Sustainable Urban Planning: Vibrant Neighbourhoods – Smart Cities – Resilience 9783955534639, 9783955534622

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Sus­ tainable Urban Planning Vibrant Neighbourhoods Smart Cities Resilience

Sus­tainable Urban Planning

Imprint

Editors and Authors Helmut Bott, Gregor C. Grassl, Stephan Anders

Co-Authors Martin Altmann, Jürgen Baumüller, Julia Böttge, Sigrid Busch, Dominic Church, Thorsten Erl, Manal M. F. El-Shahat, Johannes Gantner, Philipp Groß, Tilman Harlander, Gerhard Hauber, Thomas Haun, Dietrich Henckel, Olaf Hildebrandt, Jürgen Laukemper, Rolf Messerschmidt, Peter Mösle, Marcel Özer, Christopher Vagn Philipsen, Waltraud Pustal, Christina Sager-Klauß, Daniela Schneider, Mario Schneider, Antonella Sgobba, Guido Spars, Stefan Siedentop, Antje Stokman, Alyssa Weskamp, Bastian Wittstock, Andreas von Zadow Collaborators (first German edition) Alexander Sailer, Isabelle Willnauer

Publishers Project management: Steffi Lenzen Editing and layout: Eva Schönbrunner

© 2019 English translation of the second reviewed and updated German edition “Nachhaltige Stadtplanung – Lebendige Quartiere, Smart Cities, Resilienz” (ISBN 978-3-95553-430-1) by DETAIL Business Information GmbH, Munich ISBN: 978-3-95553-462-2 (Print) ISBN: 978-3-95553-463-9 (E-Book)

The sections “Well-being and a healthy indoor ­climate” (pp. 138 – 139) and “Energy- and resourceefficient building design” (pp. 139 – 140) are part of the publication “Green Building. Leitfaden für nachhaltiges Bauen” by Michael Bauer, Peter Mösle, Michael Schwarz (Berlin 2013). Courtesy of Springer Science + Business Media.

CO2 emissions from paper production, printing, ­ inding and transport for this publication were b ­offset 100 % by first climate certificates issued by the climate initiative of the German Printing and Media Industries Federation (Bundesverband Druck und Medien e. V.).

Illustrations: Ralph Donhauser Translation into English: Dominic Church, Brugg Proofreading (English edition): Stefan Widdess, Berlin Production / DTP: Roswitha Siegler, Simone Soesters Cover and design: Maria Fischer and Christoph Kienzle Rose Pistola GmbH, Munich Reproduction: ludwig:media, Zell am See Printing and binding: Grafisches Centrum Cuno GmbH & Co. KG, Calbe This work is protected by copyright. The rights based therein, in particular those of translation, reprint, lecture, use of illustrations and tables or duplication by other means and the storage in data processing plants, remain reserved, even for use in part. Even in individual cases, reproduction of this work or parts thereof is permit-ted only within the limits of the statutory provisions of the Copyright Act in the relevant current edition. It is generally conditional on remuner­ ation. Violations are subject to the penal provisions of copyright law. The German National Library lists this publication in the German National Bibliography; detailed biblio­ graphic data can be accessed online at: http://dnb.d-nb.de DETAIL Business Information GmbH, Munich www.detail-online.com

ID-No. 1978673

FSC-certified paper used in this book is produced from fibres proven to originate from environmentally and socially responsible sources.

Contents

Editors’ preface to the 2nd Edition  6

CHAPTER 1 — INTRODUCTION  10 What the term sustainability means and how it is used in urban and neighbourhood planning

1.1 Aims and Objectives of this Book  11 1.2 Sustainability and Resilience  13 1.3 The Neighbourhood  21 1.4 Smart City  25 1.5 Added Value of Sustainable Urban ­Neighbourhoods  28

CHAPTER 3 — IMPLEMENTATION ­STRATEGIES  168 General principles to consider in planning and ­strategies to implement the illustrated solutions across all ­action areas in the development process

3.1 Developing Holistic Concepts  169 3.2 Stakeholders, Visions and Tools  179 3.3 Local Government Implementation ­Strategies  188 3.4 Project-specific Implementation ­Strategies  195

CHAPTER 4 — TOOLS  200 CHAPTER 2 — CHALLENGES AND ACTION AREAS  32 Issues relevant to sustainable city and neighbourhood design and specific problem-solving approaches

2.1 Regional, Urban and Neighbourhood ­Development Challenges 33 Action Areas  42 2.2 Processes and Participation Challenges 51 Action Areas  54 2.3 Communities and Sociocultural Issues • Social Fabric Challenges  61 Action Areas  66 • Lifestyle and Behaviour Challenges 73 Action Areas  77 2.4 Ecology • Protecting Species and Habitats Challenges  83 • Open Space and Urban Climate Challenges 85 Action Areas  88 • Protecting Water and Soil Challenges 96 Action Areas  99 • Material Flows Challenges 106 Action Areas  108 • Mobility and Transport Challenges 114 Action Areas  117 • Energy Challenges 126 Action Areas  130 • Emissions Challenges 142 Action Areas  146 2.5 Economics Challenges  153 Action Areas  158

Overview of methods and tools for planning and delivering sustainable neighbourhoods

4.1 Computer-aided Design Tools  201 4.2 Simulation  206 4.3 Visualisation  214 4.4 Certification and Evaluation Systems  218

CHAPTER 5 — CASE STUDIES  224 International selection of sustainable neighbourhoods with specific strengths

Introduction  225 Overview  226 Potsdamer Platz  228 Carlsberg City District  232 ecoQuartier Pfaffenhofen  234 Bo 01 – Western Harbour  238 Dockside Green  240 Neckarbogen  242 Hammarby Sjöstad  244 Möckernkiez  246 NEST – New Ethiopian Sustainable Town  248 GWL-Terrein  250 Barangaroo  252 NDSM Wharf  254 Berlin TXL  256 Viertel Zwei  260 Other Projects  262

A PPE N D I X   266 Bibliography  266 Image Credits  275 Authors  278 Case Study Collaborators  280

6

Editors’ Preface to the 2nd Edition

Editors’ Preface to the 2nd Edition

Sustainability – an Old Hat?

W

hen the first edition of this book was published in 2012, the term “sustainability” seemed rather long in the tooth or even overcome. Occasionally, there were comments that the “sustainable city” was passé, whereas the “resilient city” was the next big thing, the objective of “resilience” encompassing the topic of sustainability. And indeed, all too frequently, the term “sustainable” was bandied about – often wrongly – in every conceivable and inconceivable context. Nevertheless, there was great demand for the book in all its complexity and it sold out after about three years. The revised and updated second edition is now available. We have restructured the content, added current topics such as urban digit­ alisation, and streamlined the overall volume. During the first half of the decade, much in German society, economy and policy pointed to a paradigm shift towards greater sustainability. After decades of conflict and occasionally fractious dispute, the impact of the Fukushima nuclear catastrophe in 2011 led even conservative polit­ icians to turn away from established energy policy and engage in the so-called “energy turnaround”. Seen from abroad, Germany appeared to take the lead in the field of sustainability, admired or belittled, depending on the point of view. A few years down the line, things look different again. Germany’s nuclear exit has been a major milestone towards environmentally friendly and safe energy production, but it has failed to contribute to an improved CO2 balance. Increasingly, German

cities have had to tackle new challenges, such as extreme precipitation or fine particle pollution from increasing motor traffic. It has become evident that alternative means of energy production (vast photovoltaic plants, enormous windmills, corridors of high-voltage power transmission, retention basins, eco-fuel monocultures etc.) impact heavily on cities and villages, nature and landscape, often giving rise to civic protest. This all bears direct witness to the multi-­ dimensional nature of the sustainability principle and the need to better analyse reciprocity and “side effects”, and work across disciplines to develop holistic planning approaches which go beyond one-dimensional improvements. This book focuses on urban planning. As the key socio-spatial unit of everyday life and the spatial level of intervention in urban development, the neighbourhood lies at the heart of its regard. Given that many aspects cannot be confined to clear spatial sub-entities within the city, the field of view extends from the neighbourhood to the entire city or even the region, whilst also homing in on the building scale in some cases. Irrespective of the outlook and dimension of ana­ lysis – environmental, sociocultural, or economic – the discourse always centres on the sequence of the human habitat’s processes, and the urban or rural space within which they take place. Even in an absence of economic and technological change, humans would age, new generations arrive, buildings and technical systems would wear away, plants would thrive and die in successive sequence. The sustainability of spatial structures can only be defined and evaluated in terms of life cycles, from the procurement and use of construction materials and components, through the use and

7

8

Editors’ Preface to the 2nd Edition

maintenance of built structures, to their eventual disposal or re-use. Intelligently meshing all elem­ ents across the most wide-ranging dimensions is key and growing ever more decisive. The city is not a closed system. Evaluating the qualities of this complex, open and dynamic system includes the assessment of its ability to adapt to changing parameters – its resilience. This is all the more true for the fact that economy and society on our spatially confined and resource-limited planet is still geared to continuous growth, apparently the only means of (at least partially) addressing the effects of the principles which hitherto have governed economic distribution. We have long known of the limits to growth, and yet this knowledge has not yet found its place in mainstream economic theory and political strategy. Standard urban development planning pro­cedures and current planning strategies must be questioned and assessed in terms of their effects on resilience and sustainability. The same goes for municipalities’ and other public bodies’ investment strategies. Intelligent technical and social infrastructure is sure to require significant funding: this relates to renewed or restructured new water courses, highways, public transport and energy networks as well as the social infrastructure which has always been a key foundation of the European city. Along with open social interaction between city dwellers, these – rather than the data networks dominated by a small number of global businesses – are the essential and enduring social networks. Clearly, this publication cannot address such a complex topic in all its detail. It is aimed at providing an informed overview which can help promote

a fundamental understanding of the complex correlations and reciprocities. Varied pointers to further reading and exemplar projects give readers the opportunity to further acquaint themselves with the details of the relevant professional disciplines. A team drawn from research, planning practice and business was compiled in order to generate a holistic analysis. The topic is too varied, aspects to be addressed too diverse, to be covered by a small group or even an individual author. The range of authors helps to study the topic of sustainability from very different points of view. The term “sustainability” is understood and put to use in very disparate, even opposing ways from a range of positions within the professional and political discourse. Some follow the adage that “sustainability is nothing new” and hark back to old methods and values; others follow the precept that “sustainability is the vision of a better future” and pursue innovation and technical progress. Many discussions and publications focus on high-tech versus low-tech strategies, from cities of clay houses and sheep wool insulation on the one hand through to smart cities with smartphone-­ controlled, fully automated buildings, service robots and autonomous vehicles on the other. Both approaches are of interest, even though the debate is often very ideologically driven. This clearly demonstrates that the route to sustainable resource management is stony and certainly not without byways or even cul-de-sacs – just think of Desertec. Some technical systems celebrated today will prove to be interim solutions, sooner or later rendered obsolete by new findings, changing political strategies or social developments. Their reversibility will become an import­ ant criterion.

Editors’ Preface to the 2nd Edition

This book aims to contribute to open, objective debate. We assume that a sustainable future will not be possible without technical innovation, but that technical development alone will not be able to solve the major problems of the “anthropocene” era. Technical innovation does not represent a value in and of itself, either with respect to the welfare of society as a whole or in terms of its effects on nature. On the contrary, many of today’s problems stem from the failure to consider or adequately judge the “side effects” of technical systems. Granted, nobody can assume the position of ultimate objectivity in this debate. Our book’s authors present plausible cases for objectives and principles such as social diversity, density and mixed-use. Fundamentally, these views draw on value judgements as well as factual analysis. We trust this will be clear to our readers, who may concur or disagree with the lines of thought presented. Making visions reality requires collecting experi­ ence in practice, learning from it and formu­lating appropriate strategies for delivery. On the one hand, comparatively modest funding has in recent decades secured significant progress in certain fields, such as the move from low-energy housing to the Passivhaus and subsequently to the Plus-energy or Activhaus standard. On the other hand, it is evident that completed projects generally do not follow the holistic approach promoted within this book, and the examples presented in chapter 7 demonstrate as much. Our view is that complex, multidimensional analysis and planning is still in its infancy. The fact that projects meet only some of the dimensions addressed in this book is thus hardly surprising and does not detract from their merit. Any project which helps promote new technological or socio-economic findings is important.

Accordingly, we believe the examples shown serve to promote a number of lessons learnt. Along with the many distinguished authors from the broadest range of disciplines, we confidently present a book which can inform work as a planner or as a decision- maker in policy or business. We would like to take this opportunity to thank all the authors for their great commitment and their kind permission to update their contributions. Our special thanks are due to Drees & Sommer, without whose support this book would not have come about.

Stuttgart, 2018 Helmut Bott, Gregor C. Grassl, Stephan Anders

9

C H A P TE R 1

Introduction

1.1 — Aims and Objectives of this Book

1 .1

Aims and Objectives of this Book Ste p han Anders, Helmut Bott, Gregor C . Gras s l

T

he main aim of this book is to explain the complex, multi-­ dimensional concept of “sustainability” and explore what it means in terms of urban and neighbourhood development. This is why the book is so big, and why so many authors have contributed to writing it. Its many authors can provide more in-depth insight into current research and development in their respective disciplines and areas of expertise than just one author or a small team of authors. The introductory chapter will set out the three pillars of sustainability – economic, social, and environmental – and outline how they apply to urban and neighbourhood development. It will place sustainability in its historical context, and describe its fundamental dimensions and strategic effects. The following chapters will identify key challenges in terms of economic, environmental and social sustainability, and describe them in key facts and figures. This will involve explaining the basic concepts relevant to sustainable urban planning, clari­ fying the relationship between sustainability and resilience, and classifying the Smart City model. Finding successful project solutions is not just about taking the right approach within each discipline; it is always also about adopting an integrated implementation strategy for urban and neighbourhood development. Sustainable planning approaches must always be integrated and avoid promoting one issue above all others – e.g. by pursuing the “energy-efficient” or “carfriendly” city. This is especially important in large and complex projects, such as city and ­neighbourhood developments. We will give read-

ers an overview over tools for sustainable planning and construction, some of which are relatively novel. In conclusion, we will present a range of planned and completed projects which provide inspiration for dealing with specific challenges, and insights into what is currently achievable in terms of sustainable urban planning. Case studies were selected to reflect international practice and pre­ sent a broad spectrum of different concepts, each focusing on a different action area to address the issues at hand. The chapter structure helps readers quickly find information about individual topics. Our overall aim is to explain that sustainability can only be understood as a comprehensive whole, and that this is why it requires a complex planning process. We have sought to approach the topic as broadly as possible by assembling an interdisciplinary team of authors to address the respective issues with the required depth and current state of science and technology. Despite the scope of this task, we imposed a strict limit on the number of pages. Individual chapters can therefore provide an overview, but cannot replace in-depth specialist literature. Accordingly, references to important sources, research and in-depth specialist literature are listed at the end of each chapter. Readers who would like to delve more deeply into topics such as protecting water and soil, processes and participation, or material flows will find valuable information for their work there. This book examines the issue of sustainability from various different perspectives. Contributions shed light on urban design visions, which have to go far beyond the current urban conditions if sustainability targets are to be met, and also look into social policy objectives and issues of social integration or segregation.

11

12

Chapter 1 — Introduction

The lack of affordable housing is no longer just a social problem, it has long since become an economic issue. Where are the educators, nurses and skilled workers earning middle incomes we so urgently need in order to further develop our economy to find homes in future, if land and property prices continue rising at the current rate? Shortterm profits are clearly opposed to sustainable urban development and create a social imbalance with incalculable follow-on costs to our social fabric. We also consider investors’ concerns. These are not just hedge funds, looking for a quick return on capital invested anywhere and everywhere on earth, or even “corporate raiders” devouring anything of value before moving on: Investors also include client groups, locally grounded small businesses, co-operatives and housing associations or social housing providers with long-term investment goals and a local sense of responsibility. Their investments must and can be tied into strategic sustainable urban development targets. This leads to an evaluation of the overall economic effects of sustainable practice. Viewed in the medium and long-term context, these macro-­ economic benefits can provide a viable business case for individual measures which appear unprofitable when seen only from a short-term, sectoral point of view. We present an independent German sustainability certificate for urban districts, and we set out the spatial model of the European city as a functioning, administratively autonomous and self-­ reliant political entity planning the future for its citizen’s benefit. How many local governments still fully complete their planning task, planning ahead to cover all points from A as in acquiring development sites to Z as in zoning plans? We also

explore the general economic effects of acting sustainably. Medium and long-term benefits to the whole economy can justify individual measures which may appear unviable when viewed only in their individual, short-term context. On the contrary: neo-liberal policies have driven many cities to fill financial gaps by selling their real estate to investment funds, only to generate major social problems sooner or later which lead to further economic challenges.Whether as taxpayers, insured parties, or landowners, citizens will sooner or later bear the follow-on cost of poor urban and neighbourhood planning. This may be after the next flood or financial crisis, or when a badly planned neighbourhood rapidly becomes an area of social tension. This book aims to highlight ways for the profession to implement sustainable planning and delivery. Readers are offered various methods and tools to deliver project objectives. The showcased projects demonstrate that sustainability goals for urban and neighbourhood development have been delivered, at least in part, during recent years, and thereby illustrate that important contributions to sustainable policy do exist even today. There is no need simply to wait for politics and business to change the rules. Even now, we are experiencing record heatwaves and extreme droughts. Polar ice-caps and glaciers are melting ever more rapidly or have already largely disappeared in the Alps. Nevertheless, some politicians and lobbyists claim that the climate is not changing. Even politicians who recognise the complexity of the problems are reluctant to address them clearly and take appropriate measures, fearing voters’ responses. This makes it all the more necessary to apply current know­ ledge of challenges and action areas to sustainable urban planning.

13

1.2 — Sustainability and Resilience

1.2

Sustainability and Resilience Ste p han Anders, Helmut Bott, Gregor C . Gras s l

S

ustainable development was first defined in the Brundtland report in 1987 as “development that meets the needs of the present without compromising the ability of future generations to meet their own needs”.1 This basic approach to sustainable urban development rests on the following two ethical foundations: •• On the one hand, taking responsibility for the future generations is about preserving and protecting human beings’ ability to meet their needs in the long term. •• On the other hand, the effort to share equally is a constant, dynamic effort to prevent conflict and contribute to a stable, better society. This notion is reflected in the common three pillar sustainability model – other concepts include the sustainability triangle, the magic triangle, or the triple bottom line. According to the three pillar model, development can only be sustainable if it gives equal weight to environmental, economic, and social aspects, whereby the three dimensions are both closely connected and mutually inter­ dependent. In short: society will not survive in the long term without protecting the environment and making sustainable use of available resources. Our book is based on this definition. We are fully aware that the addition of further dimensions – such as culture – is often debated in professional circles.  SA

Sustainability and/or resilience? During the first decade of the 21st century, debate, research, and publications about resili­ ence in urban planning increased exponentially in response to discussions about the problematic effects of climate change (increasing storm damage, flooding, periods of heat and drought) and the increase in terrorist attacks. To some, the idea of resilience seemed to replace the principle of sustainability.2 We fundamentally oppose this view. We see resili­ ence as a precondition for sustainability, but do not consider it sufficient in itself.3 Different ways of responding to climate change can illustrate this point. For example, a resort or region could introduce snow cannons or even build air-conditioned indoor ski slopes in order to stay viable as a ski resort even in warmer winters. Undoubtedly, this would make it more “resili­ ent” in dealing with climate change. But if the region depends on tourism and leisure and wishes to remain so, it would be more sustainable to shift the focus to other sports and leisure activities which are less dependent on snow. Or, to cite another example: building flood barriers – ideally removable – makes cities more resilient in responding to more frequent flooding. But the truly sustainable response would be to increase retention throughout the entire river catchment area, for example by reducing sealed surfaces and recreating controlled riverside flood plains to absorb high water peaks.4

1  Hauff 1987, p. 46 2 “In the years ahead, ­resilience will replace the pleasing concept of sustainability. There is an ancient illusion of har­ mony in sustainability.” Horx 2011, p. 309 3  cf. Lukesch 2016, p. 303 4 cf. Fekete /Grinda /Norf, p. 226

14

Chapter 1 — Introduction

  5 “A resilient city or society has a high capacity to adapt and is able to adapt both reactively and proactively to changing environmental conditions and recover quickly from negative effects. Resili­ ence can thus be under­ stood as a comprehen­ sive, holistic approach to problem solving aimed at preserving natural and social systems’ general capacity to resist, regen­ erate and develop.” Fekkak 2016, p. 11   6 “Evolutionary economic geographers thus pro­ pose understanding ­resilience primarily as the ability of a region to anticipate or respond to shocks by reorganising its structures in such a way that disturbances have minimum impact on system functionality. Maintaining functionality, mentioned at the outset of defining resilience, is thus not interpreted as preserving the system’s structure, but as its ability to adapt its structure to changing environmental conditions.” Strambach 2016, p. 269   7  cf. Lukesch 2016, p. 303   8  cf. Libbe 2012, p. 29   9 cf. Beckmann 2012, p. 13 10 Deutsche Bundesregie­ rung 2008, p. 13 11 Grunwald  /Kopfmüller 2006, p. 39

For complex systems such as cities or even larger spatial units, resilience is about being adaptable and able to respond to changing conditions both reactively and proactively.5 This requires considering and analysing extremely complex effects, and implementing holistic rather than isolated solutions. Resilience in its original meaning ­(resilire = rebound, spring back) is incompatible with complex, dynamic systems, as there can be no simple “reset” to the previous settings, such as with a spring. Adaptability in complex, “living” systems is about reacting to external impacts, even if some system elements have to change or drop away altogether. The ­system must be able to change in order to survive.6 Economic geography research examines regions’ ability to respond to structural and economic ­crises – which could also be described as “resili­ ence” – and identifies principles which have long been recognised as clear advantages in the sustainability debate: these include decentralisation and diversity (instead of monopolies), openness and connectivity, high qualifications and a willingness to learn.7 Clearly, these points are about change and evolution, rather than “springing back”. It turns out that these principles are consistent with the aims of sustainable neighbourhood development. Decentral or semi-central sewage systems are better suited to using excess heat and feeding biogas plants. Smaller, networked power plants (CHP with biogas) are more able to keep going during catastrophes or terrorist attacks than large central plants. The same goes for interim fresh water storage.8 Decentralised rainwater retention can soften the impact of flooding by buffering the flow from storm water mains during major rain events. “The necessary new way of thinking about regions, cities and neighbourhoods and their ­technical and social infrastructure must increasingly be led by the following principles: decentralisation, networks, diversity (in services, structures and procedures), tolerance towards faults, safeguarding feedbacks and buffering capacity. Monostructures, big central plants or supply monopolies are counterproductive to pro-

moting resilience”.9 Broadly consistent with ­sustainability principles, these goals also suit the “Smart City” concept (see Smart City, pp. 25ff.), ­however sustainability remains the o ­ verriding concept.  HB

Definitions and strategies for ­sustainability According to Volker Hauff, the former chair of the Council for Sustainable Development, a sustainability strategy is always also a strategy for the future.10 The strategy’s guiding principles depend on the respective values and understanding of the term sustainability.

Soft or hard sustainability According to the “soft sustainability” model, arti­ ficial resources can replace natural resources. A decline in natural capital, for example as a result of raw material mining or shrinking natural habitats, can nonetheless be sustainable if it is offset by capital growth in other areas. By contrast, “hard sustainability” prioritises protecting the environment. In practice, natural and artificial resources can be difficult to distinguish. The ­environmental economist Jürgen Kopfmüller proposes a “middle of the road” approach with critical, rather than fixed thresholds for nat­ ural ­resources. This approach could prevent species dying out, or stop a climate catastrophe, without totally obstructing the development of human living conditions.11 This practice is common in German environmental legislation and development regulation. For example, greenfield sites may be developed, even if the population is stagnating and sufficient brownfield sites are avail­ able. But the greenfield site in question can usually not be developed if it is home to a species in danger of extinction.

15

1.2 — Sustainability and Resilience

A primarily procedural approach does not pursue long-term goals, but seeks swift, specific solutions to current problems. This approach is supported by sociological system theory, which doubts whether society in general can be directed.13 The pro­cedural approach can yield results with regard to social aspects of planning, and this is currently reflected in the lively debate around consultation processes in the development of urban neighbourhoods and other major projects. In this context, a neighbourhood’s success is more closely related to the ways and means of communicating with involved parties and less reliant on the quality of neighbourhood design (Processes and participation, pp. 50ff.).

Single pillar model

Amongst the models resting on multiple pillars, the “magic triangle” is one that has been established in practice. This is based on the equal treatment of environmental, economic and sociocultural aspects (Fig. 1).16 In practice, different values often cause problems in its implementation17. For example, cultural attitudes may vary with regard to the equal treatment of men and women, or minorities.

12 Deutscher Bundestag 1998, p. 16 13  Willke 1993, pp. 102ff. 14 Klemmer et al. 1998, pp. 45ff. 15  WBGU 1996, pp. 4ff. 16  SRU 1998, pp. 11ff. 17 Grunwald / Kopfmüller 2006, pp. 49ff. 18 Grunwald / Kopfmüller 2006, pp. 52ff.

Four-pillar models take public engagement into account. Problems include the fact that democratic systems are usually based on four- or fiveyear electoral cycles and provide little long-term continuity, and the fact that ministerial, departmental and other divisions prevent cross-cutting approaches.

Integrated sustainability concepts Fig. 1 Sustainability ­triangle

om ic

Integrated sustainability concepts take account of all the above mentioned aspects and focus on general sustainability goals. Key tenets include safeguarding human existence, the potential for social productivity, and the capacity for development and free action (Fig. 2). This approach extends the principles of justice and implements them according to the principle of subsidiarity.18 This leads to a bottom-up approach to sustain­ ability, with each level implementing what it can and drawing on the next level up only for issues it cannot solve alone. This concept is interesting for sustainable neighbourhood development because it takes all aspects into account before focusing on the key points.  GCG

on Ec

The single pillar model is based purely on an en­ vironmental foundation. It views modern man as part of the environment and as one of our planet’s active system factors. Human settlement has a local environmental impact, but it also influences the earth’s entire functional cycle. We could experiment to find the limits to the earth’s capacity, but this would lead to the destruction of our planet if applied at a global scale. The single pillar model uses empirical data to generate guidelines which map out a safe corridor between maximum and minimum limits. 14 The German government’s target for developing no more than 30 hectares of

Multiple pillar models

l

The substantive approach sets out clear targets and unambiguous criteria. In practice however, the complexity of holistic planning draws this clarity into question. A possible solution is to see sustainable development as a “regulative idea” as conceived by Immanuel Kant: an objective to strive for, with the direction of travel acting as a moral compass even when the final destination can never be reached.12

The syndrome approach presents an alternative: “a syndrome is globally relevant if it modifies the earth’s character and thereby directly or indirectly exerts tangible influence over living conditions”.15 The CO2 debate focuses on one such syndrome, where CO2 emissions cause global warming and thus change the earth’s character.

cia

A substantive interpretation of sustainability is based on fixed targets from the outset of development. A procedural approach is based on targets being continuously adapted and moved forwards.

greenfield land per day by 2020 is one such empirical upper guideline.

