system contributes to the ever-increasing intensity of marine exploitation and the reduction or damaging of the marine ecological space. In China, the transfer of sea use rights to entities and individuals is based on MFZ and accompanied by a sea user-fee system as a financial resource for the government. Using MFZ, the local governments have strong incentives to promote development at sea.

4.2.2

Lessons from Sweden

The case studies of Swedish municipal MSP provide practical lessons in how the ecosystem approach becomes a backbone in strategic guidance for sustainable use of the sea. The ecosystem approach starts with the understanding of the marine environment. In the process of Swedish municipal MSP, the marine knowledge base is developed for the plans, including mapping of marine ecosystem components and natural values. In the past, a lack of comprehensive knowledge and data of the

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sea was one of the main obstructions to preparing municipal MSP in many Swedish coastal municipalities, although Swedish planning legislation has required municipal comprehensive planning covering the territorial sea since 1987. The cases of Swedish municipal MSP show that ecological knowledge plays important role in formulating strategies and recommendations in the municipal marine planning process. Swedish non-binding municipal MSP provides strategic guidance, not a blueprint. The tendency toward a performance-based approach implies that planning can be more adaptive and flexible than conformance-based approaches. Future decisions driven by strategic guidance can be adjusted to ever-changing circumstances. In addition, indicative marine zones for priorities and actions are more flexible than regulatory single-use functional zones. Although marine zones are not regulatory in Swedish municipal MSP, they support visual communication of geographic areas of planning recommendations and provide certainty of some marine uses to some extent. The performance-based approach is relevant for planning decisions in the marine environment, which has a high degree of uncertainty. It enables adaptive decision-making that can respond to changing conditions in specific situations. The strategic guidance in Swedish municipal MSP is based significantly on natural and cultural values that support human activities at sea as a dynamic part of nature. The coexistence of multiple uses and nature conservation, demonstrated by overlapping or multiple-use marine zones in Swedish municipal MSP, is facilitated by this performance-based approach. However, there are also some exclusive use zones for ports, shipping, and blue industries in sea use maps in some cases of Swedish municipal MSP. This provides some certainty for important economic actors in a blue growth strategy, although marine zones are a spatial expression of strategic guidance. Therefore, there is a combination of or balance between flexibility and certainty in the Swedish approach, thanks to the hybrid of strategic guidance and a sea use map. Inter-municipal collaboration in Swedish municipal MSP, such as in northern Bohuslän, is a remarkable approach, given that planning at the regional level is voluntary and relatively limited in Sweden’s planning system. A more appropriate scale for ecosystem approach can be achieved in cross-municipal MSP. Planning a larger geographical area of marine space across municipal boundaries helps to overcome the constraint of small municipal jurisdictions not only in marine ecosystem consideration but also in coordination for marine resource use. Inter-municipal collaboration helps these small municipalities to develop a common marine knowledge base for a common marine spatial plan to achieve a shared vision and actions. In another case, inter-municipal collaboration in the Gothenburg region resulted in a regional strategy for the coastal zone and a regional maritime strategy working as a guide for individual municipal MSP. The issue of land–sea integration can be addressed through the unique advantage that Swedish municipal MSP is a part of municipal comprehensive planning in Sweden’s planning system. This allows municipal planning authorities to coordinate and synchronize planning intentions in both land and sea space. In some cases, land and sea within municipal jurisdictions are integrated into the vision and planning strategies of municipal plans. Independent inter-municipal marine spatial plans like

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that of northern Bohuslän provide the input for municipal planning on land to coordinate and support the development and protection of the sea. Adaptation to climate change and sea-level rise and ecological-cultural-economic connections between land and sea are the key considerations in land–sea integration in Swedish municipal plans.