So

Substantive and procedural sustainability

Environmental Fig. 1

16

Chapter 1 — Introduction

Substantive rules Safeguard human existence

Safeguard potential for social ­productivity

Preserve capacity for ­ evelopment and free action d

• protect human health • safeguard basic needs (food, ­education etc.) •  secure independent livelihoods • equally distribute opportunities to make use of the environment • balance external differences in income and wealth

• use renewable resources ­sustainably • use non-renewable resources ­sustainably • make sustainable use of the ­environment as a sink • avoid unacceptable technical risk • sustainably develop factual, human and knowledge capital

• equal opportunities for educa­ tion, work and information • take part in societal decision­ making • preserve cultural heritage and diversity • preserve nature’s cultural ­function •  preserve social resources

Instrumental rules • internalise external environmental and social cost •  discount appropriately •  limit state debt •  fair global trade conditions •  international cooperation

• responsive societal institutions •  reflexive societal institutions •  steering capacity •  capacity for self-organisation •  balance of power

Fig. 2

Fig. 2  System of sustain­ ability rules Fig. 3  Urban growth of ­London 1840  –1929

Resource demand – the historical view

19 Weber / Winckelmann 1985, p. 727 20  Strudwick 1995 21 Kiang 2007; Thomas 1997 22  Kloft 1992, p. 115 23  ibid., p. 117 24  Kloft 1992, pp. 20ff. 25  ibid., p. 194

Nature cannot be seen as the closed, static system of perfect harmony which romantic idealisations and various faiths’ creationary myths suggest. Nature is a delicately balanced ecosystem, sometimes frail and occasionally stable, within which the widest range of species compete or coexist and impact on each other. The nature-culture dichotomy captures the essence of human activity in appropriating and modifying nature. During the hunter-gatherer period and into the Neolithic period, communities remained small and their impact on plants and animals was less than that of the great herds of grazing animals. This impact on the ecosystem grew with the move to nomadic, cattle-rearing societies. The introduction of arable farming in Asia Minor around 10,000 years ago, permanent settlement and the durable modification of nature to create a cultivated landscape led to a great increase of available foods within a small habitat and paved the way for very much higher density lifestyles than had previously been possible. Raising crops and cattle enabled families and communities to produce many more products than they needed for their survival. Voluntary or enforced taxes or tithes facilitated the division of labour and development of specialist knowledge. This allowed for the development of large settlements, where residents led urban lives far from agriculture.19 Thebes, the upper Egyptian city of kings and temples, boasted an estimated 500,000 inhabitants during the middle kingdom period around 2000 BC.20 Changan, the ancient capital of China, is

believed to have had more than a million inhabitants at the peak of the Tang Dynasty (7th – 10th century AD).21 Cities of this size depended on major food supplies from far-reaching catchment areas. This in turn required reliable transport systems, large storage buildings, wharves and the preservation of foods. By comparison, the cities of ancient Greece were comparatively small. For example, classical Athens is believed to have had 120,000 to 190,000 residents.22 Even then, the Attican hinterland alone was unable to feed the city state. It is es­ timated that around a quarter of the city’s grain (ca. 8,000 tons) was imported from the Black Sea, from Sicily and North Africa during the classical period. The Greeks could draw on an enormous merchant fleet to support this supply chain and meet demand for an estimated 100,000 tons nationwide. By contrast to the vast states of central Asia, Greece lacked a sufficiently large unitary state territory. As a result, food could only reach the cities through trade.23 Even the Greek polis had an environmental footprint far beyond the urban area and the land owned by urban resi­ dents. At the peak of its geographical reach, ancient Rome drew taxes and levies from an empire over 6’000 km2 wide. During the rule of Marcus ­Aurelius in the 2nd century AD, Rome had more than a million inhabitants. Constantinople, the East Roman capital, had around 500,000 residents in late antiquity.24 Even in the 2nd and 3rd century AD, Rome quenched most of its thirst for wine and olive oil with Spanish imports.25 A population of around one million is generally equated to a demand for 250,000 tons of grain. In Rome, supplies from provinces in Africa, Egypt and, to some extent, Sicily met this demand. Although the river could only be navigated with ease

17

1.2 — Sustainability and Resilience

1840

in winter, the Tiber and the seaport of Ostia handled heavy shipping of merchandise which the surrounding province of Latium, heartland of the empire, was unable to provide in order to raise Rome’s standard of living. Rome’s economic social system was based on ­permanent growth and increasing exploitation of the provinces. New land was conquered to support veterans and generate tax revenue, but the increasing number of provinces required ever b ­ igger armies and increased construction spending to defend the long and continually growing boundaries. The alternative would have been to raise taxes and exploit the provinces more harshly. Neither option could be sustained in the long term. Until the industrial revolution, and with few exceptions such as Venice and Constantinople, medieval and early modern cities in Europe were considerably smaller than the ancient capitals of antiquity. To a large extent, they were fed by the capacity of their immediate or wider environs. Although some food was traded from further afield, the amounts were far less than in antiquity. In the high middle ages and the early modern period, charcoal production and smelting caused wholescale deforestation in some areas, but environmental interventions were generally less intense than in later centuries. Mostly, the consumption of food and raw materials did not exceed regional capacity. Food was produced, traded and consumed within cities and their surroundings and thus limited to regionally and seasonally available products and crops. Nevertheless, there was already a significant demand for long-distance trade and luxury goods.26 In the 19th century, the industrial revolution and the introduction of the capitalist market economy led to rapid urban growth, initially in Europe and later in the US. London broke through the onemillion barrier around 1800 (Fig. 3), followed by Paris around 1840, New York around 1855, and

Berlin in the “Gründerzeit” years after 1871. Until the end of the 18th century, physiocratic macro­economic theory assumed that agricultural productivity defined economic growth. In 1776, Scotsman Adam Smith published a dynamic theory of macro-economic development, according to which specialisation and the division of labour led to greater productivity in individual areas of production. With the onset of mechanisation, the scope for economic growth seemed limitless. New means of transport, initially steam trains and ships, set urban commerce and industry free from the limits of agricultural production and raw materials available in its hinterland. Thanks to food and raw materials sourced from col­ onies and from the global market emerging in the 19th century, there seemed to be no limits to the range of merchandise available on sale and any notion of “natural capacity” – the number of ­people a region might be able to support by itself – was lost. The market-driven capitalist economy spread through infinite individual market transactions, each apparently fair and governed by the market’s “invisible hand” (Adam Smith). According to this theory, nobody was accountable for social deprivation, and the damage to nature and the environment caused first in industrial countries and later in the colonies and developing countries. In a previously inconceivable development, entire regions were transformed into industrial landscapes. The global market born in the 19th century steadily expanded throughout the 20th century, obscuring the links between locations where resources were consumed and living and working conditions and damage to nature in the places where they were gathered. During the so-called information age, globalisation has led to the ultimate international division of labour: as well as trading raw materials and fin-

1900

1929 Fig. 3

26  cf. Trentmann 2017

18

Chapter 1 — Introduction

27  von Carlowitz / Rohr 1732 28  Friedman 1998, p. 55 29  Pufé 2012, p. 34 30 Forrester 1961; Forrester 1969; Forrester 1971 31 Meadows et al. 1972, p. 17

Fig. 4  Cover of “Silent Spring” by Rachel Carson Fig. 5  Cover of “The Limits to Growth” Fig. 6  Filling station owner in Perkasie, Pennsylvania (US) during the oil crisis, 1973 Fig. 7  Visual of an autono­ mous agricultural business in the form of a pyramid from the “Ökologisches Bauen” publication

ished products, now even the smallest parts of ever more complex machines from all over the world are assembled somewhere else, according to plans and calculations made in yet another place. The mining of raw materials and production which destroys landscapes and causes emissions has shifted increasingly from the highly developed European and North American countries to developing and emerging economies. Badly paid workers often suffer poor living and working conditions to produce goods developed and traded very profitably by European and North American businesses. Instead of providing places of production with a greater share of its benefits, this global division of labour leaves them to bear most of the downsides. Whereas living and working standards and environmental problems in highly developed western centres improve, the unequal division of labour exacerbates global environmental problems. This has been made possible by information technology and international networks which support the extremely diversified division of labour and the quick dispatch of data and information. These very same networks also allow for connections to be analysed rapidly and in detail. Media channels provide near instant information about working conditions in Asian factories. We can see precisely where our cheap clothing is made and why its price is so low, whilst gaining full awareness of the inhuman conditions suffered by local workers and the “attractive” profits achieved by the businesses in question. We also learn about the cost (e. g. fuel consumption) and negative local environmental impacts of agricultural products flown to us from poor countries in order for us to consume low-price meat, fish, fruit and vegetable throughout the seasons. Such is the success of a global economy representing the polar opposite of sustain­ability.  HB

Fig. 4

The awakening awareness of ­sustainability The word “sustainability” goes back to the 18th century, when the head of the Saxon mining office Hans Carl von Carlowitz (1645 – 1714) promoted “a continuous and sustainable use of the forest”.27 His key idea was not to take more timber from the Fig. 5

forest than could grow back. Today, anybody would agree to this principle, but the decision was far-sighted at a time when timber demand to build houses and ships, for smelting and metalwork, and for heating and cooking seemed inexhaustible. The course of industrialisation and global oil trade has led to an increasing number of envir­ onmental catastrophes. Examples include the United States’ first oil spill known as Lakeview Gusher, the Niger delta oil spills since the 1960s, the Minamata mercury catastrophe in mid 1950s Japan, and the ongoing drying, pollution and salinisation of the Aral Sea, previously the earth’s fourth largest inland lake. In 1962, the American biologist Rachel Carson published “Silent Spring” (Fig. 4), lending voice to a growing environmental movement which has gained strength in society since the 1960s. Carson’s book describes the effects of massive agricultural pesticide use on the environment and on human beings. Considered one of the 20th century’s most influential publications,28 the book triggered major political debate in the US and eventually led to the insecticide DDT being outlawed.29 Ten years later, an American research team around Dennis L. Meadows published “The Limits to Growth” (Fig.5) in 1972 and contributed a further milestone to the sustainability debate. The book builds on the System Dynamics method, which was developed by Jay W. Forrester, an American computer technology pioneer, to examine interactions between objects in complex dynamic systems using simulation processes.30 This m ­ ethod enabled researchers to simulate the reciprocal effects of population growth, industrialisation, pollution, food production and the exploitation of natural resources. The findings questioned the contemporary belief in continuous growth and the lifestyle of the industrial nations: If ­pollution and the exploitation of natural resources were to continue at the level so far associated with economic growth, the absolute limits to global growth would be reached within the next 100 years.31 The first oil crisis, triggered by the OPEC oil embargo in 1973, revealed industrial countries’ dependency on fossil fuels and the effects of resource scarcity on their economies (Fig. 6). In Germany, the first oil crisis brought the preceding years of continuous economic growth to an end and led to short-time work, unemployment and increased social spending.

19

1.2 — Sustainability and Resilience

In response to the general societal trend in the 1970s and 1980s, architects and urban planners increasingly looked into environmental principles in construction. One of the most important books to leave a lasting impression on generations of German designers was “Ökologisches Bauen”. 32 Starting with building appropriately for the climate and going on to cover ecological design principles and technology, and energy and material cycles, the book addresses many aspects which remain relevant today. At the time, the book’s ideas were pure fiction (Fig. 7), but many of these apparently futuristic concepts are now reality. Examples include the many rural areas, that have set themselves the goal of covering 100 percent of their energy supply from regenerative sources33 or the technique of “botanical construction” developed at Stuttgart University, which makes “living” plant structures possible.34 In English literature, the book "The Autonomous House" had a similar effect (Vale 1975). The Chernobyl nuclear disaster near the Ukrainian city of Pripyat in 1986 was one of the worst accidents in recent history with far-reaching consequences for the environment and for human health, even to the present day. The event lent new support to the anti-nuclear movement born in the 1970s. In 1983, the United Nations responded to the unending debate as to how societal development should take account of environmental problems by setting up the World Commission on Envir­ onment and Development (WCED) chaired by former Norwegian prime minister Gro Harlem Brundtland. The commission was charged with the challenging task of developing recommendations for sustainable development. As a result, the report “Our Common Future”, also known as the Brundtland Report was published in 1987. It defines sustainability as “development that meets the needs of the present without compromising the ability of future generations to meet their own needs”.35 In the years that followed, this definition gained increasing currency, eventually becoming globally axiomatic. In Germany, the objective of sustainable development was explicitly written into law. For ex­ ample, Paragraph 1, Section 5 of the German building code (BauGB) states “Land use plans should safeguard a sustainable urban development which unites social, economic and environ­ mental requirements in responsibility towards future generations, and ensure the socially equit­

able use of land for the common good. Land use plans should help protect a humane environment, and protect and develop natural living conditions (…) ”36 The Brundtland Report was the basis for the United Nations Conference on Environment and Development (UNCED) in Rio in 1992, seen as a milestone of the global sustainability debate. A variety of agreements were reached in order to implement the Brundtland Report objectives for sustainable development. These included the Rio Declaration on Environment and Development, the Climate Change Convention, the Rio Forest Principles, Biodiversity Convention, the Convention to Combat Desertification and the Agenda 21. The latter includes global measures at the political, social and economic level and was seen as an action plan for the 21 century. It led many local governments and regions across the globe to initiate local Agenda 21 processes under the “think globally – act locally” motto. Currently, around 2,600 local governments have passed resolutions to prepare a local Agenda 21.37

32  Krusche et al. 1982 33 www.null-emissions­ gemeinden.de 34  de Bruyn et al. 2009 35  Hauff 1987, p. 51 36 Federal Building Code, 2011 37  Pufé 2012, p. 48 38  Stern 2007

One of the main aims of the third UN Climate Conference in Kyoto in 1997 was to agree specific, measurable climate targets. This led to the publication of the so-called Kyoto Protocol, which included the first binding targets for protecting the climate. For example, it was agreed that industrial countries should reduce greenhouse gas emissions by 5.2 percent of the 1990 levels by 2012. No reduction targets were agreed for developing and emerging countries. Currently, 191 states and the European Union have signed up to the Kyoto Protocol. As one of the main producers of gases damaging the climate, the US never signed up to the protocol.

Fig. 6

Despite numerous publications on the issue, such as Nicholas Stern’s reports on the economic consequences of climate change38 and former presi­ dential candidate Al Gore’s highly successful documentary “An Inconvenient Truth” (2006), and events such as the Fukushima nuclear catastrophe in 2011, no new reduction targets could be agreed at subsequent climate conferences. The follow-up to the Kyoto protocol was not agreed until the UN Climate Conference in Paris in 2015, when it was agreed to limit global warming to less than 2 °C. To achieve this target, net greenhouse emissions have to be reduced to zero in the second half of the 21 century. It is to be hoped that member states take a determined approach to implementing these ambitious targets.  SA Fig. 7

Fig. 8

Fig. 8  Historical develop­ ment of parameters in the sustainability debate 1950 as of 1960 1961 1962

18th century as of 1850 1865 1910 as of 1911 1929 1946 1948

> 150 kWh/m2a

EU Nearly Zero Energy Buildings for public buildings 2019 Prediction: renewables account for 47 % of German electricity supply 2020

> 200 kWh/m2a GreenStar C

TÜV / THS CASBEE UD OnePlanet C BREEAM C Estidama LEED ND SMEO Q DGNB NSQ

LEED

HQE

BREEAM 1990

1980

1970

1960

DGNB 2010

Green Globe 2000 CASBEE Green Star

> 300 kWh/m2a

EnEV 2014 2014 UN Climate conference Paris 2015

1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012

World Nature Charter / “Ökologisch bauen” publication (DE) 1982

1976 1977 1978 1979 1980

> 350 kWh/m2a

2. Wärmeschutzverordnung (WSchV; DE), Bhopal disaster (IND) Vienna Convention for the Protection of the Ozone Layer Chernobyl nuclear disaster (UA) Love canal toxic waste scandal (USA) / Brundtland report Piper Alpha disaster (North Sea) / Foundation IPCC Exxon Valdez oil spill (USA) Oil well fires in Kuwait Packaging legislation (DE) Rio de Janeiro conference /Agenda 21 Human rights conference in Vienna Enquete-Commission report / Article 20a (DE) /Aalborg Charter 1. Climate conference, Berlin (Berlin mandate) / 3. WSchV 2. Climate conference, Geneva / UN Habitat II, Istanbul 3. Climate conference, Kyoto (Kyoto protocol) 4. Climate conference, Buenos Aires (Work plan) 5. Climate conference, The Hague / nuclear chain reaction Tokaimura (JP) Renewable Energies Legislation EEG (DE) / UN Millennium Summit New York 6. + 7. Climate conferences, Bonn + Marrakesh (Negotiations) 8. Climate conference, New Delhi / World Sustainable Development Summit, Johannesburg 9. Climate conference, Milan 10. Climate conference Buenos Aires (Anniversary) / EnEV 2004 UN Climate conference, Montreal / Hurricane Katrina UN Climate conference Nairobi / “An Inconvenient Truth” film UN Climate conference Bali / EnEV 2007/ Leipzig Charter UN Climate conference Poznan / Foundation Masdar City, Abu Dhabi Climate conference Copenhagen / EnEV 2009 / Energy Passport Deepwater Horizon oil spill (1 M t oil) / UN Climate conference Cancun Fukushima (JP) Nuclear disaster / German exit from Nuclear power / UN Climate conference, Durban UN Climate conference, Doha

Development of global temperatures (source: World Bank 2010) Global oil production (source: King 1971, p. 39) Number of natural disasters per annum (source: Munich Re) Space heating demand (source: Munich RE) Seveso (IT) dioxin disaster / UN Habitat Conference, Vancouver 1. Wärmeschutzverordnung (WSchV; DE) Amoco Cadiz oil spill (FR) Three Mile Island nuclear meltdown Foundation of Green Party (DE)

UN Environment Conference in Stockholm / “The Limits to Growth” Study 1972 Oil crisis, Washington Convention on Biological Diversity 1973

Anti-Nuclear Movement as of 1970

European Water Charter 1968

First use of the term “Nachhaltigkeit” (Sustainability) Start of global oil trade First oil pipeline in the USA Lakeview Gusher oil spill (USA; 1.2 m t oil) Start of conveyor belt production / private mobility World economic crisis International whaling convention Foundation of IUCN: International Union for Conservation of Nature Minamata (JP) Mercury pollution / Clean Air Act Niger delta oil spill (1.5 m t oil) Drought, salination, pesticides in Aral Sea / Foundation OECD Publication “Silent Spring” (R. Carson)

20 Chapter 1 — Introduction

Peak Oil

> 120 kWh/m2a > 100 kWh/m2a > 75 kWh/m2a > 40 kWh/m2a

21

1.3 — The Neighbourhood

1 .3

The Neighbourhood He l m ut Bott

I

rrespective of its historical background, the notion of the neighbourhood today refers to a part of an urban system which is integrated with the wider city, but which – thanks to its specific structural features – feels distinctively different to residents and outsiders alike.1 This is not just about a number of homes randomly jumbled together around a common street network: neighbourhoods offer public and private amenities as well as many homes, and they provide social diversity and a mix of uses. In line with definitions and models currently used in neighbourhood research2 we will use this notion to describe what happens when three layers are meshed together.

port interchanges, shopping centres etc., are familiar to the neighbourhoods’ residents and users. Lynch also describes “landmarks”, visible and invisible elements or regular events and rituals which serve as symbols for the neighbourhood and its history. Names, particularly conspicuous buildings or building types, pronounced landscape features, district festivities, processions or clubs named after the neighbourhood can all become landmarks. This happens when they are linked to the neighbourhood and its history and exist within residents’ collective memory, and/or when they are associated with the neighbourhood by outsiders.

•• Physical: buildings and private and public open spaces (streets, squares, parks and green areas) create a specific urban fabric with characteristic urban spaces. •• Socio-economic: locals and visitors use homes, facilities and places of work, fulfilling different roles, e.g. as residents or workers. In doing so, they move in very different, but partially overlapping circles. They spend time in homes and their surroundings, in playgrounds, cafés, workplaces etc. and they move along routes to work, shops, schools, crèches, restaurants, clubs, recreation grounds, places of worship etc., and back. Neighbourhood residents and visitors come into contact regularly. This ranges from seeing and greeting one another, through to communicating more intensively and getting engaged in initiatives, clubs or administrative groups (e.g. parent-teacher groups, local institutions, religious communities, local parties). •• Symbolic: as these activities overlap, they create intersections which the American urbanist Kevin A. Lynch describes as “nodes”:3 These nodes, such as market squares, public trans-

Fundamentally, neighbourhoods are based on the built spatial structure. This can often include historical units which retain their historical character despite having been absorbed in to the city as a whole, such as villages, suburbs or urban extension. A neighbourhood (or “district”, according to Lynch) could also be an area of similar building typologies built within a short period of time, such as the urban extensions of the 19th century, or an urban area laid out according to a coherent overall design. In these cases, the neighbourhood’s built elements are quite similar, and differ noticeably from the surroundings when approached from adjoining areas. It is possible to draw a line along the border (or “edge”). This might be physic­ ally very distinct, like a railway line, a river or canal, or a very broad and busy road. However, neighbourhoods can also be found in continuous street grids like those in many American cities, where they can focus on shopping centres or streets with a high density of local facilities. In these cases, neighbourhood boundaries are often less distinct, with fluid transitions from one ­neighbourhood to the next (Fig. 1).

1  Schnur 2008 2 Vogelpohl 2008; Schnur 2008 3  Lynch 2001

22

Chapter 1 — Introduction

Frequency

Path

Edge

Node

District Landmark

More than 75 % 50 – 75 % 25 – 50 % 12 – 25 %

Fig. 1

Fig. 1  Mental Map of ­ Boston, after Kevin Lynch Fig. 2  Subsections of very different characteristics, HafenCity Hamburg (DE) Fig. 3  Aerial photograph of Lübeck (DE)

4  Franke 2011

The significance of the neighbourhood as the key space for daily life has decreased as suburbs have sprawled out into the wider region, increasing labour mobility and economic globalisation. At the same time, even globally operating businesses have a connection to the local area, frequently through administrative staff and workers in research and development, often also through production workers. Global activities always have a local dimension, and even internationally oriented specialist staff have a “base camp” in some specific location rather than merely existing in abstract space.

Neighbourhoods as activity areas The federal building code (BauGB) does not mention neighbourhoods in defining renewal or development areas or urban policy measures. The code merely states that boundaries for regeneration or transformation should be drawn in such a way as to support “purposeful intervention”. For example, the urban regeneration funding programme “Soziale Stadt” (Social City), launched by national and federal governments in 1999 and renewed in 2012, combines very diverse social policy and urban development measures and relates to spatial subdivisions within the city. The level of intervention for sustainable urban redevelopment is pitched at spatially defined subunits, for administrative reasons and due to the concentrating of investment and the clustering of social policy, education and integrative pol­ icies. The building code states that objectives

for urban redevelopment measures should include not only social and economic aims, but also seek to implement sustainable urban structures and climate protection. Article 171 a, Clause 3 sets out the objectives for urban redevelopment measures: “Urban redevelopment measures serve the public good. They should contribute to 1. adapting settlement patterns to the demands of demographic and economic development and to the general requirements of climate protection and climate adaptation, 2. improving living and working conditions and the environment, 3. strengthening inner urban areas, 4. putting built structures which no longer meet current requirements to new use, 5. dismantling built structures which cannot be put to new uses, 6. facilitating the interim use of fallow or disused land for the purpose of climate protection or adaptation, 7. sustainably protecting inner city heritage buildings.” As socio-spatial units, neighbourhoods offer a suitable scale of intervention for integrated planning and packages of measures for sustainable urban redevelopment.4 Article 166 Clause 2 of the building code states that: “The municipality should create the conditions for the creation of a functional area which corresponds to the objectives and the purposes of urban development measures, and within which the orderly and purposeful supply of goods and services to the population can be guaranteed.” These functional urban areas are what we describe as neighbourhoods within this book (“Quartiere” in German).

23

1.3 — The Neighbourhood

Fig. 2

It is common to create individual areas of different character in developing new urban areas. The designs for major new urban areas such as MunichRiem feature a range of subdivisions, whilst others such as HafenCity in Hamburg include a phased delivery strategy. With plans for 6,000 new homes and 45,000 jobs on a 157 ha site, HafenCity features ten areas, described as neighbourhoods, each featuring a very different spatial layout and mix of uses (Fig. 2). Future development will reveal the extent to which these areas succeed in cre­ ating a neighbourhood character within the wider development.

Historical development The idea of dividing the city into quadrants and thereby creating four neighbourhoods has a long historic lineage. The axial cross with four key directions is an archaic symbol of the city as a whole and in many cultures represents the basic urban order, associated with embedding the urban habitat in the “cosmic order”.5 In “Politéia” (“The State”, ca. 370 BC), Plato goes into a lot of detail in describing the subdivision of the city into socio-spatial, administrative sections such as “phylae” (tribes). Roman cities throughout the colonies were div­ ided by a north-south axis (Cardo Maximus) and an east-west axis (Decumanus Maximus), thereby creating four areas or “quarters”. Medieval European cities were commonly divided into smaller units, such as parishes, areas of dif-

ferent function (e.g. tannery districts), historical development phases (such as in Cologne or Hil­ desheim), or systematically quartered around a central intersection (e.g. Lübeck, Fig.3). Siena was divided into three “terzi”, each of which was further divided into five or six “contrade”. Ongoing urban growth often departed from the division into four quarters. For example, Venice featured six sections (“sestiere”) even during the middle ages. During the 19th century, rapid bursts of growth and urbanisation transformed the scale of the European city, which was subsequently divided according to new, administrative and infrastructural principles. As from 1860, Baron Haussmann redeveloped and extended Paris, dividing the city into 20 arrondissements, each with its own town hall and administrative tasks (Fig. 4, p. 24). These new administrative units comprised a number of existing or new neighbourhoods. Other major cities such as Vienna followed suit. In 1920, Greater Berlin was divided into administrative “Bezirke”, each of which included various, very diverse districts or neighbourhoods.

5  Rykwert 1988

Promoted by the idea of the Garden City eman­ ating from England, the idea of breaking the city up into smaller units as part of an urban development based on planned neighbourhoods first appeared in the 19th century (Fig. 5). These planned neighbourhoods were intended to counter­act the anonymity of the city and facilitate social control and mutual support, thereby combining urban comfort with village structures. This concept of the neighbourhood reappears in different guises, with varying political objectives, right through until post-war settlement planning. Urban sociology took a critical view of this develop­ment, because its famed German founder Fig. 3

24

Chapter 1 — Introduction

Fig. 4

  6  Simmel 1903   7  Bahrdt 1961   8 Borchardt 1974; Müller 1979   9 Göderitz / Rainer / Hoffmann 1957 10  Hecker 2007 11 Berndt 1971; Mitscher­ lich 1965; Rossi 1966; Rowe /Kötter 1978

Fig. 4  Plan of Paris with 20 arrondissements each with their own administration, Baron Haussmann, 1864 Fig. 5  Garden City concept, Ebenezer Howard, 1902

Georg Simmel had specifically described anonymous behaviour, such as “looking the other way”, as the precondition for urban survival.6 This particular urban behaviour, which placed city dwellers between the polar extremes of familiar, private intimacy on one hand and public anonymity on the other, was propagated as the very nature of urban communication and interaction in the design of major settlements on the urban periphery.7 The view was that increasingly frequent moves and urban anonymity resulted in ties between residents and their neighbours losing importance, rendering neighbourhood design ideologically outdated wishful thinking. After World War II, text books and technical codes divided the city according to catchment areas and demand needed for facilities at different levels, such as the number of residents required to support a small row of shops with a bakery and a dairy, or a crèche.8 This approach facilitated the apparently un-­ ideological design of the “orderly, airy city”9, free from the ballast of criticism for the metropolis, and in tune with the functional urban design concepts of the era. And yet within CIAM, the core group at the heart of modern architecture and urbanism, increasing criticism opposed technically oriented functionalism. Team 10, in particular, introduced the city’s social and cultural dimensions in the debate, with a particular focus on the significance of urban space for communication and interaction, and the symbolic dimension of architecture.10 Finally, the onset of professional criticism of functionalism and anonymous big housing projects during the 1960s11, enhanced by residents’ groups’

Fig. 5

protests against clearance projects and the demo­ lition of established heritage neighbourhoods, led to an intensive engagement with the historical fabric. The traditional European city was rediscovered, along with its tradition of urban space. The notion of the modern city as a purely spatial structure, which residents used according to momentary whim, moving home frequently and developing no emotional ties to their residential surroundings, applied only to a small share of city dwellers, and to varying degrees according to the neighbourhood in question. It became apparent that a considerable proportion of a neighbourhood’s residents spent long periods, sometimes entire lives, in older, established neighbourhoods, often developing a strong emotional bond with the neighbourhood and its culture. Various initiatives picked up and reinforced this tradition, a trend later associated in part with social restructuring (gentrification). The recognition and appreciation of socio-spatial complexes in everyday life were reflected in planning and research. In Germany, this led to the German Society for Geography (Deutsche Gesellschaft für Geographie, DGfG) creating a subcommittee for neighbourhood research.

25

1.4 — Smart City

1.4

Smart City Gre gor C. Grass l, Phil ip p Gro ß

R

ecent decades have seen the pace of change in techno­ logical and social development accelerate dramatically. Twenty years ago, it was unthinkable that nearly everybody today would have access to an all-encompassing tool for communication and control, information and daily support: the smartphone. Rapidly progressing digitalisation has affected buildings and cities too. Nearly every project tries to be “smart” to attract users with new features. And yet society still has no consistent understanding of the “smart city” concept. The fingerprint opening the front door, the rural roll-out of broadband, the smartphone in our pocket or the e-bike in our garage, which of these is truly smart? Science differentiates two key definitions for the smart city: •• The “holistic smart city” concept includes sustainable and innovative approaches to social, economic and environmental aspects as well as making use of information and communication technology (ICT).1 •• The more recent “connected smart city” concept takes an ICT-driven approach and makes use of modern technology to “enable” improvements to as many aspects of urban life as possible.2 In detail, the two approaches differ only when seen from an external perspective. The connected smart city approach may form part of a holistic concept, but focusses on technical methods, doing without the clear objectives typical for the holistic approach. This questions whether the holistic smart city is the logical continuation of existing sustainability strategies, or whether it is just one of many possible approaches. The rebound effects

of digitalisation are difficult to foresee, and the issues around data protection and the transparency of human life need to be resolved quickly and in depth. The technical implementation of the smart city presents many major hazards. Can high-tech cities make a valid contribution to sustainable development, or are they taking first steps towards an inhuman world? Does this not also question whether traditional sustainability models are able to solve the problems of massive global population growth? How can the limited resources of our planet sustain its population growing from 2 billion in 1927 to around 10 billion in 2050?3 How can this population safely satisfy its demand for wealth and social peace? The smart city offers opportunities to use artificial intelligence to calculate and predict previously intractable conflicts. We are already able to avoid traffic jams without even seeing them. Smart urban planning could provide a flexible model for positive urban development. This would see functions and infrastructure in the city respond to the sun, rain, population growth, or vacancy. Current smart city concepts such as Songdo in South Korea are pursuing these opportunities. However, these concepts often rely too heavily on sensors as a catch-all solution. As yet, it remains unclear whether this is really in users’ best interests. This is remarkable, as no more than 12 percent of worldwide data gathered by the Internet of Things (IoT) is actually used, whereas 88 percent of all information has no use at all so far.4 In designing new cities, neighbourhoods and cities, it is of key importance to identify the challenges presented by the relevant project, as well as the objectives to be met by the use of technology. Our concept of the smart city as a holistic approach places human beings and their needs at

1  Otto 2016 2 ibid. 3  United Nations 2011 4 www.slideshare.net/ IBMIoT/unlocking-hidden­ insights-with-cognitive-iot (Slide 8; date: 03.08.2018)

26

Chapter 1 — Introduction

1. Objectives Efficiency Sustainability Quality of life Competitive locations etc

1. Stressors Demography Resources Mobility Infrastructure Energy Ecology etc.

2. Action areas Energy Planning Infrastructure Mobility Protecting the environment Process /Organisation Financial viability Society etc.

3. Technology Sensors M2M communication Mobile communication Big data Internet of things (IoT) etc.

High-performance ­broadband Infrastructure etc.

Technology must always serve the user and the defined goals, and solve the issues at hand.

Fig. 1

5 cf. e.g. www.dreso.com/ de/leistungen/integrated­ urban-solutions/ (date: 03.08.2018) 6  Otto 2016 7 Landkreis Ludwigsburg 2015

the heart of design, with technology fulfilling a purely enabling role. It is not about finding ways to integrate the newest technology into the city, it is about finding out whether new technologies offer better ways to fix the specific challenges of neighbourhood development than previously available technologies (Fig. 1). Irrespective of the amount of technology introduced into the city, it is crucial that the framework conditions are right. Even the best concepts and applications will not function without a strong and stable network – a smart grid. Building on this foundation, smart cities should make user-friendly use of technology and artificial intelligence to address the central task of supporting sustainable urban development. However, urban planning has responded insufficiently, if at all, to the smart city megatrend. There is a shortage of specialists able to plan smart grids and integrated urban solutions. Infrastructure cannot be left either to industry or local municipal utilities alone. Major neighbourhoods delivered by one single developer demonstrate that holistic solutions are possible. The design of buildings cannot be separated from urban design and infrastructure. This is about looking for, and finding the best solution, no matter whether it follows a centralised or decentralised approach. This requires an independent planner competent in urban planning and infrastructure as well as individual buildings, in order to identify synergies at

the neighbourhood level.5 Modern data management supports planning, and tools such as City-BIM and Virtual Reality help visualise the design. In smart cities, the urban design or architecture team will take on the overall coordination for planning whole neighbourhoods, rather than merely fulfilling the tasks set out in in the architects’ and engineers’ standard fee order. Smart urban designers will not only set out planning frameworks for development control and draw up visions through informal planning but go on to take on real responsibility for the architecture of the future city. Holistic neighbourhood planning includes designing and delivering the entire infra­ structure, right down to the smart grid for the smart home as an integral element of neighbourhood design. The smart city offers a modern way of making use of synergies to master the ­challenges of sustainable urban planning more efficiently. This is not just about digitalisation for the sake of technology, but about planning a truly smart neighbourhood with a high level of smartness (Fig. 2).6 And yet the complexity and massive scope of neighbourhood planning is daunting. Unfortunately, this complexity cannot be denied and should not be ignored in planning. However, many planning instruments can support progress towards the smart city. Geographic information

27

Levels of smartness

1.4 — Smart City

Digital communi­ cation via net­ worked technolo­ gies, such as sen­ sors, machines, programmes, control units etc.

Data managment, comparing and interpreting data according to predefined parameters

Data­based, IT­supported automated reaction Level 3

Level 5

Level 4 Shared data use to add value for other action areas.

Analysing, diag­ nosing and pre­ dicting conditions, early triggering of corrective meas­ ures.

Level 2

Level 1

Transferring data

Handling and evaluating data

Reacting and controling

Fig. 2

ÖGNI POSITIONSPAPIER SMART CITIES

Synergies between systems

Predicting and planning Seite 12 von 14

Fig. 1 User defines objectives and stressors. The right approach leads to success. Fig. 2 What is truly smart? – Levels of smartness Fig. 3 ÖGNI Speedometer Smart City – processes and participation are required to get going.

Fig. 3 © ÖGNI

systems (GIS) are well established in municipal administrations and in urban planning. Building Information Modelling (BIM), which combines planning and data management, is becoming more common. Virtual reality applications are replacing traditional gypsum models. Smart networking between these tools will soon help simplify previously complicated processes. First examples, such as the 3D-GIS climate change concept developed by the Ludwigsburg district council, demonstrate that digital instruments can be put to use successfully for CO2 accounting and for public consultation.7 The Deutsche Entwicklungsgesellschaft (DEG) has helped develop a City-BIM model for Maidar EcoCity+, the proposed new Mongolian capital. It unites modern virtual reality (VR) with

the wealth of CAD and GIS system data. This approach helps make a city of the future tangible in virtual reality and ties data and facts with emotions for a sustainable project. These new instruments, which – mainly due to ignorance – currently appear daunting to us, will eventually seem as accessible as a pocket calculator, providing us with simple tools to create the next generation of sustainable neighbourhoods.8 Until that time, the smart city will mainly present challenges, as stated by the Austrian Sustainable Building Council (ÖGNI) in its first position paper on the topic.9 How, and how quickly, our way of planning, building and finally living in the built environment will become truly smart is a key question. The answer remains to be seen (Fig. 3).

Further information

• Bundesinstitut für Bau, Stadt und Raumforschung (BBSR) im Bundesamt für Bauwesen und Raumordnung (BBR) (Ed.): Smart City Charta. Digitale Transformation in den Kommunen nachhaltig gestalten. Bonn 2017 • Soike, Roman; Libbe, Jens: Smart Cities in Deutschland – eine Bestandsaufnahme. Published by Deutsches Institut für Urbanistik (difu). Berlin 2018 • Harm, Corvin: Smart City und Klimaschutz. Der Smart City Ansatz in den Klimaschutzstrategien von Berlin, Hamburg und München. Saarbrücken 2018

8 Meier / Portmann 2011 9 ÖGNI 2017

28

Chapter 1 — Introduction

1 .5

Added Value of Sustainable Urban Neighbourhoods Ste p han Anders

T

he added value of sustainable urban neighbourhoods is diverse and varied, but can only be partly measured against quantitative criteria. The major cost and emissions savings of sustainable neighbourhoods can be measured objectively. And yet the benefits of biodiversity, social balance, or improved quality of life for society as a whole – though potentially immense – are very difficult to express in numbers. Differing, even isolated approaches to ecological, social, and economic aspects of natural and built envir­ onments can have negative as well as positive consequences, depending on the point of view.

1  Klein et al. 2011 2  Stern 2007 3 Christ et al. 2001, p. 105

The dying of the bees demonstrates the general complex interplay of different factors. The use of new fertilisers in agriculture went along with a lack of awareness for the mutual effects which would eventually threaten human existence itself. Scientific research at Leuphana University in Lüneburg has shown that the intensive use of agricultural landscapes has caused a massive ­reduction in global bee numbers with dir­ ect ­effects on human health. Researchers reckon that 40 percent of plant nutrients could be lost if this trend continues, because many plants are no longer pollinated.1 It is difficult to estimate the effects and interactions this will have on the global ecosystem. The 2013 floods revealed the extent to which many German cities and neighbourhoods had been planned with little regard, or even design-driven active disregard for flood protection. This complex issue requires more than simply building dykes and swales. General development noticeably makes the situation worse by increasing sealed surfaces. Nevertheless, rainwater-retain-

ing green roofs and rainwater management systems in car parking areas often fall victim to cost cutting at early project stages. It is worth considering whether the cost of later damage could be avoided by investing in a design approach which includes the wider public to take a holistic view from the outset, rather than taking a narrow, project-­based approach. In his report “The Economics of Climate Change”2 published in 2007, former World Bank economist Nicholas Stern concluded that the benefits of early decisive action far outweigh the economic cost of inactivity. Stern’s economic models demonstrated that humanity would in future need to use 5 – 20 percent of global annual gross domestic product (GDP) to cover the cost of frequent floods, storms and illnesses, if it failed to implement steps against climate change. For comparison: with global GDP around US $ 79 bn, 20 percent equated to around US $ 17 bn, approximately equivalent to EU GDP in 2017. By contrast, Stern calculated that the worst effects of climate change could be avoided at a cost of 1 percent of global GDP, which – at around US $ 0.8 bn – roughly matched the GDP of the Netherlands in 2017. Stern’s calculations relate to the global level, but can be broken down to the urban level. In the following, the above general comments on added value will be applied to the neighbourhood level and spelled out in immediately accessible terms.

Environmental added value In 2001, the Bauhaus University Weimar and Öko-Institut Freiburg studied urban design and environmental quality in neighbourhoods which were car-free or had low car use.3 The results were quite clear: neighbourhoods with a low level of

29

1.5 — Added Value of Sustainable Urban Neighbourhoods

traffic benefit from many positive effects. For example, massive construction, maintenance and service costs for large traffic areas (streets, car parks) can be cut. This frees up space which can be dedicated to high-quality residential infill development or new leisure facilities. Further benefits of low-traffic neighbourhoods include positive effects for residents’ health, such as less noise and pollution, and greater safety. In addition, buildings and the public realm can be used more flexibly and more diversely – e.g. as play areas, for walking or cycling – or they can even be closed off for public events, which would be very difficult on a heavily trafficked road. This example demonstrates how just one measure – reducing neighbourhood traffic – can deliver major benefits. Providing facilities for daily life in easy walking distance and good access to public transport also contributes to low traffic levels in neighbourhoods. It makes car journeys unnecessary and reduces travel times – benefits not to be under­ estimated. Often, parents will spend a major share of their day ferrying children to various leisure activities, making administrative errands and trips to the shops – usually by car. A neighbourhood’s location can have a major influence on residents’ ability to move around by environmentally friendly means, e.g. on foot, by bike or on public transport. Fundamentally, resource efficiency is one of the most important principles in planning sustain­ able neighbourhoods. This includes energy, ­water, building materials and other valuable resources as well as more generally, land, cost and time. Thus a neighbourhood’s location will have a decisive effect on the distances residents cover each day and the time and energy consumed in doing so.4

Land is a resource which cannot be increased, especially in densely populated countries such as Germany. The soil fulfils a vital function in our ecosystem: it supports plant, animal and human life, purifies precipitation and stores groundwater. However, our current use of land is far from sparing. Between 2012 and 2015, an average of ca. 66 ha of land – amounting to 92.5 FIFA football pitches – was consumed for settlement and transport each day in Germany. According to the Federal Statistical Office, this is due to urban sprawl into the surrounding countryside, the increased separation of housing, work, leisure and amenity areas, and rising mobility.5 Brownfield or underused urban land thus represents a possibility to protect outlying areas and reduce land consumption.

Added value for people and society Along with these environmental effects, sustainable neighbourhoods offer many further benefits. These are mutually interdependent and partly very closely linked to environmental aspects. Ad­equate green and open spaces provide animal and plant habitats, but they also improve microclimates and thereby directly benefit humans. Human well-being in public space does not depend on microclimate alone, even if the perceived outdoor temperature may become a decisive factor, as in the case of cities such as Abu Dhabi, where street surface temperatures may climb to 70 °C (Fig. 1). Subjective factors – design, accessibility, vitality, noise level, and even perceived safety, to name just a few – also play an important role. A representative survey carried out by the German Federal Environment Agency in 2011 highlights the significance of noise for well-being: 83 percent

4 Fuchs  /Schleifnecker 2001, p. 55; Jenks / Dempsey 2005, p. 24; OECD 2008, p. 115 5 https://www.destatis.de/ DE/Themen/Branchen-­ Unternehmen/Landwirt­ schaft-Forstwirtschaft-­ Fischerei/Flaechen­ nutzung/Tabellen/anstiegsuv.html

30

Fig. 1

Chapter 1 — Introduction

a

of respondents stated that they were stressed by traffic noise, and 36 percent of respondents even felt very or extremely stressed by it. 6 This aspect should be given more attention in future.

b

6  UBA 2011, p. 5 7  Mercer 2012 8  Rotermund, pp. 10ff.

Sustainable neighbourhood design aims to offer homes and jobs to a diverse population and recre­ ate a greater mix of living and working. This offers advantages for social life, but also makes neighbourhoods more able to adapt to changing parameters and more stable in terms of long-term value. Today, monofunctional neighbourhoods such as Frankfurt’s Niederrad office area or Berlin’s Märkisches Viertel are being returned to a greater mix, whilst also being improved in terms of design and energy-efficiency. Social factors remain very subjective and difficult to quantify, but they play a decisive role in the sustainable development of cities and neighbourhoods. It is no surprise that cities with a high quality of life, such as Vienna, Zurich, Munich or Auckland7, succeed economic­ ally by attracting highly qualified people and internationally active businesses.

Economic added value Economics is the third dimension of sustainability. Though difficult to quantify at the neighbourhood level, the economic benefits of sustainable urban development can be linked to specific data at the building level. The use phase accounts for nearly 90 percent of life-cycle cost in office and industrial buildings;8 and the same goes for green, open and transport areas. It is crucial to include buildings’ and spaces’

31

1.5 — Added Value of Sustainable Urban Neighbourhoods

Urban climate Health Open space

Ventilation

Sealed surfaces

Well-being Density

Shading

Compactness Efficiency of infrastructure

Volume of traffic

Energy demand Life cycle cost

Fig. 2

use and disassembly cost as well as construction cost from the outset. An article on life cycles in green space points out that in the past, open spaces “had to be dismantled or adapted after only a few years, because financial and staffing cost for their maintenance proved unviable, or because the area’s appearance no longer met users expectations”.9 The example of life-cycle cost clearly demonstrates that sustainable urban neighbourhoods deliver a massive added value when compared to conventionally designed neighbourhoods, even if it cannot always be expressed in figures. It is to be hoped that more neighbourhoods will be developed according to sustainable principles in future. This can pay off in the long term, even if it may cause higher design and construction costs.

Complexity and reciprocity The discourse on sustainable urban neighbourhood in recent years can be summed up by the City of Munich’s “compact, urban, and green” vision. As charming and simple as this seems – the reality is far more complex, thanks to countless interactions between urban design parameters (Fig. 2). For example, benefits of infill densification, such as more efficient energy and transport systems or more effectively used social infrastructure10 may go along with negative effects. Higher

density and the increased sealing of the ground disrupts natural water cycles, increasing the risk of flooding.11 The decreasing proportion of open space has a detrimental effect on the urban climate, leading to rising urban temperatures which can be very taxing for residents.12 Further negative effects include fewer solar gains through mutual shading of buildings, and increased resource demand in taller buildings due to special structural needs and increased power consumption for lifts and technical ventilation.13 Pursuing energy-efficient neighbourhoods can lead to a situation where efficiencies gained in buildings are wiped out by energy losses in neighbourhood heating systems which can no longer be used efficiently.14 The same goes for reducing waste water: a positive move in terms of sustainability, this can lead to higher cost in terms of infrastructure maintenance and servicing. This is because reduced waste water volumes leave more deposits in pipes, which need to be washed away with drinking water. The slower flow of waste water can lead to rotting, which in turn can make pipes and pumping stations corrode.15

Fig. 1  Thermal imaging to compare temperatures: a Central Abu Dhabi: ­average street surface temperature 57 °C, ­average ­temperature of street space 52 °C b Masdar City: average street surface temperature 33 °C, average tempera­ ture of street space 37 °C Fig. 2  Complex interactions between urban design parameters

Finally, it is important not to forget the effects higher density can have on human behaviour. Empirical research demonstrates close links between rising density, decreasing childbirth, increasing mortality, youth and adult crime and psychological distress.16 It is not possible to make general statements about design interventions in the city as a whole. Rather, individual factors should be assessed holistically and implemented on a project-by-project basis for each location and situation.

  9 Blaser / Buser / Borer 2009, p. 2 10  Fuhrich et al. 2006, p. 42 11  Henninger 2011, p. 17 12  Jendritzky 2007, p. 108 13  Hegger et al. 2008, p. 63 14  Koziol 2011, p. 24 15  Koziol et al. 2006, p. 18 16 Friedrichs 1983, pp. 134ff.

C H A P TE R 2

Challenges and Action Areas

2 .1

Regional, Urban and Neighbourhood Development

33

2.1 — Regional, Urban and Neighbourhood Development

Challenges for Regional, Urban and Neighbourhood Development He l m ut Bott, Ste fan Sieden top

M

ajor cities are not self-­ sufficient systems – they import large amounts of resources from near and far and rely on the export and disposal of gaseous, liquid and ­solid waste. Cities are nodes for the production, distribution and consumption of goods within the global system of material flows. Whilst consuming only 2 – 3 percent of the earth’s land surface, cities account for three quarters of global resource consumption and 80 percent of greenhouse gas emissions.1 Within the Global Change debate, urbanisation – seen as a process of concentrating population in cities and physically extending land primarily dedicated to buildings – has long been recognised as one of the central factors in global environment change.2 Urban growth and the land, energy and mater­ ial consuming life styles pursued in cities, thrive on the principle of “acquired capacity”.3 A given area’s capacity – the sum of materials which can be extracted or fed back into it within defined units of space and time – is by its nature limited, but can be expanded by acquiring added cap­ acity. Freedom from the limitations presented by the complement of locally and regionally avail­ able resources has been essential for the de­ velopment of modern economies, because this alone made an economic system based on the supra-regional division of labour possible.4 Ecologically however, consumption in excess of a city’s natural capacity can only be maintained if other areas’ resources and scope for disposal are permanently appropriated. Sustainability shifts “from individual sustainable systems, i.e. local ecosystems to higher-order, regional ­systems”.5

Urbanisation thus presents a dilemma: rising popu­ lations in most parts of the world (Fig. 1, p. 34), increasing wealth creation and burgeoning af­ fluence make settlements’ spatial expansion a sheer necessity – yet this growth often takes up land crucial to the supply and disposal of urban resources. Urban development frequently devours rich ­agricultural soils and areas fulfilling valuable environmental functions such as water retention or bioclimatic regulation. The loss of biologically active areas within cities’ environs feeds their dependency on exterritorial resources, ­consolidating an “economy of environmental deficit”.6 However, it would be misguided to indiscrim­ inately discredit urban systems as “parasitic” or inherently unsustainable. Sufficient wealth enables cities to exploit economies of scale and density and organise productive and reproductive activities with greater resource-efficiency than rural settlements.7 Dodman8 points out that London’s environmental footprint is 125 times greater than the space it occupies, but that its footprint per capita amounts to no more than roughly 50 percent of the British average.9 Much the same can be observed in other European or North American cities and the respective nations, as major cities allow for more resource-efficient housing and transport than suburban or rural regions. Economies of scale through size (e.g. more efficient energy supply thanks to combined heat and power), higher density and a greater mix of uses equip cities with comparatively energy-efficient forms of housing and transport.10 Against this backdrop, and with sufficient prosperity, the aim of sustainable urban development must be to more consistently exploit urban effi-

  1 Girardet 1996; OECD 2010; UN 2007   2 Seto / Sanchez-Rodríguez / Fragkias 2010; Angel / Sheppard /Civco 2005; McGranahan /Marcotullio 2005   3  Rees 1992   4 Einig / Siedentop /  Petzold 1998   5  Haber 1992   6  Rees 1992   7  e.g. OECD 2010   8  Dodman 2009   9 for more information about the Environmental Footprint concept, see WWF 2008 10 OECD 2010; Naess 2006; Frank / Kavage /Appleyard 2007

34

Chapter 2 — Challenges

less than 0 % 0 to less than 0.5 % 0.5 to less than 1.0 % 1.0 to less than 1.5 % 1.5 to less than 2.5 % 2.5 % and more no values Fig. 1

11  Crutzen 2002 12  United Nations 2010 13  UN Habitat 2008, p. 24f. 14  UN Habitat 2008 15  Forsyth 2012 16 Schneider / Woodcock 2008 17 van den Berg et al. 1982; Champion 2001 18  Champion 2001

ciencies whilst cutting the economy’s environmental deficit to a responsible volume. Cities and towns should not be seen as hindrances to sustainable, humane development. On the contrary: they offer a decisive step towards a solution. However, this requires a radical change of thinking in urban planning and design. Rebuilding cities to preserve and promote density, compactness and mix of use whilst protecting valuable open spaces must be recognised as a key contribution to sustainability.  HB

Urbanisation

Comparative cost advantage

In macroeconomics, comparative cost advantage describes a situation wherein one region can ­produce a good at lower cost than other, competing regions. In this context, comparative cost advantage describes the locational cost advantages of suburban areas, specifically in relation to land-hungry production sectors.