4.3 The Remaining Challenges in Planning Urban Seascapes Steele and Ruming (2012, p. 155) state that ‘Within the planning literature, the distinction between regulatory planning and strategic spatial planning has exposed a recurring dichotomy existing between the idea of “conforming” (regulative certainty) and “performing” (strategic flexibility) plans and planning systems’. This dichotomy in terrestrial planning systems is also reflected in the contrast between Chinese municipal MFZ and Swedish municipal MSP under the influence of their respective land planning systems. Rigid regulatory zoning in Chinese municipal MFZ, which focuses on solving conflicts between sea users, ensures a greater level of certainty and consistency for decision-making processes in managing human activities and development at sea. The challenges for the Chinese MFZ system include how to reconcile human use and nature and how to allow flexibility in the planning system to respond to complex changes. Meanwhile, strategic guidance in Sweden’s ecosystem-based municipal MSP, which focuses on harmonious relationships between human and marine environments, provides greater flexibility for future decisions that can be responsive to emerging circumstances and certainty, to a lesser extent, using indicative marine zones in sea use maps. If the Swedish municipal MSP approaches are to deal with different contexts that have greater development pressure, the challenge is how to enhance both flexibility and certainty for effective marine management while ensuring harmony between humans and nature. From terrestrial planning experience, performance-based planning systems offer a compelling alternative to the rigid regulatory zoning approach, particularly regarding sustainability. However, ‘the need for certainty—expressed through an emphasis on speed, efficiency, accountability, and transparency—is still a key driver’ (Steele and Ruming 2012, p. 156). Likewise, the performance-based approach should be preferred to enhance adaptability and sustainability in the dynamic marine environment. Besides, the long-term certainty of planning some sea uses is often needed for economic operations and investment at sea, as well as marine conservation, such as strategic locations of marine industries and marine protected areas. Therefore, one of the challenges in developing planning frameworks or tools for urban seascapes is how to maximize flexibility while providing the necessary certainty for marine management. The next challenge is how to achieve harmony between human and natural ecosystems while increasing opportunities for marine uses, particularly in terms of adaptation to sea-level rise and blue growth. Since 2012, the blue growth concept has been widely used and has become important in aquatic development in many countries and international cooperation, although ‘it embodies vastly different meanings and

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approaches, depending on the social contexts in which it is used’ (Eikeset et al. 2018, p. 177). According to the South Baltic cross-border cooperation program (including Sweden), blue growth addresses the economic potential of the oceans, seas, and coasts for sustainable growth and jobs, to be developed in harmony with the marine environment (Interreg South Baltic 2014). Today, ‘new technological developments are accelerating the rise of Blue Growth, increasing the uses of marine space’ (Guerreiro 2021, p. 3). Floating technologies have been advanced for a wide range of operations at sea, such as floating marine renewable energy, floating aquaculture, floating infrastructure, and floating flatforms for living and recreation, which drive emerging aquatic urbanism. As sea cities are important nodes in the networks for blue growth, they are also the frontlines for aquatic urbanism in facing rising sea levels. Neither Chinese municipal MFZ nor Swedish municipal MFZ has addressed floating developments. How to plan for aquatic urbanism working with the dynamic marine environment will be a new challenge for planning urban seascapes. This may be entirely different from land-based urbanism. As Couling and Hein (2020, p. 8) state, ‘Planning at sea needs a paradigm shift from a land-based logic with fixed spatial and legal delineations to a more fluid, integrated, sea-based approach’. The three spatial dimensions and the temporal dimension of the ever-changing marine environment are still a challenge for planning urban seascapes, although Swedish municipal MSP shows some solutions for this challenge, such as seasonal variation and the coexistence of uses in the sea surface, water column, and seabed layers. In general, the popular tools in marine planning, such as zoning and mapping, which originated from land-based planning, are usually static and have two horizontal dimensions that can hardly represent the depth, volume, and movements of the seascape. Bode and Yarina (2020, p. 72) note, ‘Such tools are more suited to solid ground than fluid seas’, while Couling and Hein (2020, p. 14) state that ‘Current marine planning is faced with a myriad of complex issues and dynamic parameters that defy land-based planning tools’. Bode and Yarina (2020, p. 72) also describe how ‘Planning the viscous space of the sea requires moving away from fixed and bounded conceptions of space to ones that are deeper, richer, multifaceted, and dynamic’. To plan the urban seascape, we need innovative tools that embrace flexibility and adaptivity to overcome these challenges. In countries where municipalities have no jurisdiction at sea, there can be a collaboration between municipalities and the higher level of government for planning the sea at an appropriate scale to address the emerging challenges of urban seascapes that cannot be included in detail at a higher level of MSP, such as MSP at national level or large marine regions. Municipal MSP should be understood as MSP at a local scale, corresponding to a municipality, a part of the municipality, or cross-municipalities, and should not necessarily be constrained by land-based municipal jurisdiction, institutional boundaries, or the existing coastline. The planning space can extend landward (for internal waters), seaward, toward adjacent municipalities, or vice versa where the issues of urban seascapes need to be addressed. The flexible spatial scope of municipal MSP should focus on ‘soft spaces reflecting the real geographies of problems and opportunities’ (Allmendinger and Haughton 2009) of urban seascapes and not the fixed administrative boundaries. Soft spaces, as ‘new scales in planning