Many scientists describe the current era as the Anthropocene, where human influences shape the earth.11 Urbanisation (Fig.2) is one of its most potent processes. In future, the majority of the world’s population will live in settlements of an urban character.12 Urbanisation is powered by two interlocking forces: city dwellers’ natural growth in numbers, and the gravitation of rural populations towards urban centres.13 The early stages of urbanisation are often dominated by individual cities, frequently capitals – a phenomenon described as Urban Primacy.14 Political and economic guidance and control functions are concentrated in these cities, they are powerhouses of economic development and the destination of national and interna­tional migratory flows. This phenomenon dominates current processes of urbanisation in developing and emerging ­countries. By contrast, more developed countries tend towards multipolar urban systems, not

least due to excessive agglomeration costs. Throughout the world, major cities’ growth takes place in suburban areas.15 These are generally less dense, more discontinuous and dispersed settlements, less characterised by the mix of urban functions than the urban core.16 A deceleration of economic and demographic growth from fringe to core can be observed in developing and emer­ ging as well as in developed countries. Whilst suburban areas experience high growth rates, populations in inner-city areas tend to stagnate or decline. Suburban areas are born out of competitive cost advantage. Suburban locations attract both domestic households and commercial businesses with lower land costs, greater land availability or lower levels of pollution. Frequently, suburban growth is also actively fed by state policy, notably fiscal policies and the construction of transport infrastructure. The process of suburbanisation generates a functional space – suburbia – with specific physical, economic and social qualities.17 The changed settlement pattern modifies urban and regional agents’ patterns of mobility and interaction. Everyday life is acted out in places of work, leisure and dwelling dispersed throughout an expansive urban-regional stage. In the 1970s and 1980s, many industrialised states witnessed so-called de-urbanisation processes, or counter-urbanisation.18 This saw peripheral rural areas grow increasingly attractive for location-bound industries as well as private households. Ubiquitous transport networks and negatively rated location factors such as land price and ageing infrastructure in dense urban regions are

35

2.1 — Regional, Urban and Neighbourhood Development

core city total urban region

urban region urban fringe (outside urban region)

deconcentration

deconcentration

concentration

urbanisation

suburbanisation

de-suburbanisation

re-suburbanisation

decreasing population

increasing population

concentration

urban fringe core city outside urban region increasing population

stagnation

decreasing population

Fig. 1  Annual population development, average ­values 2005 – 2015 Fig. 2  Phase model of urban development (after Schmitz-­ Veltin 2012, based on van den Berg et al. 1982)

Fig. 2

viewed as key reasons for population and activity growth spilling over into rural areas. During the last 20 years however, growth has gravi­ tated back to areas of an urban character. The increasing economic importance of knowledge has placed metropolitan regions with an inter­ national reach in the driving seat (metropolisation). Many urban regions in Western Europe and North America have seen growth return to core and inner cities in a process of re-urbanisation.19 The renaissance of historical centres is embedded in the growth of polycentric urban regions, with ­systems of urban-regional centres presenting complex patterns of functional spaces for the div­ ision of labour. In the process of growing more dense and rich in functions, suburban communities benefit from these trends, giving rise to the assumption that core cities and cities are becoming increasingly similar. This concept sees so-called post-suburban areas assume functional similarity with the core city, growing out of functional dependency to gain partial emancipation from its hegemony.20

Land consumption The processes of urbanisation, suburbanisation and de-urbanisation are physically expressed in the consumption of land previously not dedicated to settlement and transport development. Land consumption is considered a major challenge, indeed a persistent problem in environmental policy,21 as political efforts to contain it have so far remained unsuccessful. Land consumption has numerous negative effects, particularlay the loss or disruption of soil-based environmental functions. The quantity of land converted alone does not tell us much. Its location, prior use, environmental function and the intensity of previous land use, e.g. with respect to ­permeability is also relevant.22 Whereas the spatial expansion of urban settlements is a global process, its momentum is region-

19 Herfert  /Osterhage 2012; Siedentop 2008 20  Aring 1999 21  SRU 2002 22  Siedentop et al. 2007

36

Chapter 2 — Challenges

more than 10 % 5.1 –10.0 % 2.1–5.0 % less than 2 % no growth no data available

Fig. 3

Fig. 3  Growth of European settlement area 1990 – 2006 (based on EU CORINE Land Cover Research) Fig. 4  Land consumption in Germany 1993 – 2008 [in ha /day]

ally very variable (Fig. 3). The European Environment Agency estimates that the growth of the settlement area in the last 20 years amounted to 2 percent per annum in the European regions of greatest growth, whereas it remained very low in other parts of Europe.23 Shlomo Angel estimates the annual growth of built-up areas throughout the 1990s at circa 3.6 percent in developing countries and 2.9 percent in industrialised countries, with eastern Asia achieving markedly higher growth rates.24

23  EEA 2006 24 Angel / Sheppard / Civco 2005 25  Angel 2011 26  Sieverts 1997 27 Overview in Siedentop 2005 28  Gardner 1996 29  EEA 2006; EEA 2011 30 Naess 2006; Gutsche 2003; Banister 1999 31 Schiller  /Gutsche 2009; Preuß 2009; Schiller / Siedentop 2005 32  Schiller / Gutsche 2009 33  Siedentop et al. 2009

Settlement and transport areas are growing at a significantly higher rate than the population. This results in a global decrease in settlement density of around of 2 percent and more per annum.25 In place of concentric growth, this generates discontinuous, dispersed and severely fragmented structures of settlement and open space.26 Effects of land consumption most vigorously discussed include:27 •• the progressive loss of high-quality agricultural land28 •• reduced biodiversity29 •• the development of car-dependent settlement patterns and increased vehicle traffic30

•• the generation of follow-on costs for building and running technical infrastructure31 Ongoing private demand for housing, business and leisure development sites is a key driver of land consumption (Fig. 4). But local governments’ development land supply policies, taxes and subsidies which encourage land consumption, and economic interests (e.g. on the part of developers) are also significant contributors.32 In Germany, the continuing decrease in occupancy rates for existing housing stock is a major driver of land consumption. To a relevant extent, this is due to the ageing of the population (i.e. people staying in the same big flat after their partner has died). The prevalence of low-density buildings for housing and business, partly an expression of user ­preference, is a further contributor. These factors explain why an increasing demand for housing is to be expected, even as the population decreases. Established areas of settlement often lack develop­ ment sites (brownfields), whilst subsidised access and the resulting land price differential between existing and new build locations, as well as insufficiently coordinated local government policies continue to drive greenfield development.33

37

land consumption [ha / day]

2.1 — Regional, Urban and Neighbourhood Development

leisure, cemetery transport

140

buildings and open space rolling 4-year average data switch

120 100 80

62

60 40

2030 target: less than 30 2016

2015

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005

2004

2003

2002

2001

2000

0

1993 – 1996

20

Fig. 4

Growth and shrinkage Whilst Asia, Africa and Latin America’s metropolitan cities are growing, occasionally excessively, many cities in western industrialised nations are experiencing prolonged phases of stagnation or shrinkage.34 Despite some considerable variation, and occasionally identifiable re-urbanisation, countries undergoing the second demographic transition exhibited long periods of decline or stagnation. The task of managing processes of ongoing structural shrinkage gained an equal footing with steering and shaping growth. Processes of re-urbanisation, a new rural depopulation and ongoing immigration have sparked turnarounds in many cities, and now present planners with new challenges due to the aforementioned shortage of development sites.35 Germany and other European countries are experi­ encing profound demographic change, with populations declining since the early 2000s. Re-­ urbanisation and high immigration currently masks this underlying trend. Demand, and the proliferation of small households, is driving housing prices in many regions beyond the realm of the affordable, especially in major cities. In terms of urban development, this global trend generates massive pressure for urban transformation and densification. At the same time, remote rural regions are in decline. In these areas, infrastructural concerns should be driving policies of support for established settlements. Further land consumption

under conditions of stagnation or shrinkage can seriously undermine the viability of infrastructural services, even in the medium term. Curbing land consumption could defuse the intensity of this threat and support a move towards a circular land economy.

34 UN Habitat 2008, p. 12; and Wiechmann / ­Pallagst 2012 35 Wiechmann / Pallagst 2012 36  Siedentop 2010 37  Hüchtker et al. 2000

Inward development So-called inward development is one of the most important ways of reducing land consumption in urban development.36 In practice, this usually comprises three types of measures: •• Developing infill sites in contiguously developed districts •• Land recycling, converting or reusing vacant and derelict land (brownfields) •• Raising density to increase or enhance the land use, either through new build, or the extension or conversion of existing buildings. Inward development has a qualitative as well as a quantitative dimension. Inward development measures can contribute to improving the inner city open space offer and improve and stabilise the urban fabric. This gives rise to the concept of “double inward development”37 protecting open countryside from further development whilst adding quality to existing settlements, e.g. through measures to activate and enhance open space. Land consumption in Germany remains high, despite comprehensive measures to activate po-

Demographic transition

The term demographic transition describes a ­glo­bally observed phenomenon, whereby low birth and mortality rates replace high birth and mortality rates. In the first demographic transition, the initial decrease in mortality causes rapid ­population growth. This growth subsequently decelerates, as birth rates decline. In some societies, such as Germany, the birth rate decreases to the extent that the natural reproduction of the population is no longer given. This is described as the second demographic transition, resulting in a natural, negative long-term population development.

38

Chapter 2 — Challenges

38  UBA 2003 39  Siedentop 2003 40 e.g. Ministerium für Wirtschaft, Energie, ­Klimaschutz und Landesplanung ­Rheinland-Pfalz 2010; BBSR 10/2013 41 for more detail see OECD 2012, p. 27f. 42  Siedentop 2005 43 Cervero / Murakami 2010; Gutsche 2003 44 Ecoplan 2000; Doubek / Zanetti 1999 45 Motte-Baumvol /Massot / Byrd 2010 46  e.g. Breheny 1997 47 e.g. Angel 2011; ­Bengston / Youn 2006

tential development sites. The stock of brownfield sites in Germany is estimated to be growing at a rate of several hectares per day, especially in rural areas and economically underperforming cities.38 During the 1990s, a mere 30 percent of annual housing production took place within developed areas, e.g. through brownfield or infill development.39 Conservative estimates place the proportion of net housing development sites within existing settlement at more than 5 percent, largely marketable in the short or medium term.40 However, inward development projects can present risks: previously unknown contamination, complex stakeholder constellations, difficult neighbourhood planning challenges or exaggerated book values in bank or business balance sheets. Finally, inward development projects do not correspond to established planning routine, established over decades to focus on preparing the ground for outward development.

Spatial models

Fig. 5

Discussions around strategies and spatial models for land-sparing, energy-efficient and socially equitable urban development grew noticeably more intense during the sustainability debate of the 1990s and 2000s. The discourse focuses on the compact city concept, its key features including centre-oriented development, higher density and mixed use.41 The compact city proponents argue that density, mixed use and compactness create good conditions for car-free mobility and public transport, thereby reducing motor vehicle dependency. It is also considered to present further

benefits for the provision of public infrastructure services, a low degree of social segregation and exclusion, and protect land dedicated to agriculture and nature.42 Advocates of the compact city refer to empirical research findings demonstrating the relevance of urban design characteristics such as density and mixed use for transport.43 All other factors remaining equal, increased density, compactness and mix of uses goes along with a decline in motor traffic and an increase in the share of journeys made on foot and by public transport. Numerous studies were further able to demonstrate that infrastructure cost per capita is lower in dense inner-city areas than in lower-density suburban and rural areas.44 Low density and the poor accessibility of employment and service locations can lead to the social exclusion of households without access to a car.45 Opponents point to the negative sideeffects of higher urban density and a lack of support in the wider population.46 High density – thus the commonly held view – has a detrimental effect on local environmental quality and quality of life and fails to meet the mainstream demand for housing with individually available free space. It is alleged that restrictive land policies create a lack of development land and contribute to rising land prices and high housing costs in areas of extreme development pressure.47 Efforts to meet the demand for urban growth from increased affluence and migration through inward development and densification alone are seen as delusional. Against this background, the suitability of the compact city as a model for the rapidly growing cities of developing and emerging countries is

39

population development

2.1 — Regional, Urban and Neighbourhood Development

increase

0

decrease time

compact city

sprawling

perforated and dissolute

Fig. 5 The “Fingerplan” is a regional development plan prepared for Copenhagen in 1947. It directed development towards “Fingers” between green belts, and thus prevented indiscrimin­ ate urban sprawl. Fig. 6  From the compact city to the dispersed, perforated urban structure of the future. Fig. 7  First certified Passiv­ haus museum buildings, Kunstmuseum Ravensburg (DE) 2013, Lederer + ­Ragnarsdóttir + Oei

Fig. 6

viewed critically. In these cases, controlled outward development seems a more appropriate way of dealing with the pressure of growth without having to accept environmental or social jeopardies. The model of Transit-Oriented Development (TOD) is much discussed internationally. Examples include the “Finger Plan” for the Copenhagen region48 (Fig. 5) and settlement structure concepts included in many German regional plans. The key concept is to develop new settlement within walkable distance of fast metropolitan public rail networks. Alongside concepts for axial development of this kind, planning for other cities within the greater vicinity of metropolitan cores (new towns) can also contribute to their relief. In the recent past, these developments often sought to deliver ambitious environmental objectives (eco-cities).49 As yet, the evaluation of these approaches seems premature. In the long term, experiences with planned new towns have not always been positive. Often, original planning ideals, such as the integrated development of self-contained cities with sufficient available employment and service could not be delivered. In summary, it must be established that there can be no universal spatial model which is equally suitable for all cities and metropolitan regions. Whereas the compact city presents an adequate response for stagnating or even shrinking cities in Europe, it seems that booming cities in Asia, Africa and Latin America had better plan for a spatially coordinated expansion. Key compact-city principles, such as good public transport access, and pedestrian-friendly urban design (walkability) can also be applied to new towns and suburban development.  STS

Design quality Urban redevelopment and regeneration can only be sustainable if interventions are not aimed at maximising a narrow objective, but form part of a balanced overall plan. Urban development ­models focused on just one aspect (e.g. the car-­ oriented city) tend to generate other shortcomings. Urban renewal geared only towards energy efficiency has in recent years caused the disfigurement of historical buildings which exert a forma­ tive effect on their neighbourhoods. The character of a neighbourhood’s design is significant for its cultural and architecturally heritage, but it also contributes to its sense of place and the extent to which residents identify with it (Fig. 7). It is also a prerequisite for quality of life. The quality of the built environment (Baukultur) constitutes a significant cultural element of a city and its parts.

48  Vejre et al. 2007 49  Joss 2010; Joss 2011

Enhancing neighbourhoods’ performance against complex sustainability metrics, such as those set out in this book, must thus also satisfy design quality criteria and not cause the destruction of built heritage or the jettisoning of design quality. Applying powerful energy-efficient external insulation to articulately sculpted historical facades (e.g. art nouveau) can destroy an ensemble’s forma­tive place-making effect. Alternative means of achieving equally reduced primary energy consumption should be examined before implementing any such measure. It may, for example, be more appropriate to install a small combined heat and power plant (CHP) to generate electricity and use excess heat for heating and warm water. Such a measure would massively reduce primary energy consumption, as conventional power plants’ cooling systems transfer around two thirds of primary Fig. 7

40

Chapter 2 — Challenges

Fig. 8 Minergie-P-ECO-­ Standard house for three families, Liebefeld (CH) 2006, Halle 58 Architekten Fig. 9  Former industrial laundry in Darmstadt (DE) Fig. 8

energy to the environment, representing a significant additional load. In the light of recent promising experiments with interior insulation, it is reasonable to expect soon to be achieveable major energy efficiencies without generating physical problems such as vapour condensation in external walls. Naturally, careful prior analysis, planning and calculations will be essential.

Further information

•  Behnisch, Martin; Kretschmer, Odette; Meinel, Gotthard (eds): Flächeninanspruchnahme in Deutschland. Auf dem Wege zu einem besseren Verständnis der Siedlungs- und Verkehrsflächen­ entwicklung. Berlin 2018 •  Bundesinstitut für Bau-, Stadt- und Raumforschung (BBSR): Trends der Siedlungsflächen­ entwicklung. Status quo und Projektion 2030. BBSR Analysen kompakt 09/2012. Bonn 2012 •  European Environment Agency (EEA): Urban sprawl in Europe. The ignored challenge. EEA Report 10/2006. Copenhagen 2006 •  OECD: Rethinking Urban Sprawl. Moving Towards Sustainable Cities. Paris 2018; www.oecd-ilibrary.org/environment/rethinking-­ urban-sprawl_9789264189881-en •  Nuissl, Henning; Siedentop, Stefan: Landscape Planning for Minimizing Land Consumption. In: Meyers, Robert A. (ed): Encyclopaedia of Sustain­ ability Science and Technology. New York et al. 2012, pp. 5758–5817 •  Rink, Dieter; Haase, Annegret: Handbuch ­Stadtkonzepte. Analysen, Diagnosen, Kritiken und Visionen. Stuttgart 2018 •  UN Habitat: State of the World’s Cities 2008/2009. Harmonious Cities. London 2008

Window replacement presents a similar problem. Delicate window frames and subdivisions are a major design element of classic modern buildings’ formally simple cubic buildings. Replacing them with large window panes and broad frames, as has often been done and continues to occur, can destroy these buildings’ appeals and render their appearance banal. Alternative constructive solutions must be found for these cases. It may make more sense to work with double windows, retaining the original construction at facade level or remaining as true as possible to the original in renewing it. In our example, the former industrial laundry building had been fitted with finely latticed single glazing, set in very slender steel T-profiles – a feature typical of 19th century industrial buildings and the design of their facades. At the time of its renewal in the late 1970s, no thermally insulated metal window profiles were available. Within the owners’ financial constraints, a detailed, thermally-­improved reconstruction of the facade seemed near impossible, as did the introduction of large-pane double windows. Accordingly, finely latticed timber windows were fitted, although these did not correspond to the industrial character of the old buildings (Fig. 9). Today’s context would allow for a different, probably aesthetically more satisfying response to this task. Once again,

this demonstrates design concepts’ dependency on the relevant economic, technical and social conditions. Other areas of urban design must also submit to the principle of regarding the issues in multiple dimensions and integrating the most diverse aspects, always giving consideration to quality in design and construction. For example, the historical street profile, urban grain and guiding prin­ ciple of building layout lending shape to the space must be reflected and integrated into the design when reconfiguring streets geared for optimum car traffic to create traffic-calmed zones or shared spaces. Naturally, consideration must also be given to other aspects, such as quality of place, improvement of urban climate, increasing biodiversity, and reducing sealed surfaces. The historical street profile, the urban grain and the guiding principle of building layout generating must be reflected and integrated into the design. The redesign must not be driven by contemporary received wisdom in relation to transport.

Technical progress It is worth considering that the funds dedicated to research into energy efficiency and energy ­saving are quite modest compared to the sums previously bestowed upon the nuclear industry. Nevertheless, we are today able to build to Passivhaus or even Plus-Energy house standards (Fig. 8). Further development is required however, especially with regard to important building

41

2.1 — Regional, Urban and Neighbourhood Development

Fig. 9

­ lements, components and systems able to e respond adequately to design requirements. Where they are available, components of this type come at a very high cost. Where an adequate solution for a given task cannot be found in the immediate time frame, it may make sense to wait and check whether ongoing development might not present a good solution (e.g. interior insulation). Our example of comparing the relative merits of external insulation or CHP demonstrates that it is necessary and sens­ ible to develop alternatives and think creatively across various sectors and dimensions, rather than single-­mindedly setting the fixed target of reduced U-values for the external building envelope. With new technical, organisational or other solutions in the pipeline, it may even make sense to delay a particular measure simply because a successful solution is not yet within reach. In future, the key point will be to no longer consider buildings individually, but to think of neighbourhoods, districts and entire cities as systems. This also means that challenges presented by an individual building can usually be solved more simply and effectively at neighbourhood level. For example, a new Plus-Energy building can supply a neighbouring, listed, historical building with regenerative local energy and thereby contribute to a balanced neighbourhood. The demands steadily grow increasingly complex. Smart Grids and accelerating technological development will present new prospects. Process-oriented thinking is particularly import­ ant, rather than the pursuit of self-contained, perfect solutions. Cities, neighbourhoods and buildings are continually in a state of flux. People,

buildings, trees – all of these grow older, whilst new things come along. Cities and neighbourhoods are never finished. Buildings, streets and public spaces grow and need to be renewed to meet new demands and needs. Hence the current debate around the concept of “resilience”, considering ways of structuring buildings or entire cities which equip them with the capacity to respond flexibly to changing parameters. For ex­ ample, walkable infrastructure channels below street level facilitate easy installation of new pipes and conduits. The conversion to sustainability must be viewed as a process of implementing various measures in different cycles, always giving due consideration to prospective technical advances. Issues of noise and particle pollution, mainly due to motor traffic, are urgently relevant today because they render neighbourhood living conditions unbearable and cause health problems. As a result, fitting soundproof windows may be indispensable and indeed a legal requirement. Electric mobility may soon solve this problem. However it may be necessary to wait until the next cycle of window replacements before doing without soundproof windows. It is important in this context to give due consideration to the possibility and cost of reversing measures implemented today, such as recyclable noise barriers.  HB

Former industrial laundry

The late 19th- early 20th-century complex in Darmstadt was acquired in 1978 by a group of ­tenants, who had previously lived and worked in the building as students. It was part-refurbished and converted to maisonette flats and offices. Major repairs to leaking roofs and the replacement of windows became necessary in 2010. In a small area of the former laundry, external brick walls’ U-values could be improved by means of external insulation. This was preceded by tests to evaluate the potential for condensation at points of contact with other building components which could not be insulated. Parts of the roof were reconstructed with softboard panels on beams and insulation ­fitted in interstices. Fairfaced brickwork of the old “Reichsformat” dimensions defines the major part of the plant. None of the owners could imagine fitting the ­brickwork with external thermal insulation. With its high chimney, the brickwork building is a ­defining feature and an important element of the previously village-like, mixed-use, socially diverse local neighbourhood. After lengthy deliberation, and drawing on specialist advice, the owners opted instead to install a gas-powered CHP plant to generate electricity and use excess heat for hot water and heating. After its successful installation, a second CHP plant was installed some years later. A positive sideeffect of this move was the contribution to social cohesion within the neighbourhood generated by the owners’ next step of ­setting up an energy company. The electricity ­generated in the CHP plant is fed into the grid as green electricity (according to the Renewable Energies Act, EEG) and contributes to the accounts of an alternative energy provider based in the southern Black Forest, which has long been dedicated to supporting local and regenerative electricity generation.

42

Chapter 2 — Action Areas

Action Area Regional, Urban and ­Neighbourhood Planning Helmut Bott, Ste fan Siedentop

T

he duty of urban planning is to develop a design which lends settlement its shape, and to organise, integrate, and facili­ tate the complex planning process. The number of professional and technical surveys and specialist plans to include and evaluate has steadily increased in recent decades. Political decision-making and public consultation are key drivers during the initial development and coordination of the planning programme. Subsequently, relevant specialists (landscape, transport, water, and energy planners) must be included in the design and planning process as soon as possible. Urban planning occurs at very diverse scales and hierarchical levels, ranging from city development planning through to the design of small ensembles. In many countries, the cross-party consensus is that the design of spatial development should be democratically legitimised by citizens and their elected parliamentary representatives. In Germany, a corresponding legal requirement is set out in the constitution: design and planning should not be left to market forces and the short-term interests of individual developers. Article 1, Section 7 of the German building code (Baugesetzbuch, BauGB) specifies an evaluative duty: “(7) Public and private interests must be fairly evaluated and balanced in the preparation of land use plans.” Article 1, Section 5 demands sustainable urban development: “(5) Land use plans should ensure a sustainable urban development which meets social, economic and environmental demands

with particular regard for future generations and secure a socially equitable land use in the general public interest. Land use plans should contribute to safeguarding an environment fit for human habitation, protect and develop natural living conditions, help protect the climate and facilitate climate adaptation in urban development, and protect and develop the quality of the built envir­ onment and the character of settlements and landscapes.” Whilst local governments must accommodate higher-level state and regional plans, they are free to make further planning decisions within the framework of the law. This planning autonomy is the result of historical tradition and experience and by no means to be taken for granted. Indeed, it is valued very highly in the German constitution. In many other nations, plans are prepared and controlled by central institutions and authorities, whereas the interests of developers and the realestate market dominate in others.  HB

Models for sustainable cities and regions Science and policy broadly agree that decisions about domestic and business locations driven by market mechanisms alone cannot deliver sustainable urban development. The use of urban and regional planning instruments to control urban growth and shrinkage processes is seen as an essential prerequisite for economically efficient, environmentally responsible and socially equit­

43

2.1 — Regional, Urban and Neighbourhood Planning

Depiction of area outlines State development plan development corridor 1983 Regional development corridor Settlement areas along development ­corridor Fig. 1

able urban and regional development. We have already referred to the compact-city paradigm to shed some light on the key goals for designing and controlling spatial development (cf. Spatial models, p. 38). Key concerns include curbing ongoing land consumption, creating pedestrian and public transport-oriented urban spaces, and protecting environmentally sensitive spaces. There is also a consensus that coordination of local development planning at the regional level (regional governance) is essential for effective growth management.1 In addition to conventional hierarchical control mechanisms, informal and cooperative approaches to public engagement and consultation are gaining significance.2 Despite different terminology – growth management3 and smart growth4 are commonly used – international development control policies are very similar in essence. Their objective is to curb the growth of the developed urban area (urban containment) and direct development towards locations suitable from a planning point of view. In Germany, the level of regional and land-use planning is given most weight, whilst state institutions control development directly in other countries. For example, US State Growth Management Programs often directly control growth,5 whereas central government Planning Policy Guidance (PPG) influences local planning in England.6 Development controls can be divided into rough categories according to their principal function (Fig. 3, p. 44).7 Positive planning instruments directly control the designation of development land. This can include regulating the quantity and specifying the location of land made available. Key positive planning tools in Germany include defining

Major centre Medium centre Minor or small centre Border of medium area

Fig. 2

central locations and development corridors and directing development towards a concentration on higherorder centres and public transport access corridors (Fig. 2). Some regional plans include quantitative limits for housing or development land for each individual municipality. This applies mainly to small rural municipalities, where growth in excess of demand from the local population and business community is considered undesirable. Many regional plans set out minimum land-use density guidelines for local planning. Density can also be addressed within local government land-use planning (e.g. in Berlin). Negative planning control aims to protect certain areas from development. These might be special habitats or biodiversity sites, groundwater protection areas, areas for agriculture or forestry, or areas with a particular effect on the microclimate. Key tools include the definition of urban growth boundaries, green belts, and environmental priority and protection areas. These are applied in different ways, as examples in the US8 and in Germany9 show. Urban growth boundaries set out the maximum extents of settlement. They surround cities’ builtup area, including open spaces as future development areas. Green belts are areas in the periphery of cities experiencing high development pressure, within which any construction work is illegal (Fig. 1). Exceptions can be made for building projects explicitly linked to open space, such as buildings for agriculture, leisure or energy. Local governments may also use negative planning, e.g. to keep certain areas free of development for urban design reasons, or in order to dedicate them to meeting leisure needs, protecting nature, or preventing pollution in land-use planning. The focus of efforts to reduce land consumption is shifting towards inward development (cf. Inward

Fig. 1  Green belts within the Stuttgart regional plan 2009 Fig. 2  Housing locations within the Stuttgart regional plan 2009

  1  Einig 2003   2  Benz 2005   3 Landis 2006; Carruthers 2002   4 Ye et al. 2005; Downs 2005   5  Carruthers 2002   6  Ganser / Williams 2007   7 Einig 2005; Siedentop 2012   8  Bengston et al. 2004   9  Domhardt et al. 2006

44

Chapter 2 — Action Area

Positive planning instruments

Negative planning instruments

Priority development area (housing)

Priority areas for new development, such as housing. Uses which preclude later use for housing are not permitted.

Quantitative measures for the ­ eclaration of building land d

The designation of development land in municipalities with insufficient jobs and infrastructure should be ­oriented towards satisfying the needs of local population. Relevant municipal­ities are given guideline or obligatory maximum quotas for housing or devel­opment land.

Minimum densities

Certain types of municipalities (e.g. according to the “central locations ­system”) are advised to fulfil min­ imum densities in designating development land. Quoted in terms of housing units or residents per ­hectare and generally for guidance only.

Regional green belts

Regional green belts are contiguous free spaces, within which building is generally prohibited. In comparison to priority areas, green belts require multifunctional protection, as no single environmental function ­provides the justification for their protection.

Green breaks

Green breaks are dividing open spaces on the immediate edge of densely populated residential areas. They are intended to ­prevent neighbouring residential areas from joining up and to protect important environmental functions.

Priority areas for open space functions

In priority areas, a defined open-space function is protected against interference from construction projects. In addition to priority areas for nature and landscape, this instrument is also used for the protection of water resources, agricultural land, climatically effective compensation areas and mineral resources.

Fig. 3

10 Bock et al. 2011; Innenministerium ­Schleswig-Holstein 2011; Bragado et al. 2001 11 Distelkamp et al. 2011 with further references 12 Pendall et al. 2002; Dawkins /Nelson 2002; Landis 2006; Pfeiffer 2005 13  Downs 2001 14  Steinacker 2003 15 Korthals Altes 2006; Levine 1999 16  Dawkins /Nelson 2002 17  Aring 2005 18 Pendall et al. 2002; Dawkins /Nelson 2002 19  Landis 2006 20  Nelson et al. 2002 21 Ogura 2010; Levine 1999 22  Jun 2004; Bae /Jun 2003 23 Siedentop 2012; Einig et al. 2011 24  Einig /Siedentop 2005

development, p. 37).10 A growing number of municipalities are attempting to use existing spare land in their area, of which they may have a great deal, for this purpose. As well as using spare land between buildings, redeveloping brownfield land is particularly important. Raising density in existing neighbourhoods can face public resistance and is therefore less significant. Naturally, the effectiveness of growth control planning is also subject to criticism.11 Generally, this centres on the view that planning constraints to growth can lead to higher land and house prices and rents.12 This can be the case especially if these strategies are implemented in high-income areas of economic growth.13 It has been proved that policies making development land scarce lead to higher new-build densities and direct new building towards core cities and town centres,14 yet in certain cases they can also lead to less new building activity in the wider region.15 These policies can also contribute to rent increases and have a negative effect on households with lower than average incomes. However, it should be noted that many other factors can raise prices far more effectively than the planning-driven scarcity of development land.16 These include consumers’ willingness to pay for housing properties or rents, which in turn depends heavily on incomes and prices expected by ­owners.17 Various sources point out that the rising cost of development land depends particularly on the way in which growth control tools are implemented.18 Prices only increase if growth control measures actually succeed in reducing the supply of development in relation to real demand.19 On the other hand, higher real-estate prices resulting

from growth management can be compensated by lower travel and energy cost and better access to jobs, infrastructure and services.20 Local or regional interventions to control growth risk shifting growth to remote areas.21 Where development land available in the core urban area has been made too scarce, instruments such as local growth moratoria, urban growth boundaries, or regional green belts can drive households and businesses towards peripheral areas with good transport access and generate an increase in land consumption for settlement and for transport.22 This leads us to conclude that positive planning instruments should be used to control growth in areas with growing economies and populations. Urban expansion around cities can only be restricted responsibly where the availability of s­ uitable alternative development land is ­guaranteed, say as part of inner city redevelopment. Stakeholders of urban and regional planning should make use of appropriate monitoring systems to continuously supervise the market availability of development land and possible price responses to restricting its supply. In Germany, the effectiveness of planning as a tool to control growth is considered to be low to moderate at best.23 In the context of prevailing land law and economic conditions, current protective standards in planning law are seen as too weak to contribute to any greater reduction in land consumption. The economic stimuli to use land for development are overwhelming in the face of weak planning controls at local and higher ­levels.24 Tax law rewards growing municipalities

45

2.1 — Regional, Urban and Neighbourhood Planning

Economy

Energy

design qua an lit rb

y

U

Emissions

Planning, Processes

Human and sociocultural issues

Transport

Fig. 4

Neighbourhood planning First and foremost, to plan sustainable neighbourhoods means to design and deliver working urban spaces and good, adaptable buildings. However, even if all of the aims and measures compiled in this book and set out by the relevant science and planning disciplines in this chapter as “action areas” were taken into account (Fig. 4), this would not automatically ensure the creation of a good neighbourhood.

Urban design quality Creating a successful neighbourhood requires a very good urban design that gives careful thought to the interplay of public open spaces (streets and

squares, gardens and parks), regular and special components and characteristic built ensembles, as well as green corridors, waterways and topography within a stimulating overall spatial context. This design must have the capacity to integrate all individual aspects, such as energy and water systems, respect for material cycles, and safeguarding urban biodiversity. This means that all of the related disciplines must be included from an early stage, in order to feed the needs and demands of their respective contributing objectives into the design and planning process. However, even diligent attention to all of the constituent aspects will not turn a poor urban design into a good one. Neighbourhoods must be welldesigned in order to be sustainable. This does not require everything to be “beautiful” and, in particular, it does not require a large number of extravagant, striking buildings. In fact the architectural quality of good buildings, successfully integrated into their context, is a prerequisite for creating an individual urban character. Regular components, which generate a certain basic order, are the foundation for neighbourhood development. The juxta­ position of extremely individualistic buildings of very different materials, colours and height makes it difficult to create a coherent and recognisable urban grain. In the end, even special buildings, often fashionably described as “iconic”, can only be identified as such against the background of regular neighbourhood components. Various structural, physical, socioeconomic and symbolic factors contribute to the character of the neighbourhood. The built spatial structure pro-

Neighbourhood climate

Protecting soil and water Material flows

with increased revenue and subsidies.25 Renouncing growth is usually equated to the (assumed) effect of shrinking tax revenue and income. As a result, regional planning efforts to restrict and control growth often meet strong opposition in local politics. In Germany, the devolution of regional planning to local governments in recent years has further weakened its effectiveness. Against this backdrop, adding economic incentives to the planning toolkit has been discussed frome some years now.26  STS

Protecting biodiversity and habitats

Fig. 3  Selected positive and negative regional planning instruments for controlling urban development Fig. 4  Sustainable neighbourhood planning is based on high urban development quality and a focus on ­people. In addition, other topics such as energy, water and mobility must be taken into account in planning and combined to form an integral overall concept.

25 Schiller/Gutsche 2009; Preuß 2009 26 Krumm 2004; Bizer et al. 2011

46

Chapter 2 — Action Area

Fig. 5  Urban collage Colin Rowe / Fred Koetter Fig. 6  Dense block ­structures in Paris (FR) Fig. 7  Different density in various urban design structures with the same amount of units Fig. 5

vides the basic framework for a pronounced neighbourhood character to develop. Generally, today’s cities are far too big to be experi­ enced as a whole. In fact, they include diverse parts from many different periods of urban development, and ideally these will each form vibrant neighbourhoods with their own life and identity. The European city in particular can be read as a “collage city” (Fig. 5)27 – a collage consisting of heterogeneous, identifiable elements of different colours and materials, which together form a new, designed and internally diverse unit. Understanding a neighbourhood’s physical dimension as an element within the collage of the entire city places it in a design relationship with adjoining neighbourhoods and the city as whole. It also grants it a degree of independence, and even requires it to be identifiably different from other neighbourhoods. This alone allows it to be recognised. 27  Rowe /Kötter 1978 28  Lynch 2001 29  Bott 2000; Bott 2004

Suitable urban design concepts can help create neighbourhood character, irrespective of the ­quality of urban spaces and buildings. In Lynch’s ­categories (cf. The Neighbourhood, pp. 21ff.), edges – including gateways – , characteristic paths, nodes, landmarks and areas of a certain of inner coherence can help generate or reinforce the character of an urban neighbourhood.28 Buildings, built objects and urban spaces can also become symbols representing the neighbourhood.

Density As mentioned above, density is in many respects a necessary criterion for sustainability. According to Article 16 of the German Land Use Code Fig. 6

(BauNVO), density is described in terms of plot footprint ratio (Grundflächenzahl GRZ), plot ratio (Geschossflächenzahl GFZ), and the number of floors. Density is a prerequisite for planning a city of short routes, where a large share of errands can be run on foot or by bike: higher-density settlement leads to higher density of demand for products and services per hectare, thereby allowing for dense businesses and services, crèches, schools and other facilities. Naturally, housing units’ size and occupation density play an important role in this context (Fig. 7). Even at high building density, the combination of very large housing units and very small household sizes makes it difficult to generate a lively neighbourhood. Of course, higher density, especially resident dens­ ity, contributes to making the public realm more vibrant, which in turn benefits the service offer (cafés, bars, restaurants, shops). Observing others in the urban public realm, making eye contact, entering into non-verbal communication, and perceiving their reaction to one’s own behaviour remains one of the most exciting activities in urban society – despite and especially because of the growing significance of the media. Recently, however, permanently monitoring social media seems to have become more important than observing the urban social environment. Up to now, there has been a notable “urban feedback” effect:29 lively streets and spaces attract observers and passers-by, thereby becoming even more vibrant. Especially pronounced amongst the young, public self-portrayal is key to forming identity and taking part in society. This is not possible

47

2.1 — Regional, Urban and Neighbourhood Planning

Ecology Culture

Ecology Efficient land use

Social context

Mixed use

Block typology Medium ground cover 60 units/ha

Terrace house typology High ground cover 60 units/ha

Tall building typology Low ground cover 60 units/ha

Individuality

Culture

Ecology Efficient land use

Social context

Mixed use Individuality

Culture

Efficient land use

Social context

Mixed use Individuality

Fig. 7

in deserted neighbourhoods where nobody passes by – spaces must be animated in order to satisfy the need for self-portrayal. Bustling neighbourhoods provide opportunities for social integration, but these are not just the inevitable result of high footfall, they also depend on a number of other factors such as individuals being personally willing and open to communicate. Lively neighbourhoods also allow for an appropriate degree of social control, which is impossible either in the intimacy of close neighbourhoods or in the emptiness of anonymity (Figs. 8 and 9, p. 48). It will remain to be seen whether the public realm will lose any of this significance to social media in the long term.

Density and mixed use In the 1960s and 1970s, housing estates were built on the urban periphery following the urban design concept of “urbanity through density”, but these have demonstrated that building density alone does not guarantee the creation of a lively neighbourhood. Without an attractive public realm which links amenities to inviting public spaces and integrates the routes and activities of daily social life, neighbourhoods cannot be filled with life. Many extremely dense housing developments in China illustrate this point: even the local playgrounds and small parks nearby are not used, if they are not tied into social life and residents’ daily routes.30 In 1965, the American architect and architec­tural theorist Christopher Alexander wrote “A City is Not a Tree”.31 His point was that urban life cannot be hierarchically and functionally organised from

the trunk through to the last leaf. A street is not just a space for transport, to be detached from its social function and design. An urban street is the very opposite of what functionalist ­urban design proposed. Interweaving and blending activities and functions, rather than ­tidily separating and sorting them, generates u ­ rban life and culture in general (Fig. 11, p. 49). This relates to all areas of life: townspeople are not either ­workers or consumers, pedestrians or motorists, ­residents or passers-by, customers of snack shops or restaurants, and they don’t ­either ­visit loud events or quietly listen to chamber ­orchestras. Every urban resident can take on many of these activities and roles, but not at the same time and usually in different locations and at different times. This very diversity of roles, functions, offers and activities constitutes the quality of urban life. The Charta of Athens envisaged splitting cities’ complex social live into its functional aspects and designing ideal part solutions for each function in turn (e.g. transport, housing, leisure). This led to many of today’s cities problems, which were soon criticised.32 Not least, separating functions and optimising each within itself leads to globally well-known transport problems. The city of total functional separation maximises both source and destination transport volume. It also generates asymmetrical traffic flows – from home to work in the morning and back in the evening – making efficient use of public transport capacity difficult and less viable. Accordingly, density and mixed use are two fundamental sustainable urban-design objectives

30  Zhou 2009 31 Alexander 1965, p. 58 – 62 32 cf. e.g. Mitscherlich 1965

48

Chapter 2 — Action Area

Land Use Code (BauNVO), Germany

Article 17, Section 1 of the Land Use Code (BauNVO) sets out upper density limits. Section 2 states: “Upper limits set out in Section 1 can be exceeded, if 1. this is required for particular urban design ­reasons. 2. excess developments are balanced by measures which ensure that general requirements for healthy living and working conditions are not impaired, effects detrimental to the envir­ onment are avoided, and transport requirements are met, and 3. if this is not opposed by other public concerns.” Under the impact of the dramatic housing shortage in German cities and the aforementioned challenging conditions for densification in existing areas, a further building area category was added in 2017. This “urban area” (MU) allows mixed use, and a higher density for housing. The maximum footprint ratio of 0.8 and plot ratio of 3.0 allows for housing within an urban mix. Land Use Code (BauNVO), Article 6a Urban Areas (1) Urban areas are dedicated to housing and serve to accommodate businesses, social, cultural and other facilities which do not substantially disturb housing use. The mix of uses need not be equal. (2) Permitted uses include 1. housing buildings, 2. retail and office buildings, 3. retail businesses, takeaway and stay-in dining, and ­hospitality businesses, 4. other businesses, 5. facilities for administrative uses and for church, culture, health, and sport uses. (3) Permissible exceptions include 1. entertainment venues, provided that they are not limited to core areas due to their use or their size 2. filling stations (4) In urban areas, or parts of urban areas, it can be determined that 1. housing uses are not permissible, or only permissible in exceptional cases, in street-facing ground floors, 2. only housing is permissible in storeys above a level determined in the development plan (Bebauungsplan) 3. a proportion or quantum of the permitted floor area determined in the development plan must be dedicated to housing, or 4. a proportion or quantum of the permitted floor area determined in the development plan must be dedicated to business.

Land use

Footprint ratio (GRZ)

Plot ratio (GFZ)

Pure housing area (WR)

0.4

1.2

General housing area (WA)

0.4

1.2

Special housing area (WB)

0.6

1.6

Village area (MD)

0.6

1.2

Mixed area (MI)

0.6

1.2

Core area (MK)

1.0

3.0

Urban area (MU)

0.8

3.0

Fig. 8

which are diametrically opposed to the post-war vision of the “orderly and airy” city. As mentioned before, building density also involves the bid to curb land consumption. In Germany, built density, i.e. “the measure of use by building”, is set out in building areas. When the German Federal Building Law (Bundes­ baugesetz BbauG) was passed in 1960, the notion of the orderly and airy city was broadly recognised. The building area categories set out in the 1962 Land Use Code (Baunutzungsverordnung BauNVO) – pure housing (WR), general housing (WA), core areas (MK), business (GE) – corres­ponded to a functionally separated city.33 In pure and general housing areas (WR, WA) and in mixed areas, the Code limited density to a plot ratio of 1.0, four or more storeys, and a footprint ratio of no more than 0.3. These upper limits to density were raised with the introduction of the 1987 Federal Building Code (Baugesetzbuch BauGB). At 1.2, plot ratios in pure and general housing areas (WR, WA) are allowed to be 20 percent higher today, whilst footprint ratios of 0.6 in mixed areas are 50 percent higher.34

The move away from land clearance – i.e. demolishing existing buildings – toward urban preservation and renewal, and the experience of dealing with existing areas led to the introduction of a new category of building area in 1990. This “area for retaining and developing housing” (WB), permits plot ratios to rise to 1.6 with footprint ratios of 0.6, and allows a density which is 30 percent higher than in mixed areas (plot ratio 1.2). The aim of curbing land consumption is indispensable for sustainability. At the same time it is true to say that density alone is not good quality. The design must allow for sufficient sunlight and ­daylight, and ensure that the high proportion of sealed ground, which can be as high as 90 percent at a footprint ratio of 0.8, does not create proble­ matic microclimatic conditions. This is hardly possible without additional roof and facade greening. Not least, ways to deal with large amounts of rainwater run-off must also be considered. Open swales are hardly feasible at such high densities. This will require elaborate underground retention facilities or adequate measures in nearby green areas.

49

2.1 — Regional, Urban and Neighbourhood Planning

Fig. 9

Fig. 10

Fig. 8  Upper limits to ­footprint ratio and plot ratio by land use according to Land Use Code (BauNVO), Article 17, Section 1 Fig. 9  Water mirror (Miroir d’Eau), Place de la Bourse, Bordeaux (FR) Fig. 10  Grasbrookpark and view to Magellan Terraces, HafenCity Hamburg (DE) Fig. 11  Overlay of various historical elements in the city, High Line Park, New York (US) Fig. 11

Here, as usual, the individual case and its specific circumstances must be analysed and taken into account. Certainly, the demand for very dense building is greater in conurbations than on the urban periphery or in rural areas. On the other hand, the microclimate is more manageable in windy coastal areas on hilltops than in constrained areas such as the Rhine Valley or the Stuttgart “cauldron”. High-density neighbourhoods near a large park or green area benefit from better microclimatic conditions than those without these amenities on offer. In the end, the social and urban design context and the quality of the design itself are key factors. Density is more defensible in the shape of perimeter blocks with calm inner courtyards than in free standing solitaire buildings surrounded by traffic on all sides. Density is perceived as more appealing in residential settings which allow the home and its associated open spaces (terraces, loggias, balconies) some privacy, rather than directly exposing the home to views from heavily trafficked public spaces and allowing private open spaces to be disturbed.  HB

Further information

•  Bock, Stephanie; Libbe, Jens; Hinzen, Ajo (eds): Nachhaltiges Flächenmanagement. Ein Handbuch für die Praxis. Deutsches Institut für Urbanistik GmbH (Difu). Berlin 2011 •  Innenministerium, Schleswig-Holstein: Qualitätvolle Innenentwicklung. Eine Arbeitshilfe für Kommunen. Kiel 2010 •  Krumm, Raimund: Nachhaltigkeitskonforme Flächennutzungspolitik. Ökonomische Steue­ rungsinstrumente und deren gesellschaftliche Akzeptanz. In: IAW Forschungsbericht. Tübingen 2004 •  OECD: Compact City Policies. A Comparative Assessment. Paris 2012

33 For more information on the origin and development of German building and planning law, see the short summary of the Academy for Spatial Research and Planning / Leibniz Forum for Spatial Sciences, www.arl-net.de/en/ commin/deutschlandgermany/11-diegeschichte-des-baurechts-0 34  Boeddinghaus, 2005

C H A P TE R 2

Challenges and Action Areas

2.2

Processes and Participation

51

2.2 — Processes and Participation

Challenges Processes and Participation Ro l f Messerschmidt, Andreas von Zadow

C

urrent challenges in developing inner cities, in restructuring and shrinking cities, and in large-scale urban development have led to increasing demands being placed on city and neighbourhood planning procedures. Taking local and regional material cycles into account, measures to protect the climate and to develop mobility concepts are gaining importance. At the same time, sociocultural trends such as demographic change, changing social structures and new forms of civic involvement must be taken into account. Setting up adequately structured, integrated planning and implementation processes to deal with this high degree of complexity and the necessary and important participation of many stakeholders presents city and neighbourhood planning with a major challenge. As a result, the organisation of the planning process always also defines the quality of its result.

Integrated planning It is essential to engage the relevant specialist planners and experts in an integrated planning process from the outset in order to develop and deliver ambitious neighbourhood plans, for example in terms of energy or transport (Fig. 1, p. 52).1 This requires experts to be appointed, and budgets for fees to be provided from an early stage. Appropriate processes are required in order to take the varied interplay of planning disciplines

and knowledge into account in concept development. Synergies can be achieved by mutually integrating the individual disciplines’ technical concepts and tying them in with classic urban design throughout the planning process. This approach can help implement holistic neighbourhood planning and development and meet the requirements of economic sustainability, for example through mixed-use neighbourhoods, public spaces and multifunctional buildings. Standard linear planning processes, which address one planning discipline after the other, usually fail to provide this essential degree of integration. Sustainable urban and neighbourhood development requires long-term thinking. For example, environmental measures can prove financially viable when subjected to a long-term economic assessment (life-cycle costing) – even when their initial cost is high. This calls for the most comprehensive possible consideration of neighbourhood life cycles, from planning, delivery and use through to further development and restructuring at a later stage. Resident participation models should be considered at an early stage and residents should be able to take part in defining project objectives. The quality of the planning process in the early stages, especially when the neighbourhood’s functional urban design concept is defined, lays the foundation for the neighbourhood to function in the best possible way and for residents to engage constructively in using it.

1 Gaffron /Huismans / Skala 2005; DGNB 2012

52

Chapter 2 — Challenges

interest groups, general public

administration, government

integrated planning

project developers, land owners

planners, experts

Fig. 2

Fig. 1

2  Scholz /Selle 1996 3  Selle 2000

Further information

•  Campion, Charles: 20|20 Visions – Collaborative Planning and Placemaking. London 2018 •  Blundell Jones, Peter; Petrescu, Doina; Till, ­Jeremy (eds): Architecture and Participation. ­London / New York 2005 •  Ministerium für Städtebau und Wohnen, Kultur und Sport des Landes NRW: Neue Formen der Kommunikation und Kooperation im Städtebau. Bausteine Nr. 23. Düsseldorf 2001 •  Rösener, Britta; Selle, Klaus (eds): Kommunika­ tion gestalten. Beispiele und Erfahrungen aus der Praxis für die Praxis. Kommunikation im Planungs­ prozess, Bd. 3. Dortmund 2005 • www.akbw.de/recht/vergabe-und-wettbewerb

Public participation

Participation processes

Often the legally required public consultation processes, such as those required in Germany, are primarily aimed at providing development plans with a degree of legitimacy and fulfilling a corrective democratic function. However, these processes do not provide stakeholders with ad­equate opportunities to take an active part in the planning process.2 The legally required processes tend to offer yes/ no decisions about the direction of further planning. Often, this creates conflict which can undermine collaboration and co-operation between stakeholders, experts, planning authorities and affected parties. Instead of working together to find the best solution, the interested parties adopt opposing positions. This generates winners and losers, a dynamic which can have a long-lasting negative effect on the way in which plans are perceived and implemented. These effects have led to a growing frustration that the legal instruments do not sufficiently support competent debate or help find plausible solutions. In Germany, major projects such as the Stuttgart 21 railway project and Berlin-Brandenburg Airport have reopened the search by both politicians and citizens for more purposeful participation processes. At the same time, major media interest in this issue, and the opportunities provided by new media and communication channels provide an increasingly wide range of tools for sustainable planning.

The challenge therefore is to create a planning process, which is highly communicative for all involved parties and which truly focusses on exchanging information, generating creative solutions and building consensus. This is the best way to achieve truly integrated solutions and plans which people will find most plausible and which achieve the greatest possible acceptance with regards to planning objectives. This serves specifically to qualify plans, gain support for them, and reduce risks to their implementation. The aim is to find and develop win-win situations which benefit as many different stakeholders as possible.3 There are no blueprints for this, given that ­methods have to be adapted to the situation. Encouraging experiences demonstrate that this challenge can realistically be met. Mediating facilitation and a “neutral” planning team have a special role to play in implementing creative and cooperative processes. To a far greater extent than in the legally required processes, their role is to establish and promote a broad exchange between all involved parties.4 In order to discuss new approaches to solutions in an open-ended development situation, the involved stakeholders’ ideas and the principles of parties involved must first be accepted, but also regularly challenged throughout the further process. The actual ­practical challenge is to create a truly creative and

53

2.2 — Processes and Participation

Fig. 4

Fig. 3

transparent process which ensures that participants respect each other and accept the objective foundations, and which delivers goals and ­gene­rates new coalitions to implement the project. This is the only way to achieve high process ­quality. Traditional competitive processes do not fulfil these requirements. The single-stage design competition is universally recognised as a tool for quality assurance, but it does not allow involved parties to take an active part in the planning process. Phased competitions with several stages are a step in the right direction: they promote dialogue, if not actual collaboration. Enduring sustainable neighbourhoods and planning concepts require processes which are creative, constructive and enhance collaboration. In a purely technical context, these might include design charrettes, or community planning workshops where public collaboration is intended.5 Indeed, it may make sense to combine various types of collaborative and competitive processes to arrive at the best possible outcome.6 Projects’ sustainability goals must be embedded throughout the entire decision-making process from competition brief to their implementation in detail. This means that both planning teams and decision-making bodies must be supported by the necessary experts and specialists. This is particularly true for sustainable plans pursu­ ing specific innovative goals which break new ground within their geographical setting or which

are new to the parties involved. Projects of this type often take on the character of pioneer projects, because this allows for technically, organ­ isationally, or socially more experimental implementation in practice. Truly novel concepts of this kind face significantly greater demands and hurdles than tried and tested plans and developments. This makes it necessary to deal with greater complexity, more stakeholders and a greater need for coordination. It requires many stakeholders to be more willing to take risks, even in financial and political terms. Building on these “shifting sands” requires much more thorough preparation, very prudent implementation, and the support of a broad project alliance.7 For these reasons, it is true to say that excellent processes provide the key to delivering sustainable neighbourhoods.

Fig. 1  Working together in integrated planning process Fig. 2  Facilitated planning workshops allow experts and affected residents to engage in dialogue and exchange ideas focused on the spe­ cific project, St Clement’s Hospital, London (GB) 2012 Figs. 3, 4  Open planning workshop on urban develop­ ment as part of creating an integrated urban develop­ ment concept (ISEK), Markt­ oberdorf

4 von Zadow 1997; Wates 2008 5  Ley/ Weitz 2009 6  von Zadow 2009 7 Thompson  /von Zadow 2009, p. 48

54

Chapter 2 — Action Areas

Action Area Processes and Participation Rolf Mes s ers chmidt, Andreas von Zadow

T

he key factor in delivering sustainable urban neighbourhoods is process quality. The planning process can be improved by including partic­i­ pation models, concept development processes and a combined project and sustainability management. Supported by neighbourhood management, this can also lay the foundation for using an urban neighbourhood and increasing its value in the long term. The process of developing and using a neighbourhood begins with planning and developing the project, followed by completing the infrastructure, buildings and open spaces. After all this, urban neighbourhoods enter a long period of use, changing and maturing before entering into a process of regeneration and recycling. The cycle of project development and planning then starts over again, with the interventions that are required at that time giving it a new direction. It makes sense to assess neighbourhoods’ life cycles throughout a long period of use in order to come close to the objective of holistic, long-term sustainability in urban neighbourhoods. (Fig. 1).

Planning procedures The way in which the process of planning an urban neighbourhood is organised and how it actually runs its course offers the key to the quality of its design, delivery and subsequent use. This process

begins when the project is initialised and goes on to include the master plan or urban design, urban land-use planning, as well as access and infrastructure plans. A holistic approach to neighbourhood development must ensure that the relevant sustainability issues are given consideration when each of these steps is organised and prepared. (Fig. 3, p. 56). Sustainability must be taken into account in defining project objectives from the outset, and this must be supported by appropriate preliminary studies and expert opinions. An analysis of local opportunities and constraints, particularly in terms of sustainability, must be added to the general land use, urban development and framework plans for the development site. Amongst other issues, this additional analysis must consider u ­ rban climate systems, habitat networks and the existing local energy supply potential. Early engagement with all stakeholders and coordinating goals shared by property owners, investors, elected councillors and municipal planning departments as well as interested citizens, allows for the ­development of an integrated planning process which is specifically tailored to suit the project in question. The neighbourhood’s functional urban design concept is particularly important. It sets out the project’s future use, design and the basic approach to sustainability approach, thereby laying the foundation for quality of life in the neighbourhood, for its environmental impact and for the way in which residents and users take ownership of it. Because of its major significance for the later project, it is beneficial to make use of competitive and collaborative planning processes to generate

55

2.2 — Processes and Participation

need for action

transformation and ageing

operation and maintenance

implementation process

defining project objectives

framework planning process

draft design / access and infrastructure plans

Fig. 1

the functional urban design concept1 (see Par­ ticipation processes, p. 52f ). Given that the key planning decisions with a major effect on economic, environmental and sociocultural aspects are taken at this early stage of planning, it is essential to form an interdisciplinary planning team and start working together from the very beginning in order to generate a sustainable neighbourhood plan (Fig. 3, p. 56). This is also why all relevant local specialists and experts must be involved in the project.2 It is absolutely crucial not only to develop highly qualified specialist plans, e.g. for energy or transport, but to tie these in with classic urban design in order to take a holistic approach to planning and delivering the neighbourhood. For example, a particularly energy-efficient building structure can integrate water treatment measures into attractive open spaces for use by residents, whilst exploiting the energy potential in wastewater treatment. Often, only this process of integrating and knitting together the different specialist plans can generate the synergies needed to make meeting sustainability goals viable through mixed-use open spaces and buildings, especially in dense inner-city settings. This requires the draft design and parts of access and infrastructure plans – transport, open space, supply and waste technology – to be brought forward and developed alongside the urban design concept. These interlocking urban design, access and infrastructure plans then provide the basis for urban land-use planning, which must also begin early. The work required to integrate these plans can only be accomplished efficiently by adopting a parallel, integrated planning approach instead of classical sequential planning procedure

(Fig. 4, p. 56 and Fig. 1, p. 52). Special attention must be paid to interfaces between disciplines in designing access and infrastructure plans. This is because an attractive streetscape including street trees, pavement changes and drainage channels can only be achieved when highway, open space and drainage planning are closely coordinated (Fig. 2). Access and infrastructure plans can be completed after the legal planning frameworks and the development plan have been approved, but particular attention must be given to specifying resource-efficient infrastructure materials and construction details, and a sustainable construction process.