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intended to fill in gaps’ (Olesen 2012, p. 910), are relevant to the characteristics of urban seascapes. Jay (2018, p. 451) believes that ‘soft space perspectives resonate with marine realities and MSP can be understood as an expression of soft space’ planning to be responsive to the more dynamic and uncertain characteristics of the sea. ‘Reaching beyond conventional administrative and institutional boundaries’ (Jay 2018, p. 451) is another challenge for planning urban seascapes. Integrating all these approaches/challenges could lead to a new marine spatial planning paradigm.

5 Conclusions Among the countries implementing MSP at mostly the regional and national scales, China and Sweden can rightly be considered the pioneers of MSP on a municipal scale, given that municipal jurisdictions in both countries extend to the sea space and their national legal frameworks require marine planning at the municipal level. The case studies of China and Sweden demonstrate the roles of MSP on a municipal scale in addition to MSP on regional and national scales. In both countries, municipal MSP can provide a holistic perspective for decision-making in managing urban seascapes, though in different ways and to different extents. Apart from these similarities, Chinese municipal MFZ and Swedish municipal MSP belong to very different planning systems. Chinese municipal MFZ is the lowest level of a top-down multilevel MFZ system for the sea within national, provincial, and municipal jurisdictions. Swedish municipal MSP, which overlaps with the non-binding national MSP in the territorial sea, is a part of municipal comprehensive planning (for both land and water within municipal jurisdiction) in a terrestrial planning system emphasizing a municipal planning monopoly. In this chapter, the comparison between Chinese and Swedish case studies in municipal MSP provides useful lessons and presents challenges for developing planning frameworks or tools for urban seascapes in responding to, on the one hand, increasing interests in marine economy, urbanization at sea, and emerging aquatic urbanism, and on the other hand, dynamic marine environment, vulnerable ecosystems, and harmony between humans and nature. Originating from different development contexts, policy priorities, and planning systems, municipal marine spatial plans in China and Sweden take contrasting approaches under the influence of their respective land-based planning traditions. Corresponding to terrestrial planning paradigms, Chinese municipal MFZ adopts the rational planning approach typical of the mid-twentieth century while the Swedish municipal MSP integrates the strategic and collaborative planning prevailing in the early twenty-first century with the ecosystem approach, the underlying principle of MSP that has been promoted worldwide. The differences between Chinese and Swedish municipal MSP also reflect the dichotomy between the regulative certainty of a conformance-based approach and the strategic flexibility of a performance-based approach in planning. By having a hybrid of strategic guidance and sea use maps, Swedish municipal MSP may achieve a balance of flexibility and certainty. Adaptability can also be facilitated by the concepts of coexistence and seasonal variation

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in some cases of Swedish municipal MSP. On the contrary, the limitations of static single-use functional zoning contribute to the rigidity and lack of adaptability of Chinese municipal MFZ in the dynamic marine environment. Based on the analyses in this chapter, we consider that approaches in Swedish municipal MSP can provide relevant answers to how to guide development and enhance ecosystems in urban seascapes. However, challenges remain, particularly for the future of aquatic urbanism in times of sea-level rise. The depth, volume, and movements of the everchanging seascapes and the mobility of floating developments require innovative planning tools that are not limited by the static horizontal zone boundaries in traditional planning maps, or the constraints of long planning cycles and administrative boundaries. New methods of dynamic decision-making should be explored in developing such planning tools. The case studies of China and Sweden in this chapter demonstrate, in our view, that municipal MSP should be given more attention in both planning research and practice and represents an important scale in the MSP system to address emerging challenges in fast changing urban seascapes.

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