Fig. 1  Integrated planning ­process Fig. 2  Streetscape including integrated neighbourhood drainage

1  DGNB 2012 2 Gaffron / Huismans /Skala 2005; DGNB 2012

Land-use planning, urban design and early access and infrastructure planning must be closely co­ord­ inated for planning framework approval. Public stakeholders should be consulted, and environmental reports prepared as soon as possible, in order to include issues such as protecting nature or decontaminating sites from the outset in planning the neighbourhood. Where possible, it is advisable to embed measures required for sustainability in legally binding planning conditions. Further measures can be embedded in urban development contracts and private law, such as land purchase contracts. (cf. Implementation Strategies, pp. 168ff.). Sustainability should also be included in marketing and constructing buildings. Bringing the project to the market must also create the framework conditions to deliver all of the components planned in the neighbourhood. This can be achieved by providing opportunities to purchase land to create multigenerational housing, smallscale mixed-use projects, or projects for client

Fig. 2

56

Chapter 2 — Action Areas

scope of influence preliminary research

initial design

design and planning control

detail design

tendering

start

cost of change construction

completion pre-certification

Fig. 3

analysis

urban design

development plan

specialist plans

public interest stakeholders

linear planning process public engagement analysis

urban design development plan specialist plans public interest stakeholders

integrated planning process Fig. 4 3  DGNB 2012 4  DGNB 2012

Fig. 3  Capacity to influence project sustainability: the later the change to planning, the more costly its imple­ mentation Fig. 4  Comparison of vari­ ous planning processes: ­linear planning processes generally require more time. Integrated cross-cutting communication can consid­ erably accelerate planning results Fig. 5  Comparing competi­ tions with consensus-orien­ tated /collaborative planning

groups of different sizes.3 From the point of view of sustainability, focus group-oriented marketing helps ensure that infrastructure is delivered quickly and rapidly put to use. On the other hand, marketing should present sustainability as an integral component of the neighbourhood’s mission and image. In addition to traditional public relations work, this can also be achieved by a design and sustainability handbook. Ideally, project management should accompany the entire process. The classic tasks such as quality assurance, controlling timelines and cost are particularly important in complex neighbourhood developments, but project management should also include managing sustainability by navigating and coordinating the integrated planning process throughout all of the design and delivery stages. Neighbourhood Sustainability Certification tools and other planning instruments should support this process.

Concept development process Concept development processes are important in all planning stages but choosing the neigh­ bourhood’s functional urban-design concept is particularly important. For this reason, competitive and collaborative planning processes should be used to generate the functional urban-design concept. These provide opportunities to explore alternative development options and to bring in local knowledge in order to improve design ­concepts step by step, particularly in terms of sustainability.4 Phased processes provide particularly good opportunities for dealing with the inherent com­ plexity of sustainable development, and for approaching issues on different levels, e.g. through expert panels, interim presentations, or partially public workshops which can draw on in-depth knowledge of the locality and sustainability. Processes of this kind offer opportunities to actively engage residents and representatives as the planning process goes ahead. Phased processes also allow new findings and requirements to be included and taken into account, even after planning has begun. Along with this phasing, it is crucial that processes for sustainable projects support inter­ disciplinary work. This means that sustainability, and the criteria relating to it, must already be written into competition briefs, and that

57

2.2 — Processes and Participation

public engagement

preparation, call for entries

urban design competition

judging

prize award, further design development

community planning workshop, developing ideas

planners, experts

integrated vision, development plan

implementation

competitive process

preparing, calling for entries, team briefing

architecture / landscape design competition

consense-driven / collaborative process Fig. 5

­ rban designers, landscape planners, transport u planners and energy experts must work together in groups to complete the planning task. Specialist planners from the relevant disciplines should first examine technical plans submitted with the projects in depth, and then go on to support the judging panel as experts – or better still, be given a vote as members of the jury. This is the only way to ensure that sustainability is given adequate weight in the decision-making process. When the winner of a competition is picked, it is particularly important to commission the entire team including all of the specialist planners ­involved in the chosen project, and the competition brief should include a corresponding commitment.5 Sometimes, clients may not be able to define their goals or the tasks needed in sufficient detail for a competition brief. In these cases, clients may go for a formal collaborative process. The key point of these processes is that they offer stakeholders opportunities to discuss goals and tasks step by step, for example in design workshops. For this to succeed, all parties taking part must be provided with the same information.6 Collaborative planning processes have various advantages in terms of sustainability. For ex­­ ample, they can get residents actively and intensively engaged in urban design. The creative debate generates more social and ecological ideas, whilst associated events can also support marketing and public relations and help recruit buyers and tenants at an early stage. Sometimes, the quality and diversity of results is questioned when collaborative processes of this kind are chosen, but these points can be guaranteed by ensuring

that specialist planners, civic administrations, residents, stakeholders, experts and local politicians are involved. Processes explicitly aimed at reaching consensus are particularly suitable for developing sustain­able urban districts. This makes special interdiscip­ linary workshops such as charrettes particularly interesting. A charrette is an intensive design workshop which often lasts several days and which concludes with the presentation of results. Charrettes get planning teams, clients, local governments and other stakeholders involved through constant coordination and interim presentations. The charrette combines individual work and teamwork on-site, and thereby encourages good interdisciplinary collaboration and getting to know the location and local conditions in depth (Fig. 6, p. 58). Developing different scenario plans is important in order to explore the scope for action offered by alternative designs.7 The qualities linked to the alternative designs can then be examined and discussed. The aim is to develop scenarios, specialist concepts and sustainability approaches which are truly different, rather than simply generating alternative building layouts8 or access routes, to mention just one specialist area. The key point in all sustainable planning processes is that the plans they produce are not the end of planning, but that they remain open to development. This means that plans must be able to respond flexibly to new findings and needs. To do this, they must offer later development stages enough room to manoeuvre.

5  BMVBS 2013: RPW 6 ibid. 7  Albers 1996 8  Müller-Ibold 1997

58

Chapter 2 — Action Areas

3 – 6 months preparation and analysis

1 week public events

1 month reporting results

3 – 9 months masterplanning

competitions and delivery

support team (s) s

s

s

s

s

s project

kick-off, starting work

community planning workshop

vision and presentation

detailing masterplan

report

exhibition

project

project ud

ud

ud

ud

ud

ud

urban design steering group (ud) Fig. 6

Fig. 6  Typical planning ­process including Communi­ ty Planning Workshop Fig. 7  Lively public realm, even before completion, Carlsberg, Copenhagen (DK) Fig. 8  Selecting the concept development process and the effect it has on the result­ ing plan and its delivera­bility. Thanks to their broad communication approach and consensus-orientated nature, Charrette and Com­ munity Planning Workshops produce more deliverable results than competitions.

Participation and consultation What use is even the most grandiose sustainability plan on paper if it is abandoned in the face of practical or political realities? How much effort has gone into picking competition-winning entries that were never built? The particular challenge for professional sustainable-neighbourhood design procedures is to lock a broad agreement on goals and frameworks in to the actual urban planning process. Many examples show that more complex projects can only be completed when open and transparent collaboration succeeds in reducing the lack of information, and in overcoming an unnecessary lack of trust or even confrontational thinking. High quality, sustainable, and deliverable results only come about when a wide range of stakeholders join forces to do the groundwork together. This saves time and resources and stops projects going wrong. Bad examples such as Stuttgart 21, Berlin-­ Brandenburg Airport, or Istanbul’s Taksim Square have gained worldwide notoriety. But even small projects can fail when expectations collide with reality. Provided it is done with the right attitude, partici­ pation is the key instrument to contribute to the success of sustainable neighbourhood planning. This is especially true for truly innovative tasks – pioneer projects which are new to those involved, and which present them with new challenges and entrepreneurial risks. The key is to set up a creative process which constructively captures the full

Fig. 7

range of available knowledge, engaging experts and planners as well as decision makers including owners, investors, operators, public interest organisations, and specialist administrative units. Special interest groups, affected parties and the general public must be also be appropriately consulted and, ideally, won over as contributors to the project. Depending on the task at hand, a range of concept development processes with different strengths and weaknesses can be used in different ways. The traditional design competition offers least in terms of participation and communication. (Fig. 5, p. 57). Its strength lies in generating a large number of design alternatives, most of which remain theoretical. Even phased competitions including discursive and collaborative workshops allow for much more cross-cutting communication, thus making it more likely that results can be implemented. Charrettes on the other hand, rely on maximum collaboration between all of the parties involved in the development from the outset. This allows participants to go into much more depth and makes the sustainable neighbourhood development plan significantly more plausible and feasible even at the concept stage. The charrette condenses initial ideas at a very early stage in the collaborative work and boils the number of possible options down to a small number of very deliverable scenarios. Finally, Community Planning Workshops use the strengths of the Charrette, adding further building blocks for consensus-oriented community participation. As a result, they are best suited to mobilise maximum political support and promote rapid approval (Fig. 6).

59

2.2 — Processes and Participation

community planning workshop

charrette

single stage competition

phased competition

Deliverability [%]

100

Current practice in fulfilling legal requirements for public consultation (in Germany: acc. to § 3 BauGB) tends to include debates, hearings, statements, assessment procedures and public presentations, but generally does not help promote cooperation and understanding, build consensus, support the creative search for integrated neighbourhood planning solutions in terms of better planning quality, lower risk, increase support for the project, or even help generate win-win situations. In fact, the measures mentioned are ­primarily aimed at providing a degree of legit­ imacy and fulfilling a corrective function. According to § 3 BauGB, they are often used at a point when important planning decisions have already been made, so that they end up trying to solve conflicts when things have gone wrong. Mediating facilitators and a “neutral” planning team fulfil a key role in implementing creative and collaborative procedures. Their task is to ensure that the players engage openly, to overcome hierarchies, promote the flow of infor­ mation, and make proposals more deliverable. These steps should help put the debate on a level footing, resolve or soften positions where they have become hardened, overcome entrenched ways of thinking and cross boundaries where necessary. In exploring and discussing new approaches, it is important to accept where the different parties involved are coming from, but also to repeatedly challenge assumptions. Putting this attitude into practice throughout the process allows new solutions to come about. Accompanied by supporting activities, the approaches to participation described above can

stimulate communication, increase transparency and promote a creative discourse. This can be done in different ways: •• Setting up a project website, Facebook page and/or Twitter feed •• Organising themed working groups and information events •• Conducting surveys, opinion polls •• Producing internal project journals, news­ letters or even household leafleting •• Organising local exhibitions, roadshows •• Visualising basic information, analysis, concepts, plans and views to illustrate and communicate urban design, social, economic and sustainability issues •• Working locally on-site, in order to create quick access and insight It is important to emphasise that these and similar activities can only be effective in the context of facilitated processes and that they are not sufficient in themselves.

deliverability

performance level

sustainability level

local knowledge

interdisciplinary team

consense-orientation

communication outreach

Fig. 8

resident engagement

brief

0

Further information

•  Duijvestein, Kees: Building and Environment. Thinking in Systems, Designing in Variants. TU Delft, 1995 •  Duijvestein, Kees: The Environmental Maxi­ misation Method. In: De Jonge, Taeke M.; Van der Voordt, D. J. M. (eds): Ways to Study and Research Urban, Architectural and Technical Design. TU Delft, 2002 •  Gaffron, Philine; Huismans, Gé; Skala, Franz (eds): Ecocity Book 1. A Better Place to Live. ­Hamburg/Utrecht/Vienna 2005 •  Gaffron, Philine; Huismans, Gé; Skala, Franz (eds): Ecocity Book 2. How to make it happen. Hamburg/Utrecht/Vienna 2008 •  Löhnert, Günter; Dalkowski, Andreas; Römmling, Uwe: sol·id·ar Planungswerkstatt Berlin. Integrale Planung. Zusammenhänge – Zielkonflikte – ­Meilensteine. In: XIA Intelligente Architektur 09/2011 •  Messerschmidt, Rolf: NetzWerkZeug Nach­ haltige Stadtentwicklung/Anwendung Karlsruhe ­Südost. In: Wohnbund Informationen 01/2003 •  Thompson, John; von Zadow, Andreas (2009): Stadtentwicklung ist eine Gemeinschaftsleistung. In: Wolfgang Christ (ed): Access for All. Zugänge zur gebauten Umwelt. Basel / Boston / Berlin 2009 •  von Zadow, Andreas: Perspektivenwerkstatt. Hintergründe und Handhabung des Community Planning. Berlin 1997/2007 •  von Zadow, Andreas: Konzertierte Aktionen für einen integrativen Stadtumbau. In: Salzburger Institut für Raumordnung & Wohnen: Stadt im Umbau. Neue urbane Horizonte. Tagungsband zum Symposium. Salzburg 2009 • www.communityplanning.net • http://cordis.europa.eu/easw/home.html • www.bbsr.bund.de/BBSR/DE/FP/ExWoSt/ Forschungsfelder/2004undFrueher/3stadt2/05_ Veroeffentlichungen.html • www.perspektivenwerkstatt.de • www.werkstatt-stadt.de

C H A P TE R 2

Challenges and Action Areas

2 .3

Communities and Sociocultural Issues

61

2.3 — Communities and Sociocultural Issues

Challenges Social Fabric Ti l m an Harlander

I

n the light of challenges posed by demographic change, the tasks of integration presented by growing migration flows, increasing economic imbalances, and the widening gap between rich and poor, social urban and neighbourhood policy has become particularly important in European cities.1 The “Leipzig Charta on Sustainable European Cities” was adopted in May 2007 and is currently being updated. In it, the relevant EU ministers emphasised that economic, ecological and social dimensions of sustainability should be taken into account “simultaneously and equally”.2 Social cohesion and the requirement for social redistribution in particular, are proving increasingly difficult to achieve, especially in peripheral European countries, but also in disadvantaged regions and neighbourhoods within Germany. However, as in the other welfare states of central and northern Europe, poverty, exclusion and segregation are (still) comparatively low in Germany.

Social and economic change As yet, it is not possible to fully assess the longterm social and socio-spatial effects of the current transition from an industrial society to a know­ ledge and information society. Changing, often precarious employment relationships and patchwork biographies are replacing full employment and industrial society’s traditional employment biographies following the “no long term” motto.3 These new uncertainties also affect the German middle classes – social decline and class relegation

“are no longer marginal and exceptional pheno­ mena, but can be widely observed, increa­singly often affecting members of the ­middle class”.4 Social and economic structural change pro­gresses very differently throughout the regions. Areas of growth and shrinkage or stagnation currently present extremely divergent dynamics and problems. Whilst cities in heavily deindustrialised regions such as former East Germany, the Ruhr or Saar regions struggle with declining populations and high vacancy rates, cities in growth regions experience the settlement pressures, land shortages and booming housing markets typical of the opposite value dynamics. In particular, the ongoing real estate boom and the associated rapid rent and purchase price increases have become a key challenge for social policy and housing p ­ olicy, affecting not only growth centres but also medium-­ sized and university cities.5 This background does not allow for the implementation of uniform urban development and neighbourhood policies. In socio-spatial terms,6 the transition to an information and knowledge society does not lead to decentralisation and dispersal, or to cities generally losing significance, as had initially been widely expected. Conversely, there is much to suggest that genuine urban locational advantages are ­currently experiencing a new, economically ­justified appreciation and significance. After decades of suburbanisation, the view is that western industrialised countries are experiencing an impressive “urban turnaround” and an increasingly clear “development of a new form of urban centrality and a new urban attractiveness”.7 The view is that the so-called creative class,8 i.e. those active in the field of know­ledge-based and culture-­ based services such as software developers, media ­people, scientists and their environment, are par-

1  BBSR 2017a; WBGU 2016 2  BBSR 2017b 3  Sennett 1998 4 Conze 2009, p. 933; Nachtwey 2016 5  von Einem 2016a 6  Cairncross 1997 7  Läpple 2008, p. 25 8  Florida 2002

62

Chapter 2 — Challenges

 9 The 13th coordinated ­population projection is currently in use 10  Simon-Philipp 2017 11 Dömer / Drexler / Schultz-Granberg 2016; ­SLR 04/17 12 Leibniz-Institut für ökologische Raumentwicklung 2011 13  Kuhn 2010 14  Beck 1994

ticularly dependent on the socio-spatial density of the “privileged innovation field” which innercity districts with diverse urban milieus provide, and that they thus create new urban concentrations.

Demographic change Germans are becoming fewer. Due to the last 45 years of ongoing low birth rates (currently around 1.5 children per adult female rather than the 2.1 required to simply replace the parent generation) the federal statistical office’s population projections9 expect a long-term nationwide decline, albeit at rates which vary considerably regionally and over time. However, all such forecasts were rendered obsolete due to completely unexpected immigration gains from around 2010. In the context of eastern European states’ accession to the EU, immigration was mainly driven by southern and eastern Europeans until 2014/15, when the proportion of refugees rapidly increased. Overall, the balance of migration accounted for a population growth of around 1.1 million in 2015 and around 0.75 million in 2016. Economically strong major cities are growing especially rapidly and must prepare for ongoing population growth. For example, Stuttgart gained around 43,000 residents between 2010 and 2016.10 However, there is no way that building new homes can keep pace. The change of direction which is so urgently needed, especially to deliver affordable new housing, is more difficult now than in previous housing crises. The lack of suitable development land is proving the main bottleneck – hardly any municipalities

adopted far-sighted land-use planning and land banking policies for moderate expansion in periods of stagnation and shrinkage.11 Housing market demand can be expected to remain high even in the event of future significant declines in immigration, simply because household sizes are expected to continue shrinking. According to a study published by the Leibniz Institute of Ecological Urban and Regional Development12 in 2011, it seems that a very considerable increase in new construction will be necessary in Baden-Württemberg during the period up to 2030 in order to account for further components of demand, such as rising home ownership, ageing, and increasing living space. All the more so as the general immigration boom since 2010, after previous stagnation and a long decline, has also led to considerable population growth in Baden-Württemberg again (Fig. 1). Even more importantly, qualitative changes arising from social change and shrinking household sizes (to an average of only about two persons in Germany) present major challenges for socially sustainable neighbourhood policy. Instead of traditional classic family households, typical urban households are now one- and two-person households, which account for 75 to 80 percent of households in large cities.13 Ongoing growth in the number of singles, single parents, (non-)marital partnerships with or without children, shared flats and the like has led to a plurality of household types, each with its own demands for housing and the urban environment. The causes for this trend are complex and stem from longer education ­periods, the declining status of marriage and rising divorce rates, a general shift in values and, not least, rising life expectancy. This process of plur­ alisation is promoted, accompanied and meshed with a growing individualisation, and different groups’ pursuit of increasingly diverse lifestyles which follows in its wake.14

63

Individuals (1’000)

2.3 — Communities and Sociocultural Issues

Balance of inward / outward migration

220

Balance of births / deaths

200 180 160 140 120 100 80 60 40 20 0 2015

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005

2004

2003

2002

2001

2000

1999

1998

1997

1996

1995

1994

1993

1992

1991

1990

-20

Fig. 1  Birth and migration rates in Baden-Württemberg 1990 –2015 Fig. 2  People in need of care in Germany, by age 1999, 2013 und 2030

Fig. 1

We are getting older – many planners and local politicians see ageing as one of the greatest challenges of demographic change in terms of urban and neighbourhood development policy. 15 In fact, demographic ageing, i.e. increasing older populations and decreasing younger populations (usually expressed in terms of the so-called oldage dependency ratio), not only makes social security systems dangerously unbalanced, but also presents the Herculean challenges of adapting housing stock to meet the needs of the elderly and coping with rising care costs (Fig. 2). According to the federal statistical office’s projections, life expect­ancy is expected to rise significantly (by six to seven years) by 2060, whilst the number of very old people over 80 years is expected to more than double (from currently around 4.8 million to around ten million). Thus the number of people in need of care is increasing immensely, whereas the willingness to accept traditional care home accommodation continues to decline. At the same time, the capacity of family networks, until now the main care providers, continues to decline.

Local governments face completely new quantitative and qualitative challenges in integrating asylum seekers looking for safety (442,000 asylum applications in 2015, 722,000 in 2016). The task of integration certainly begins with a concern for shelter and securing a basic livelihood. However, the focus soon shifts to the triple challenges of integrating into the labour market; providing educational opportunities, fostering cultural participation and language skills; and providing housing which offers not only adequate living space in the narrow sense, but also integration into the surrounding neighbourhood. Ideally, these processes interlock and support each other. Integration is a complex process which, even at best, involves one or two generations undergoing completely different phases.

We are becoming “more colourful” – the successful integration of immigrants has become one of the central challenges and future tasks for urban and social policy, not least due to the influx of refugees since 2015 and the associated political controversies. Today, around 22.6 percent of the German population – about 18.6 million people – have a migrant background, whilst almost nine million of them are foreigners and do not have a German passport.16 Germany has long become a country of immigration, a fact which has been legally recognised through the 2000 reform of citizenship law, and the 2005 Immigration Act. In practice, cities and neighbourhoods play a key role in integration policy.17

It was not just the view to neighbouring countries, such as France’s burning banlieues in 2005 and 2007, and the unrest in England in 2011 which led to previously inconceivable concern about social cohesion in cities and the much-cited drifting apart of urban societies, even in Germany.18 OECD studies and the federal government’s “Poverty and Wealth Reports”19 confirm that Germany too is now seeing the widening income and wealth gap between rich and poor reflected in socio-­ spatial conditions which can no longer be overlooked.

3 495 000

2 626 000 2 016 000 299 000

420 000 1 308 000 1 022 000

715 000 732 000

852 000

406 000

453 000

439 000

1999

2013

2030

596 000

90 and older 80 up to less than 90 years of age Fig. 2

Social cohesion – segregation

In extreme cases, currently rapidly growing, more or less enclosed enclaves of luxury urban housing

897 000

15  Harlander 2010 16 Statistisches Bundesamt, press release No. 261, 01.08.2017 17  Gesemann / Roth 2009 18  Stadtbauwelt 196/2012 19 Bundesministerium für Arbeit und Soziales 2017

65 up to less than 80 years of age less than 65 years of age

64

Chapter 2 — Challenges

face socially uniform “overstretched” neighbourhoods of large 1960s and 1970s housing estates and unrestored, neglected old building stock. The presence of actual “gated communities”, such as Aachen’s Barbarossapark, is negligible in Germany. Unlike the US, China, South America, South Africa or the eastern European transformation states, extensive closed residential complexes are not compatible with German tradition either in terms of housing culture or planning law, and have so far hardly been in demand. But as in some of its European neighbours, Germany is also seeing an increase in new, often largely socially homogeneous forms of housing which are closed off by means of architecture and urban design (Fig. 3).

Fig. 3

20  von Einem 2016b 21 Herfert  /Osterhage 2012, p. 107 22  BBSR 2011, p. 3 23  Harlander et al. 2007 24  Holm 2016 25  Difu 2017 26  Jung 2012, p. 84 27 Harlander /Kuhn / Wüstenrot Stiftung 2012 28 Kompetenzzentrum Großsiedlungen 2015

Fig. 3  Isolated housing, Rosenpark, Stuttgart-­ Vaihingen (DE) 2006, Leon Wohlhage Wernik Architekten

These new luxury projects are part of a general urban renaissance, for which there is clear empirical evidence.20 Whilst the causes, duration and progression of this paradigm shift are still subject to scientific controversy, urban researchers Günter Herfert and Frank Osterhage sum up the findings from studying 78 German urban regions by stating that “one can speak of a new leading trend in German urban-regional development. Re-urbanisation has replaced suburbanisation as the dominant spatial pattern of the 1990s”.21 Closer inspection, however, reveals that re-urbanisation is by no means a self-starter in urban development policy. The process is in fact highly selective, and the degree to which cities can take part in it varies, depending on their economic strength, regional location and not least, their respective land and housing policies.22 Even though new urban living23 is successful in quantitative terms, the price in social terms seems high in growth centres such as Munich, Hamburg, Frankfurt am Main or Berlin, as it is associated with the fragmentation of urban space and the tendency to displace population groups dependent on low rents.24 Whilst cities in shrinking regions struggle to implement holding strategies aimed

at retaining remaining inhabitants, price increases accompanying the renaissance of urban living, along with gentrification and displacement processes threaten to homogenise social structures in boom regions – with a reversed thrust.25 Raised increasingly in the media in recent years, the new question for social life in cities is: Is living in the city turning into a domain for the rich and super-rich, as it offers no room for the poor, or even traditional middle-class families? “City air makes you poor” wrote the Spiegel in November 2012, stating: “German cities are experiencing an unprecedented real estate boom. Mainly luxury homes are being built, affordable living space is becoming scarce. The shortage is now pushing rents up – and residents out of centres”.26 Achieving a balance in dealing with existing neighbourhoods in fast-growing cities is clearly not easy: the improvement of run-down existing stock is desirable in principle, and it offers opportunities for a new social mix,27 at least with the initial influx of higher-income groups. However, as for example Christian Ude, the former mayor of Munich, has repeatedly emphasised, this must be accompanied by the use of all available protective instruments to at least mitigate undesirable social consequences. Moreover, the challenge is to stabilise and carefully upgrade urban development and infrastructural deficits in socially unbalanced, overstretched neighbourhoods of large housing estates28 often marked by a disproportionate share of migrants, benefit recipients and the unemployed. In 1999, the federal government and the governments of the “Länder” launched the “Social City” programme, which funded 783 programme areas in 441 municipalities until 2016. The programme became the most important urban development instrument in this area, mainly thanks to its socially particularly effective non-investment measures for education, employment, integration and participation.

65

2.3 — Communities and Sociocultural Issues

Local identity and the public realm One of today’s great challenges is to provide each city and neighbourhood with an unmistakable identity able to provide residents with a “home” of their own.29 This identity includes equal components such as the historical urban layout, urban buildings and spaces, as well as the entire tissue of history, tradition, collective memory, self-image and mentality – all of which has recently been described as “the city’s own logic”.30 This very distinctiveness is currently massively endangered by uniform urban transformation processes which level cultural differences. Similar, part-privatised spaces such as airports, shopping centres and chain-store high streets generate “non-places” without history or identity.31 As part of pursuing a careful sustainable urban development policy and maintaining the urban cityscape, preserving cultural and architectural heritage is about striking the difficult balance between the conservation of heritage buildings and allowing “qualified further development” of the city. Balancing the desire for staging festivals and urban events, and residents’ need for the peace and quiet associated with residential use, is similarly difficult and conflict-prone when planning and designing public spaces, especially in historic town centres.32 This balance of interests between urban over- and potential under-use can only be achieved through dialogue with all those involved – residents, traders and the public sector. The authors of a study on projects and communal strategies for improving public spaces in Baden-Württemberg summed this up as follows: “An appreciation of public space which is accepted and supported by citizens is not possible without participation”.33 Generally, public space is once again attracting significant and increasing interest as a space for the extension of private life, for recreation, and

Fig. 4

for people of all ages to engage and communicate. Awarded the German Urban Development Prize 2012, the redesign of the Georg-Büchner-Platz in Darmstadt is a successful example (Fig. 4). Creating an urban square free of commerce and open to public use made it possible to provide an attract­ ive forecourt to the state theatre, but also helped knit the broken urban fabric back together to connect to the city centre. The traditional rigid segregation of public and private spaces is increasingly becoming obsolete. Zones of transition from inside to outside, between private indoor and public open spaces, such as facades and ground floor areas, but also (semi-) public courtyards or temporarily used vacant lots and brownfields are gaining great importance. Well-functioning social spaces come about whenever there is scope for users to take ownership and creatively lend them their own shape, and where users have been engaged in the design. Open unfettered access to the public realm and the communicative quality it offers undoubtedly play a key role in social cohesion and in building a (communal) sense of neighbourhood identity. It is equally important to develop and safeguard affordable access, especially to education, culture, health, care, leisure and service facilities at neighbourhood level. This enables all resident groups to take an equal share in urban life, even if they cannot provide for themselves adequately through the open market.

Fig. 4  Redesign GeorgBüchner-Platz, Darmstadt (DE) 2010, Lederer +  Ragnarsdóttir + Oei 29  Hassler 2016 30 Löw / Terizakis 2011; re: Häussermann 2011 31  Augé 1994 32  Siebel 2015 33 Kuhn / Dürr / SimonPhilipp 2012, p. 202

Further information

•  Barboza, Amalia (ed) et al.: Räume des ­Ankommens. Bielefeld 2016 •  Brake, Klaus; Herfert, Günter (eds): Reurbani­ sierung. Materialität und Diskurs in Deutschland. Wiesbaden 2012 •  Cachola Schmal, Peter; Elser, Oliver; Scheuer­ mann, Anna (eds): Making Heimat. Germany, Arrival Country. Ostfildern 2016 •  Gehl, Jan: Städte für Menschen. Berlin 2016 •  Organisation for Economic Cooperation and Development – OECD: Divided We Stand. Why ­Inequality Keeps Rising. Paris 2011 •  Siebel, Walter: Die Kultur der Stadt. Berlin 2015 •  Wissenschaftlicher Beirat der Bundesregierung Globale Umweltveränderungen – WBGU: Der Umzug der Menschheit: Die transformative Kraft der Städte. Berlin 2016 •  Wehler, Hans-Ulrich: Die neue Umverteilung. Soziale Ungleichheit in Deutschland. München 2013

66

Chapter 2 — Action Areas

Action Area Social Fabric Til man Harlander

C 1  Becker /Jessen 2014 2  Feldtkeller 2012 3  Jessen 2004, p. 99 4  Pätzold / Spars 2015 5  Mayer-Dukart 2010, p. 75f. 6  Kuhn / Harlander 2010 7  Soehlke 2014

ities, housing industry and committed citizens have responded to the challen­ ges of demographic change, mounting tasks of integration, and threats to social cohesion by developing a multitude of strategies, projects and individual measures for socially sustainable neighbourhood planning. The fundamental aim is to make urban neighbourhoods liveable, attractive and safe places for all population groups to live and work. Due the range of issues and the variety of neighbourhood types, there can be no uniform strategies or patent recipes: the neighbourhoods of the outgoing 19th century, small settlements on the urban periphery, large 1960s and 70s housing estates, single-occupation housing areas, and urban neighbourhoods built since the 1990s each have very different strengths and weaknesses which result in different needs for intervention. Finally, the design of the neighbourhood as a social space must form part of a comprehensive, integrated and inclusive development planning process, which unites social, environmental, and economic aspects with urban development to form a holistic action plan.

Mixed use What makes an urban neighbourhood socially sustainable? Since the “renaissance of the European city model”1 the answer to this question has been completely different from functional concepts for cities and neighbourhoods put forward by modernism. Fundamentally – at least in legislation, programmes, memoranda and white papers –, the model of a dense, compact urban fabric in

the European urban tradition, with short routes and a fine-grain functional and social mix, is considered sustainable and timely. In terms of urban design, this contrasts with the fluid spaces and serried layouts of modernism, and harks back to the pre-modern urban layout, with plots and smallscale perimeter blocks set out within a grid-like street network.2 Rejecting modernist monocultures should see homes, workplaces and services facilities knitted together more closely once again, with open ground floor areas generating a sustainable urban revival of public street space, and commuter traffic significantly reduced. To date however, the results in practice have been somewhat sobering. In new urban extensions, the goal of a small-scale mix of uses has often remained wishful thinking on the part of planners.3 Yet it has also become apparent that large (international) investors’ economies of scale conflict with creating a fine-grain weave of living and working, even in regenerating the existing urban fabric, which has a greater predisposition towards such a mix.4 Ongoing processes of concentration and expansion in the urban retail sector are also proving difficult to overcome.5 Instead, amusement arcades, betting offices, junk shops and call shops invade small-scale retail space and undermine the aim of a small-scale urban mix of uses. So far, the most successful approaches have sought out a variety of different developers, including “Baugruppe” building associations and new co­ operatives, to deliver the desired functional and social mix.6 The projects in Tübingen can be seen as pioneers in this field. The city exploited existing opportunities to take a “bottom-up” approach to developing attractive urban neighbourhoods in the French Quarter and Loretto, both former military sites.7 Tübingen’s Südstadt was specifically designated an area of mixed use rather than general housing, as is usually the case, thus allowing

67

2.3 — Communities and Sociocultural Issues

for an exemplary functional weave of living and working. A commercial use had to be demonstrated for each ground floor. The usual developers did not want to meet the city’s requirements, leaving it with no choice but to “try to work with future users themselves to deliver the small-scale diverse mix of uses”. 8 The initial strict regulations were made more flexible in later neighbourhoods (Alte Weberei, Güterbahnhof-Areal etc.). Smallscale mixed use in neighbourhoods is considered a key component for urban diversity, liveliness, safety and social qualities in the public realm. However, there are no ideal models. The mix of uses can be achieved horizontally or vertically, in individual buildings, blocks or whole neighbourhoods – its respective design should be developed on a case-by-base basis, through the engagement with users and stakeholders on site.

Urban neighbourhoods – universal housing The challenges of demographic change have led local governments to redouble their efforts to ­enable people of all ages and nationalities to use urban neighbourhoods on an equal footing (Fig. 1).9 Against the backdrop of the recent years’ influx, providing refugees with decentralised accommodation (where possible), care and support has become a very special task only to be mastered by administrations and volunteers working closely together. Refugees are first cared for in reception centres and then moved to so-called temporary accommodation. Once recognised and granted “subsidiary protection” (Federal Office for

Fig. 1

Migration: 43.4 % “total protection rate” in 2017), refugees move on to subsequent accommodation and are basically treated equally to German housing seekers. The competition and social envy engendered could unleash dangerous explosive forces, especially in conurbations and growth regions. In addition to renting apartments, local governments face the choice of creating human but economic“interim modular buildings” (Fig. 2, p. 68) or “universal housing” for long-term social use, which is more densely occupied at first.10 Despite the general trend of ­re-urbanisation, rooted especially in the influx of younger ­“educational migrants”, cities still tend to experience a net outflow of older people and families with children to surrounding areas. These groups still find too little suitable – and above all affordable – living space, and often face home environments which are inadequate at best. Decades of car dominance have made opportunities for children to play together in the street close to home scarce, with urban children’s everyday life often characterised by “urban islands” and “medialisation”. There has been a change in thinking, especially in recent years, and the goal of regaining urban space suitable for children enjoys a high priority today. For example, many competitions testify to the innovative ways in which local governments in Baden-Württemberg are experimenting with traffic management measures, playground design, opening schoolyards, building childcare infrastruc-

Fig. 1 Neighbourhood including homes for the aged, crèche, and parent-­ child centre, Zurich (CH) 2011, pool Architekten

 8  Feldtkeller 2012, p. 104   9 Steffen / Baumann / Fritz 2007 10 Werkbund Bayern 2016; Friedrich et al. 2015

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Chapter 2 — Action Areas

Fig. 2 Fig. 2  Modular building for refugees in Stuttgart Plieningen (DE)

11  ARGE 2008 12  Jocher / Loch 2010 13 www.martin-riedlingen. de/senioren/senioren­ homepage.htm 14 ARGE BW 2012, p. 15; BMVBS/BBSR 2010 15  BBSR 2009, p. 6 16 Kuhn / Dürr / SimonPhilipp 2012 17  BBSR 2008

ture, delivering children’s cultural workshops or children’s city maps and the like.11 Adapting housing stock and urban neighbourhoods to meet the increasingly varied needs of an ageing population is one of the most demanding tasks of socially sustainable urban policy (Fig. 3). In the city, older people in particular benefit from being close to medical specialists, pharmacies, cultural and educational institutions, a wide range of retail outlets and well-developed public transport. Housing preference surveys clearly highlight the desire to stay in the familiar home setting for as long as possible. Statistics show that this is reflected in real life: more than 95 % of people over 65 live in their own four walls in Germany, whereas less than 5 % in care homes. Even two thirds of those in need of care receive this at home. In 2016, there were about 2.9 million people in need of care and about 7.6 million severely disabled people in Germany. The more homes and their surroundings are ageproof and low in barriers,12 the longer residents can stay in their own homes even with increasing limitations. And yet total accessibility cannot be the goal. Barriers help structure spaces and may even provide safety in individual cases, such as in fences to children’s playgrounds. Overcoming barriers also provides children with an important feeling of success in their physical development, in training their agility and gradually extending their horizon of experience. Appropriate demands to the muscular and skeletal systems are also beneficial for older people and those with impairments. Efforts to reduce barriers are thus always about balancing different neighbourhood interests and demands, and providing equal access to opportun­ ities, spaces and social respect. However, Germany is generally only just beginning to adapt housing to the requirements of barrier-free living, improve various forms of assisted living, initiate innovative

intergenerational housing projects and furnish outpatient assisted living communities. Appropriate equipment for the elderly is only one of the parameters which enable older people to remain in their established home setting. The other is the appropriate adaptation of the home environment and high-quality – and affordable – safe care and provision in the neighbourhood. The innovative care concept of mutual give and take pursued by the award-winning senior citizens’ cooperative in Riedlingen, founded in 1991 to run the “Rösslegasse” and “Am Stadtgraben” senior residences, is seen as exemplary and has since been often copied.13 In the context of socially sustainable neighbourhood planning, it is improvements to overall quality, not special measures for individual age or ethnic groups, which ultimately benefit all residents.14 Thus improving the public realm provides the key frame of reference. According to the German Federal Institute for Research on Building, Urban Affairs and Spatial Development (BBSR), the public realm “sets the scene for neighbourhood society, for forming social networks, but also acts as a theatre of conflict between social groups. Thus the public realm provides the ideal testing ground for a new culture of planning”.15 This requires the relevant parties to engage creatively in developing and testing new traffic and/or green plans (e.g. shared spaces, urban gardening), different ways of treating water (e.g. uncovering streams), public art (e.g. temporary installations, light design etc.) or new ways of articulating the transition from private to public space.16 Providing the associated communal facilities at neighbourhood level is just as important as the design of open space.17 Here too, sponsors, stakeholder groups, built form, content and scale have become immensely varied, and have led

69

2.3 — Communities and Sociocultural Issues

Fig. 3

to diverse descriptions: neighbourhood centre, district meeting point, multigenerational house, house of cultures and generations, neighbourhood exchange, residents’ meeting point or community centre.18 For example, a successful project such as the “Wagnis 1” cooperative housing project in Munich has seen a café and a neighbourhood meeting point turn into a social reference point for the entire neighbourhood.

Safe neighbourhoods A socially sustainable city is safe and is perceived as being safe. Spatial structures do not determine behaviour, but they create opportunities and constraints for action in a variety of ways. Architecture and urban design can significantly contribute to increasing the public sense of safety. In the public realm as well as in buildings, this includes removing spaces of fear, improving visibility, and providing good lighting, sufficient orientation and generally clear, well-maintained and well-­ designed spaces. Encouraging informal social control and residents themselves taking responsibility, rather than increased police control or surveillance, is crucial for strengthening functioning social neighbourhoods. According to urban sociologist Walter Siebel, safety is about striking a difficult balance in practice: “Too little control can threaten public space just like too much control”.19 Siebel sees uncertainty as structural component of the public realm: Fully controlled spaces are no longer public, conversely unsafe parks and street spaces can very quickly lose their public character.

Smart Cities? Approaches to creating so-called "Smart Cities", such as Songdo in South Korea, meet with the full force of this issue. Songdo’s entire life, right down to the private sphere, is monitored and controlled by countless and ubiquitous cameras and sensors and around the clock, aiming to reduce resource and energy consumption, but also ensure safety in public spaces. So far, as “Le Monde” has found, this type of city apparently tends to attract young, wealthy families with children: “Sterile and soulless, the city looks different from Korean cities. There are no poor people, no street vendors, no old people”.20 Here, as in other “smart cities”, extremely rapidly progressing digitalisation and networking of all areas of life remains in conflict with protecting data and privacy (for the time being?). To a degree, this applies even to the development of systems providing assistance systems for elderly and disabled people. The variety and number of potentially useful products are constantly expanding, and yet, in addition to data protection issues, the extent to which technology challenges this client group in everyday use should by no means be underestimated.21

Social mix, housing and land policy In the context of the current real estate boom, construction practice in most cities is tending to focus on upmarket and high-price housing market

Fig. 3  Neighbourhood for people with dementia “De Hogeweyk”, Weesp (NL) 2012, Molenaar & Bol & Van Dillen architekten

18  BMVBS / BBSR 2010 19  Siebel 2006, p. 11 20 www.lemonde.fr/smart­ cities/article/2017/05/29/ songdo-ghetto-forthe-affluent_5135650_ 4811534.html 21  Weiß 2017

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Chapter 2 — Action Areas

Fig. 4 Fig. 4  Social housing reinterpreting former terraced housing, Buchheimer Weg, Cologne (DE) 2012, ASTOC Architects and ­Planners

22 Harlander / Kuhn / Wüstenrot Stiftung 2012 23  BWSV NW/DIFU 2015 24 Magistrat der Stadt Frankfurt am Main 2010, p. 9 25  ILS 2018 26  Gans 1974, p. 197 27  Spiegel 1983, p. 88 28 Harlander / Kuhn / Wüstenrot Stiftung 2012, pp. 402ff; Hegger et al. 2015

segments. Negative effects of processes including enforced segregation and gentrification can be observed, giving rise to growing concern. Over and above growing social housing shortages, the loss of affordable housing is increasingly posing a serious economic disadvantage for sections of the middle classes, employees and specialists in business and service sectors. Thus, the issue of social mix has once again become a central trope.22 The objective of social diversity, set out in Article 1 of the German Building Code (Baugesetzbuch, BauGB) and Article 6 of the Housing Act (Wohnraumförderungsgesetz, WoFG) with the intention of “creating and maintaining socially stable resi­ dential structures”, meets with broad consensus among local politicians and the housing industry.23 Within the context of modern integration and diversity policies at municipal level, “creating a mix” is not (any longer) understood as levelling and flattening cultural and ethnic differences. On the contrary, the aim is now to create a balance between integration and diversity, shared common ground, and individual diversity.24 Of course, the limitations of creating this mix must be kept in mind.25 Spatial proximity alone does not automatically create social proximity. Poverty, exclusion and discrimination are not tackled primarily by means of policies for social mixing, but through proactive education, labour market and social policies. The issue of neighbourhoods’ residential compos­ ition or "mix" raises fundamental questions as to the urban scale and granularity (neighbourhood, block, or building) at which this mixture has proved to be most meaningful and most effective. The American social researcher Herbert J. Gans provides a classic, much quoted answer in an essay first published in 1961: In principle, neither homogeneous nor heterogeneous structures can be

deemed good or bad per se. Only their extreme forms are undesirable in equal extent. As a result, he proposes finding an ideal balance in each specific case, whereby there should be sufficient homogeneity to prevent conflict and build positive relationships with neighbours and at the same time sufficient heterogeneity to allow for a certain diversity.26 In practice, this has led to the frequently repeated recommendation to keep the immediate surroundings of the home or apartment block more homogeneous, but to make larger units such as the neighbourhood as heterogeneous as possible.27 Local governments and housing associations are still exploring the issue of social mix at building, block or neighbourhood level, experimenting with a wide range of projects even today. Experience to date shows that finer-grain, smaller-scale approaches require correspondingly greater sensitivity, commitment and above all willingness to engage with residents on the part of project developers.28 Mixed living is only possible if all population groups have access to suitable living space in terms of size, equipment and, above all, cost (Fig. 4). In Germany, the current rate of new construction in subsidised housing by no means compensates for the inexorable melting away of existing social housing stock as the effects of subsidy come to an end. This is due to the fact that state subsidies for “social” rented housing are not permanently tied to specific target groups and/or fixed rent levels in Germany. Instead, subsidies are delivered through 15- to 30-year, low-interest loans to build housing for rent. Whereas rents are initially regulated, the homes in question can be offered for sale or rent at market rates once state loans have been repaid in full. This presents what may be the biggest challenge to a sustainable policy for socially mixed neigh-

71

2.3 — Communities and Sociocultural Issues

bourhoods. Cities across Germany, especially in growth regions, have responded to growing problems at the lower end of the housing market and begun to tackle the task of securing and creating affordable housing through new initiatives and “housing alliances”. In recent years, social quotas, i.e. requirements for private investors to create a certain amount of subsidised housing for low-­income groups when delivering new developments or securing new planning approvals, have become the most important instrument of socially oriented municipal housing policy in many cities. Munich has pioneered this field since the 1990s, 29 adopting a policy of “socially equitable land use” (Sozialgerechte Bodennutzung, SoBoN) with a social quota of 30 percent (50 percent on municipal land). Numerous cities have now followed suit with similar initiatives. It is increasingly clear that local governments must combine a socially oriented urban and neighbourhood policy with a socially equitable land policy which is oriented toward the public good. Shortages of development land and massive increases in land value – especially in growth centres – have become the biggest obstacles to creating “affordable housing”. In the past, all land reform efforts to capture a share of land value increases for the benefit of the general public have failed at the political level in Germany. However, the impact of current conditions has triggered new debate on land reform in expert circles. This includes, at the municipal level, allocating development land to the best concept (rather than to the highest bidder), setting up land funds, disposing of municipal land in leasehold only, expanding land reserves, implementing reforms to bring land taxes up to date, and further developing specific legal urban development instruments such as the “urban development measure for inward development” (Städtebauliche Entwicklungsmaßnahme in der Innenentwicklung).30

The debate around tools which can limit socially undesirable rent dynamics and processes of segregation and displacement in the existing housing stock is generally only just getting going. In 2015, a “rent brake” was introduced, allowing federal state governments to designate certain areas as “stressed housing markets” and limit excessive speculative rent increases in new rentals. In its current form at least, this has proved to be a blunt weapon. Local governments can also impose protection orders (e.g. Milieuschutzsatzung, Article 172 BauGB), which limit changes to housing stock in order to prevent the displacement of sitting tenants. This can slow down, but not permanently prevent gentrification processes.31 Luxury renovations and conversions of rented apartments to apartments for sale can hardly be prevented. The state of Baden-Württemberg at least issued a (conversion) order in 2013, whereby conversions of rented apartments to apartments for sale have to be approved by local governments in areas subject to a valid protection order: approval is usually refused if conversions are considered to put the delicate interplay between the existing social fabric and the urban structure at risk.32

The “Social City” programme In 1999, the German federal government and the governments of the “Länder” (federal states) launched the “Social City” programme for neighbourhoods with special development needs (“Stadtteile mit besonderem Entwicklungsbedarf – Soziale Stadt”), which pursues a complex approach to improving deprived areas

29 Landeshauptstadt ­München 2017 30  SLR 04/17 31 Reiß-Schmidt 2012, p. 415 32 https://wm.badenwuerttemberg.de/de/bauen/ wohnungsbau/umwandlungsverordnung/

72

Chapter 2 — Action Areas

Fig. 5 Fig. 5  High-price housing, Marco Polo Tower, Hamburg (DE) 2010, Behnisch Architekten

33  Weeber 2016 34  GdW 1998 35 Weidemüller/Hunger 2016, p. 5 36  Harlander et al. 2007 37  Wüstenrot Stiftung 2016 38 Roskamm 2011, Stadtbauwelt 12/2016 39  Herzog 2016, p. 61 40 https://dejure.org/gesetze/ BauNVO/6a.html 41  Wüstenrot Stiftung 2017

Further information

•  Bundesinstitut für Bau-, Stadt- und Raum­ forschung (BBSR). Zehn Jahre Leipzig Charta. Die Bedeutung integrierter Stadtentwicklung in Europa. Bonn 2017 •  BBSR; Jocher, Thomas: Zukunft Bauen. Ready – vorbereitet für altengerechtes Wohnen. Bonn 2014 •  Harlander, Tilman; Kuhn, Gerd; Wüstenrot Stiftung: Soziale Mischung in der Stadt. Stuttgart/ Zurich 2012 •  Städtebau Institut: Stadtquartiere für Jung und Alt. Europäische Fallstudien. Werkstatt: Praxis, Heft 63. Bundesministerium für Verkehr, Bau und Stadtentwicklung (BMVBS) and BBSR. Bonn 2009. •  Weeber, Rotraut et al.: Sozialer Zusammenhalt in der Stadt. Integrierte Ansätze zur Aufwertung benachteiligter Stadtteile in Europa – ein Leit­ faden. Stuttgart/ Berlin 2016 •  Wüstenrot Stiftung: Wohnvielfalt. Gemeinschaft­ lich wohnen – im Quartier vernetzt und sozial ­orientiert (Dürr, Susanne; Kuhn, Gerd (eds)). ­Ludwigsburg 2017

in large housing estates and peripheral innercity ­locations.33 Important preparatory work had already been completed through various federal state programmes, and the “Overstretched Neighbourhoods” study by the Federal association of German housing and real estate enterprise registered associations (GdW).34 The programme is funded by the Federal Government, the “Länder” and local governments. The programme is based on the basic idea that only an integrated approach to comprehensive neighbourhood development can counter the dreaded downward spiral, due to the multiplicity of problems such as depopulation, lack of maintenance investments, neglect, and vandalism. This includes both construction and non-investment measures, addressing fields such as language skills, improving school and educational qualifications, supervising young people’s leisure time, and promoting the local economy. Given its particular focus on maintaining lively neighbourhoods and social cohesion, the programme in practice also plays a key role in integration policy. The programme has become the most important instrument for stabilising disadvantaged and socially excluding neighbourhoods in Germany. In 1999, it included 161 areas in 124 local government areas. By the end of 2016, 783 comprehensive packages had been implemented in 441 cities and municipalities. Every two years, model projects throughout Germany are awarded the “Social City” prize. Despite the different issues, all prize winners so far have shared an approach of combining construction with social and economic measures. Thus, their implementation of the objectives of supporting neighbourhood coexistence and a sense of united solidarity, as set out by the instigators, has been exemplary.35

New urban housing Against the backdrop of social and demographic change, urban neighbourhoods are proving to be complex social universes of extraordinarily varied, occasionally diverging and barely compatible social milieus and lifestyles. The traditional housing market supply no longer matches this diversity. Typologically, cities and the housing industry are exploring a wide range of dense urban building types, sometimes rediscovered, sometimes further

developed, as well as some new.36 These cover a broad spectrum, ranging from simple remakes of historical archetypes, stacked maisonettes and other “house-in-house solutions”, to new high-rise and tower housing such as the Marco Polo Tower in Hamburg (Fig. 5). On the other hand, the single-family housing areas of the 1950s to 1970s have occasionally been described as “forgotten spaces of urban development” and can be regarded as increasingly “endangered spaces”.37 The drastic decline in demand for this typology due to demographic trends and changing needs arising from the increased plurality of lifestyles, has led to detached single-family housing becoming less attractive, and the very real threat of vacancies and seriously declining values, especially in peripheral locations and shrinking regions. The search for compact, higher-density designs both for “inward” development and for new urban extensions goes along with a “revaluation” of density itself.38 Increasingly, the merits attributed to density are replacing previously common nega­ tive notions of bad, “unhealthy” density, and “density stress”. As the trade publication “Stadtbauwelt” enthused in 2016, the best cases can achieve something close to “density delight”, such as “Mehr als Wohnen” (More than living) in Zurich’s Hunziker area.39 This reassessment of density was reflected by the introduction of the new “urban area” category (MU) in the BauNVO Land Use Code in 2017. This allows for taller and higher density buildings, and a mix of commercial and housing uses in cities (cf. Regional, Urban and Neighbourhood Development, p. 49).40 The ideal urban housing type – block, terrace, apartment block, townhouse, urban villa, mansion block, loft or high-rise – is, when taken as absolute, an aberration. Urban building is building typo­ logical diversity. As well as its location, basic features of good-quality, attractive urban homes include flexible, neutral floor plans, the best possible equipment and above all, generous, sheltered private open spaces. Typological diversity is not achieved through investor-driven, large-scale urban development, but by mixing different types of developer. Many local governments are ­providing opportunities for new community-­ oriented developer types, such as “Baugruppen” or co­operatives. These provide great identification potential and have proven track records, not only for possible cost savings, but also as instruments of an urban development policy which is socially and environmentally innovative.41

73

2.3 — Communities and Sociocultural Issues

Challenges Lifestyle and Behaviour Ma r i o Schneider

I

n all cultures, people interact with nature and change it with varying intensity and with different consequences. This ten­dency has increased exponentially since the industrial revolution, especially through the use of fossil fuels since the invention of the steam engine in the 18th century. Due to the globalised economy, massive consumption of energy, water, food and consumer goods in highly developed countries, and growing demand for housing and mobility, have far-reaching consequences not only in these countries but worldwide. One sixth of the world’s population in high-income countries pursues a very resource- and energy-intensive lifestyle and is thus responsible for almost one third of greenhouse ­gases in the atmosphere.1 For example, consumption in central Europe causes forests and landscapes to be destroyed in South Ame­ rica or Africa for the extraction of raw materials. As a result, consumer habits and lifestyles are increasingly damaging the environment. Despite their generally high level of environmental awareness and knowledge about climate change, this is particularly true for the populations of Western European industrial nations. The interplay between human behaviour, envir­ onment and climate is complex and diverse. It has been proved that climate change is closely linked to the consumption of fossil fuels.2 Global warming subsequently impacts on the availability of other natural resources such as water, and on the production of food. According to some scientists, we are living in the Anthropocene era, a new geological age during which the earth is shaped by anthropogenic, i.e. man-made, influences. Future global population growth will not only require more people to be

provided for, but also increase the number of ­p eople leading resource-intensive lifestyles, already prevalent in today’s industrial nations.3

Impact on environmental footprint The environmental impact of different human behaviour or lifestyles can be illustrated in terms of the so-called “environmental footprint”. This makes it possible to directly compare the supply and demand for biocapacity within a spatial area. Biocapacity denotes the amount of biologically productive land available for extracting resources and for degrading waste and CO2. This biocap­ acity, i.e. the ecological footprint, is expressed in terms of land consumption in global hectares (gha).4 For example, a country’s annual ecological footprint can be determined by comparing the use and consumption of biologically productive land with the relevant country’s actual available biocapacity. In doing so, both the extraction of renewable resources such as agricultural products, and the consumption of biologically productive areas by means of sealing the ground or extracting non-renewable raw materials are taken into account. Ideally, actual available biocapacity should be equal to, or even exceed the ecological footprint. Currently however, the exact opposite is the case. Mankind’s ecological footprint far exceeds avail-

1  World Bank 2010, p. 3 2 Debiel et al. 2010, pp. 262ff. 3 Campbell 2007, p. 78 4 Beyers et al. 2010, pp. 19ff.

74

Chapter 2 — Challenges

moderate business as usual

Number of planets

Environmental footprint

Fig. 1  Humanity’s ecological footprint Fig. 2  Biocapacity con­ sumption per capita, in 2018 [in gha] Fig. 3  Various countries environmental footprint per capita in 2018 [in gha] Fig. 4  Components of the ecological footprint of one German citizen in 2018

Qatar 15.7

US 8.4 Germany 5.0 China 3.7 theoretical availability per capita 1.7 India 1.1

Fig. 2

5  WWF 2010, p. 34 6  Schulte 2008, p. 3 7  WWF 2011 8  Beyers et al. 2010, p. 75 9  Lehmann 2010, p. 148

quick reduction

2.5 2

1.5

1

0.5

0

0

1970

1980

1990

2000

2010

2020

2030

2040

2050

Fig. 1

able biocapacity. Fig. 1 shows the development of the global ecological footprint from 1960 to 2018 and possible future scenarios. Its rapid growth is mainly due to increasing greenhouse gas emissions. Even today, CO2 released into the atmosphere is responsible for over 50 percent of the global ecological footprint.5 Based on a world population of 7 billion people, each individual could – on average – make use of 1.8 gha to produce food, energy and consumer goods and to reduce CO2.6 Naturally, biocapacity varies greatly between countries. For example, Brazil’s biocapacity per capita is much greater than Saudi Arabia’s. People’s lifestyle’s determine the extent of their environmental impact. The current lifestyle of an average German requires 4.9 gha, whereas the average Indian only needs 0.8 gha, and the global average amounts to 2.2 gha (Fig. 2). Within Germany, the average biocapacity available to each citizen amounts to no more than 1.7 gha.7 Balan­ cing this environmental deficit would either require Germany’s biocapacity to be increased, or the population’s ecological footprint to be reduced. The lion’s share of a German’s ecological footprint – more than 50 percent – comprises areas for CO2 reduction.8 In 2009, a German four-person household’s average CO2 emissions amounted to

43.5 tonnes. Closer inspection reveals the areas of daily life which are the biggest sources of CO2: the production, consumption, and disposal of consumer goods such as clothing, electronics etc. (11 tonnes p.a.). The production and supply of heating, food and individual transport are the next biggest sources.9 Fig. 4 illustrates the extent to which nutrition, housing, mobility and the production and consumption of consumer goods contribute to Germany’s ecological footprint (including CO2). Nutrition contributes the largest share, followed by housing, infrastructure, and transport. How we eat, how we live and when we use which means of transport, accounts for the fact that Germany’s ecological footprint nearly three times exceeds its actual available biocapacity.

Behaviour patterns Lifestyles and associated behaviour thus influence people’s ecological footprint. Despite their being very environmentally conscious, the populations

75

2.3 — Communities and Sociocultural Issues

> 6.7 5.1– 6.7

3.4– 5.1 1.7– 3.4

< 1.7

Fig. 3

of western European industrial nations continue to behave in harmful ways. Most people in developed industrial societies know that resources are by no means unlimited and that their consumption must be reduced. And yet they still drive ever larger, more powerful vehicles and take holiday trips to the most remote places. Products from resource-efficient organic or regional cultivation are often bought only if they are cheaper than conventional products.10 This discrepancy can be explained in different ways: In environmental psychology it is assumed that a high level of environmental awareness leads to a more ecologically oriented behaviour. However, behaviour is clearly lagging behind awareness and environmental behaviour is changing only slowly. Environmentally harmful behaviour must therefore also be rooted in other beliefs and external factors.11 For example, these affect the choice of transport. The appreciation of public transport and awareness of its environmental friendliness do not necessarily lead to its use if sufficient, comfortable transport links and options are not provided.12 There are various causes for the identifiable ­discrepancies, including limited agency, lack of

incentive, insufficient feedback on consequences of behaviour, a lack of public commitment and control, or insufficient knowledge of actually rele­vant behaviour.13 A study on consumer behaviour and the promotion of environmentally compatible consumption by ETH Zurich concludes that people do not necessarily have to be aware of the consequences of their behaviour in order to adopt sustainable ­habits.14 As many purchases are made without much thought, they are difficult to influence through information and raising of awareness. However, they can be influenced by political or infrastructural measures. Prices of products and services are also import­ ant in relation to environmentally friendly ­consumption and behaviour. Not only is there a ­major contradiction between environmental awareness and environmental behaviour, the evaluation of environmental goals also competes with economic objectives. In a benign econo­mic situation which allows people to pursue the ­lifestyle they want, protecting the environment gains importance. When economic problems threaten to lower living standards, however, ­p rotecting the environment becomes less import­ant.15

10  Kuckartz 2005, p. 5 11  Jaeggi et al. 1996, p. 181 12  Preisendörfer 1999, p. 78 13  Weber 2008, pp. 121ff. 14  Visschers 2009, p. 5 15 Diekmann / F ranzen 1996, p. 137; BMU 2010, p. 17

18 %

22 %

25 % 35 %

Transport Other consumption Housing and infrastructure Food and drink Fig. 4

76

Fig. 5  Development of ­ ousing and space heath ing demand in Germany 1960 – 2050 (projected as from 2015)

16 Visschers et al. 2009, p. 17 17 Jevons 1865, pp. 108 –113 18 Maxwell et al. 2011, p. 82 19 www.umweltbundesamt.de/daten/privatehaushalte-konsum/ wohnen/energieverbrauch-privaterhaushalte (date: 12.07.2018)

Further information

•  Beyers, Bert et al.: Großer Fuß auf kleiner Erde? Bilanzierung mit dem Ecological Footprint. An­­ regungen für eine Welt begrenzter Ressourcen. Heidelberg 2010 •  Madlener, Reinhard; Alcott, Blake: Herausfor­ derungen für eine technisch-ökonomische Ent­ koppelung von Naturverbrauch und Wirtschafts­ wachstum unter besonderer Berücksichtigung der Systematisierung von Rebound-Effekten und Problemverschiebungen. Berlin 2011 •  Santarius, Tilman: Der Rebound-Effekt. Über die unerwünschten Folgen der erwünschten Energie­ effizienz. Wuppertal 2012 •  Wackernagel, Mathis; Beyers, Bert: Footprint: Die Welt neu vermessen. Neuausgabe 2016 mit aktuellen Zahlen. Hamburg 2016 • www.footprint-deutschland.de

8000

space heating demand per m2 housing space

7000 6000 5000

350

70

300

60

250

50

200

40

150

30

100

20

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10

4000 3000 2000 1000 0

1973 oil crisis 1960

1970

reunification 1980

1990

prediction 2000

2010

2020

2030

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housing space per capita [m2]

housing space per capita space heating demand per capita

space heating demand per m2 housing space [kWh/a]

space heating demand per capita [kWh per capita]

Chapter 2 — Challenges

0

Fig. 5

Moreover, generally higher prices of environmentally friendly products often affect the decision to buy them. In general, people seem more willing to pay for technological measures than to change their behaviour or forego comfort or certain consumer goods. Changing behaviour or cutting back lifestyle choices remains unattractive to many people.16

Rebound effects The tendency to reject moderation and the preference for technical solutions which require no or only minor changes in behaviour often lead to the optimisation of existing systems, for example by reducing energy consumption through improvements to technical efficiency (Fig. 5). However, greater efficiency does not automatically lead to savings if behaviour remains unchanged. On the contrary, consumption can even increase if one or more improvements to productivity facili­ tate an increase in resource consumption.17 This phenomenon is described as the rebound effect. For example, making freight transport more fuel-­ efficient can reduce freight costs and thus enable

more goods to be transported over longer distances. This increase in transport capacity can lead to 30 – 80 percent of actual savings being used up again.18 A similar trend can be observed in residential and industrial sectors. In recent years, the population in Germany has remained constant whilst various measures have been taken to reduce household energy consumption. Never­ theless, household energy consumption has increased since the 1990s.19 Amongst other things, this is due to the increase in single-person households, the desire for more space in the home and a growing array of electronic equipment. The same applies to industrial production, which has become more energy-efficient in recent years but consumes more and more electricity due to increasing automation. Increased efficiency alone will thus not be able to influence resource consumption. Only when measures are taken to change the behaviour which drives consumption will it be possible to reduce resource consumption in the longer term.

77

2.3 — Communities and Sociocultural Issues

Action Area Lifestyle and Behaviour Ma r i o Schneider

S

patial and infrastructural measures often fall short of chan­ ging lifestyles and behaviour. They correspond to complex patterns, and are unconscious and deeply embedded emotionally, having been established over long periods. These “automatisms” can successfully be influenced by measures with a structural or personal focus, such as campaigns. Whereas structural measures focus on architecture or urban design, aiming to change behaviour by reconfiguring the external physical setting,1 personal measures aim to achieve an intrinsic and voluntary change in behaviour. The object­ ive is for individuals to change their attitude not simply for short-term advantage, but as a result of insight and understanding. This means that a sustainable lifestyle requires individuals to be aware of the environmental crisis and their own obligations, as the scope to overcome the crisis through technological, economic and political means alone is limited. This requires up-to-date knowledge of environmental conditions and ecological relationships, as well as a willingness to adapt personal behaviour accordingly and acknowledge the threat posed by environmental problems.2 Bringing about lasting behaviour change requires both structural and personal measures. The former include offers and incentives for new behaviour, whereas the latter aim to make individuals abandon old consumer patterns in favour of new ones. Physical structures and spatial frameworks are particularly important in this. After all, the built environment (buildings, roads, large power plants, etc.) remains operational for years and changes

only slowly (Fig.1, p. 79).3 The current urban shape of cities, and their resource- and CO2-intensive economies will continue to affect people’s lifestyles and energy consumption patterns for a long time to come.

Influencing opportunities Some already available spatial planning instruments aim to take different types of intervention and their possible effects into account. For ex­ ample, the “planning quartet” offers four options (Fig.3, p. 79): identifying sites, constructing plants, aligning facilities and controlling behaviour.4 “Identifying sites” and “constructing plants” relate to fixtures such as buildings or built infrastructure. Here, material interventions can create new structures or improve existing ones. On the other hand, “aligning institutions” and “controlling behaviour” are social rather than spatial moves. They relate to non-spatial structures such as institutional organisations or to individual beha­ viours, and interventions often take place in a non-material way, for example through legislation or taxation. Interventions in the built environment can impact social structures, and vice versa, changes to social structures can impact the built environment. For example, building a new road improves access to a city and changes commuter behaviour. Longer distances become acceptable and private motor transport increases. This effect can be further enhanced by incentive systems such as tax breaks for commuters. An-

1 Kaufmann-Hayoz et al. 2010, p. 698 2 Scheuthle et al. 2010, p. 643 3 Wackernagel  /Beyers 2010, p. 117 4  Jung 2008, p. 78

78

Chapter 2 — Action Areas

ticipating expected behaviour is a very import­ant aspect of planning, where social and physical structures can be used to change people’s beha­ viour.5

Changing behaviour Only very few people are willing to adapt the lifestyle they have achieved to their awareness and knowledge and reject environmentally harmful products and services.6 But they are happy to accept technical solutions which require little or no change to their behaviour (increasing the energy efficiency of the home, buying a more economical hybrid vehicle). However, technical solutions are only effective if basic behaviour patterns driving resource consumption also change and rebound effects can be avoided (see p. 76). Interventions must therefore also aim to change habits.

Structural interventions

  5 Kaufmann-Hayoz et al. 2010, p. 698   6 Visschers et al. 2009, p. 17   7 Kaufmann-Hayoz et al. 2010, p. 698   8 BBR 2005, p. 27; INFAS / DLR 2010, p. 122   9 Visschers et al. 2009, p. 47 10 Kaufmann-Hayoz et al. 2010; Visschers et al. 2009, p. 13

External structures can influence people’s behaviour, encourage desirable behaviour or make undesirable behaviour more difficult. Physical and social structures mesh with forming intentions and enacting environmentally relevant behaviour. On the one hand, sociocultural factors (lifestyle and social standards) and socio-economic aspects (prices and market conditions) influence behaviour. On the other hand, institutions and technical infrastructure also have a considerable impact.7 For example, the settlement and infrastructure framework has a considerable impact on the indi-

vidual choice of transport. This depends on the mix of uses within a settlement, the availability of cars and parking spaces, the quality of public transport access and the design of the street­ scape.8 For example, a shortage of parking spaces or attractive alternatives to the car leads to a change in transport behaviour. The spatial distribution of uses such as work and childcare can also shorten routes and thus lead to a reduced volume of traffic (Fig. 2). The effect of settlement and infrastructure on behaviour are also reflected in the choice of where to live: the high cost of housing, urban pollution, and the desire to live in the countryside lead to suburbanisation. This process is reinforced by tax allowances for commuters. Instead of subsidising individual motor transport, funds could be redirected to ecological alternatives, such as affordable housing near to places of employment or cheap and comfortable public transport. People’s failure to behave ecologically in certain situations is due to personal needs and attitudes as well as infrastructure, or economic, legal or social structures. People fail to recognise feasible and meaningful possibilities for action because of their personal preferences. This especially affects people’s habitual behaviour, because it is no longer consciously questioned, and thereby restricts their scope for action.9 This scope only opens again when habits become weaker. This can happen, for example, if people’s external circumstances change, such as a new job or home, a change in family structure or a break in lifestyle – perhaps even as the result of traumatic experiences such as dramatic accidents in nuclear power plants. These changes open windows of opportunity for testing new, alternative behaviour.10 Redesigning the environment or introducing new products can help people recognise new ­possibilities for action, thus expanding or re­ ducing the scope for individual action. This sys-

79

2.3 — Communities and Sociocultural Issues

minimum

maximum

Solar power plant Road Bridge Fig. 1  Lifetime of various infrastructures Fig. 2  Using a varied offer and urban design to influence possible actions, taking the example of the transport choice Fig. 3  Quartet of planning instruments, and possibilities to intervene in planning

Coal-fired power station Commercial building Wind power plant Railway line, house, dam 0

20

40

60

80

100

120

Years

Fig. 1

Influencing through planning

Mixed use (distance between living, work, social amenities and facilities) Street design (transport routes, green corridors etc.)

Influencing through policy, by local authority

Financial incentives (commuter tax breaks, congestion charging, ticket prices etc.) Public transport (number of stops, frequency, number of routes etc.) Number of parking lots (availability, price, location etc.)

Fig. 2

tematically favours alternative, ecological be­ haviour.11 The British Department for Environment, Food and Rural Affairs (Defra) came to a similar conclusion in its study “A framework for pro-environmental behaviours”.12 This identified seven different consumer types in British society. Each of these groups has very different attitudes towards the environment. The Defra concluded that it was not feasible to force the whole population to radically change their lifestyle. Instead, it envisaged concentrating on measures to encourage each consumer type to change their behaviour.13 This could be achieved, among many other measures, by creating options for environmentally friendly behaviour and by making environmentally harmful behaviour more difficult. Price increases for environmentally harmful products, for ex­ ample, are a simple way of making environmentally harmful behaviour more difficult. However, such measures are usually only very effective if environmentally friendly alternatives are offered at the same time. Raising fuel prices and abolish-

ing tax allowances for commuters will not necessarily lead to a change in mobility behaviour unless adequate and sufficient transport alternatives are provided.

Social structure: Promoting /preventing activities Controlling behaviour (Directing and steering) Aligning institutions (Foundation and design)

Individual interventions Whether people use opportunities for environmentally friendly behaviour also depends on their belief system, i.e. on individual values and attitudes. These determine how they perceive and value the environment. For people with a high environmental awareness, bicycles could be an option for a journey to work of several kilometres, whilst people with a low environmental awareness would exclude this possibility outright.14 Ideological convictions thus resemble a “window” through which people perceive certain opportun­ ities. Personal measures are primarily characterised by voluntary behavioural change. This requires system knowledge in order to recognise the inter-

Physical structures: Creating locations Construction plants (Construction and maintenance) Identifying sites (Suitability and use) Fig. 3 11 Kaufmann-Hayoz et al. 1996, p. 88 12  Defra 2007 13  ibid., p. 47 14 Bamberger / Kühnel 1998, p. 15

80

Chapter 2 — Action Areas

1 Higher

2 Middle

3 Lower

social status

basic values

Sinus C1 Sinus B1 Performers Liberal Intellectuals (enlightened educationall (multi-optional, Sinus C12 efficiency-oriented elite) 7% Cosmopolitan Sinus B12 top performers) 7% Avant-gardes Social Ecologicals Sinus C2 (ambitious, creative (socially engaged and Adaptive Navigators avantgarde) socio-critical milieu) 6% (modern young center Sinus B23 7% of society with a pragModern Mainstreamers matic outlook on life Sinus AB23 (Mainstream civil society and sense of exTraditionals with the will to achieve Sinus BC23 perience) 9 % (security and and adapt) Hedonists order-loving 14% (fun and experience / older generation) adventure-orientated Sinus B3 15 % modern lower class / Precarious low-middle class) (low class in search 15 % of orientation and social inclusion) 9% Sinus AB12 Established (the establishment in the classic sense) 10 %

A Tradition

B Modernisation & Individualisation

C Re-Orientation

Fig. 4

15 Scheuthle /Frick /Kaiser 2010, p. 655 16  Stern 2000, p. 421 17 Scheuthle /Frick /Kaiser 2010, p. 648; Visschers et al. 2009, p. 7 18 Scheuthle /Frick /Kaiser 2010 19  BMU/BDI 2010, p. 6 20 Visschers et al. 2009, p. 10 21 Scheuthle /Frick /Kaiser 2010, p. 647 22 Visschers et al. 2009, p. 10

Sinus-Milieus

Sinus-Milieus connect demographic characteris­ tics such as education, occupation or income with people’s everyday lives, views and lifestyles: Which basic values are important, what are their attitudes towards work, family, leisure, ecology, money or consumption? Thus the human being is perceived holistically within their system of ­reference. Sinus-Milieus are established as a scientifically based model and are continuously kept up-to-date by associated research and the observation of sociocultural trends. Leading branded goods ­manufacturers and well-known service providers from all sectors, many public clients in politics, media and trade bodies as well as advertising and media agencies use Sinus-Milieus for strategic planning and operational implementation – ­nationally and internationally. Sinus-Milieus are developed and validated individually for each country; they are currently available for 18 nations. Dividing society into “like-minded ­people”, depicted in the Sinus-Milieus, has proven its worth. Today Sinus-Milieus are part of the most important market media studies.

play and processes of environmental problems.15 This knowledge alone could even be imparted at school, but it does not lead to a change in behaviour if the people in question do not also have sufficient knowledge of how to avoid negative consequences for other people and the environment.16 In addition, knowledge of the specific effects of one’s own actions can promote certain behaviour. People who are convinced that their behaviour can have a positive effect on the ­environment are generally more environ­ mentally friendly.17 Common tools to change people’s behaviour ­include arguments, role models, direct and behavioural advice, reminders, voluntary commitments, “foot-in-the-door” techniques and external incentives or sanctions.18 For example, smartphone apps could enable product comparisons via QR code and thus demonstrate the consequences of individual behaviour. This could make the environmental compatibility of different products visible and thus provide a new decision-making basis for consumer behaviour. The Federal Ministry for the Environment, Nature Conservation and Nuclear Safety (BMU) and the Federation of German Industries (BDI) recommend a similar approach: They favour a label which assesses the environmental impact of products (from raw material extraction to production, distribution, purchasing and disposal) and thus simplifies resource-saving consumer behaviour. This kind of “product footprint” would help consumers directly identify the product’s climate and environmental compatibility, and act accordingly.19

The choice of measures also depends strongly on the target group to be influenced. In general, incentive systems and sanctions should be used wisely. Although the latter can help to make certain behaviour less common, it can also lead to the opposite. In this case, the people targeted by sanctions would deliberately behave in the oppos­ ite manner. There are many historical examples of this, such as the prohibition of alcohol in the US, or the relative failure of anti-smoking campaigns. Conversely, incentives for more ecological behaviour can also undermine personal motiv­ ation, as those affected only behave in an environmentally friendly manner if they receive a reward in return.20 Instead of merely rewarding or punishing specific behaviour, people’s environmental awareness must therefore be promoted in parallel. It is safe to assume that people go back to their beliefs when a new situation arises or when their usual behaviour does not lead to the desired result. This is the case, for example, when political or economic decisions change those external structures which promote or unexpectedly prevent certain behaviour.21 Target group-specific campaigns and arguments are required to promote awareness of the problem. These are particularly effective when the recipients are willing to receive and process the message. Without this willingness, there will hardly be any change in behaviour.22 The more specifically and personally interventions are planned, the more likely it is that they will be successful. Environmental awareness and behaviour vary from person to person. The

81

2.3 — Communities and Sociocultural Issues

1 Higher

Liberal Intellectuals 68 %

Established 55 %

Social Ecologicals 62 %

2 Middle

Traditionals 40 % 3 Lower

social status

basic values

Modern Mainstreamers 43 %

Performers 51% Cosmopolitan Avant-gardes 64 % Adaptive Navigators 42 %

Hedonists 59 % Precarious 51%

A Tradition

B Modernisation & Individualisation

C Re-Orientation

Fig. 5

respective development of awareness and behaviour depends, amongst other things, on the avail­ ability of time and physical resources, the current life phase, the geographical location (degree of urbanisation, retail options) and values.23 In urban and neighbourhood planning, however, it is hardly possible to take specific measures tailored to each individual person; group-specific measures seem more promising. Existing research on consumer types (e.g. Defra 2007) or milieus (e.g. Sinus-Milieus, Fig. 4) can be used to plan group-specific interventions. For example, milieu research provides useful insights into certain groups’ open-mindedness for, or hostility towards individual measures. If the target group is captured precisely, appropriate measures can be taken to change behaviour. A study on environmental awareness and behaviour in Germany published by the Federal Ministry for the Environment, Nature Conservation and Nuclear Safety (BMU) provides interesting findings in this respect: For example, people with a higher level of education in particular are very open to borrowing objects of daily use, such as tools or gardening implements. (Fig. 5). Along with the high acceptance of car sharing amongst these environmentally aware groups, this offers the opportunity to exert influence through structural and personal measures. Implementing the “sharing, not owning” principle could lead to energy and resource savings. At the same time, the members of these groups would set an example and thus stimulate behaviour changes in other groups.24 Intervention at several levels is necessary in order to counteract problems of climate change, high

resource consumption and environmental pollution and destruction. This means that possible measures must relate to both physical and social items. It is therefore not just about technological solutions such as increased energy efficiency, but also about overcoming underlying behaviour patterns. This requires a range of measures which, among other things, change external situations and structures in order to open up new possibilities for environmentally friendly behaviour. At the same time, people’s values must be influenced in such a way that they recognise and use these opportunities, because belief systems and thus individual values and attitudes determine how the environment is perceived and evaluated.25 It is also about developing alternative models for everyday life that can neutralise current consumption patterns fuelled by advertising. However, high environmental awareness does not necessarily lead to better environmental behaviour if the structural frameworks are not also adapted in order to provide appropriate scope for envir­ onmentally friendly behaviour.26 Successfully influencing behaviour requires a whole array of different measures and interventions, including a counter-offensive to advertising strategies which boost consumption, such as adverts for shiny new cars on empty roads in untouched landscapes.27

Fig. 4  The Sinus institute’s concept of milieus Fig. 5  Attractiveness of ­borrowing items for everyday use (overall population average 51 %)

Further information

•  Bundesministerium für Umwelt, Naturschutz, Bau und Reaktorsicherheit; Umweltbundesamt: Umweltbewusstsein in Deutschland 2016. ­Er­gebnisse einer repräsentativen Bevölkerungs­ umfrage. Berlin 2017 •  Umweltbundesamt (ed.): Marktbeobachtung Nachhaltiger Konsum: Entwicklung eines Instru­ mentes zur LangzeitErfassung von Marktanteilen, Trends und Treibern nachhaltigen Konsums. ­Dessau-Roßlau 2015 •  Byerly Hilary et al.: Nudging Pro-Environmental Behavior: Evidence and Opportunities. In: Frontiers in Ecology and the Environment Vol. 16 Issue 3 April 2018 •  Department of Environment, Food and Rural Affairs (Defra): A Framework for Pro-Environmen­ tal Behaviours. Report. London 2007 •  Linneweber, Volker; Lantermann, Ernst-Dieter; Kals, Elisabeth (eds): Spezifische Umwelten und umweltbezogenes Handeln. Göttingen 2010 •  Visschers, Vivianne et al.: Konsumverhalten und Förderung des umweltverträglichen Konsums. ­Bericht im Auftrag des Bundesamtes für Umwelt BAFU. Zurich 2010

23  BMU 2010, p. 13 24  Defra 2007, p. 11, 48 25 Bamberger / Kühnel 1998, p. 9 26  Preisendörfer 1999, p. 78 27  Stern 2000, p. 419

C H A P TE R 2

Challenges and Action Areas

2.4

Ecology

83

2.4 — Ecology

Challenges Protecting Species and Habitats G e rhard Haub er, Wal traud Pus tal

T

he highly complex topic of biodiversity can be simply defined as “the diversity of life on earth”.1 This term in­ cludes components such as genes, species, populations, ecological systems, and natu­ ral habitats and takes all geo­ graphical scales from the local to the global level into account.2 These are the main foundations for human life, and it is essential for our survival to protect and sustain them. Even though some calculations now prove that this also makes sense in economic terms,3 a quarter of all animal spe­ cies in the EU are nevertheless threatened with extinction. Only 17 % of EU protected habitats and species and 11 % of ecosystems are in good condition; all others are at risk – mainly because of human behaviour (Fig. 1, p. 84).4

Biodiversity Biological diversity is specifically mentioned in Article 1, Section 1 of the German Federal Nature Protection Act 2009 (Bundesnaturschutzgesetz BNatSchG). This covers the diversity of animal and plant species, and includes intraspecific ­diversity, as well as closely related forms of bio­ logical communities and habitats. Species can only survive in the long term if both a minimum number of genetically differentiated populations and the structure of associated ecosystems are preserved. The concept of biodiversity is also part of the Con­ vention on Biological Diversity for the protection of habitats and species (CBD), ratified at the 1992

UN Conference on Environment and Development in Rio de Janeiro (UNCED). Along with 191 other states, the Federal Republic of Germany is also a signatory. The CBD’s key objectives include: •• conservation of biological diversity (ecosys­ tems, species and genetic diversity) •• the sustainable use of its components •• the fair and equitable sharing of the benefits arising out of the utilisation of genetic re­ sources5 In principle, the term biodiversity covers all living organisms, including wild organisms as well as those bred and kept in captivity. However, Article 1 of the Federal Nature Protection Act (BNatSchG) is limited to organisms which are part of nature and landscape.6

Displacement Between 2013 and 2016, around 62 ha were de­ signed for settlement and transport in Germany every day.7 Settlements, roads, industrial areas and car parks destroy animals’ habitats and mi­ gratory routes, and interrupt water cycles. The move to use urban infill sites to make cities more dense is viewed positively in terms of preserving land, but it can also destroy protected natural features.8 Next to the use of land for construction, other major hazards for biodiversity include the input of harmful substances, such as air pollutants, excessive fertilisers, plant protection products (insecticides, fungicides, herbicides etc.), drug residues in soils and water and so on. These cause immense problems and costs, e.g. in treating drinking water.

1 Millennium Ecosystem Assessment 2005 2  Werner / Zahner 2009 3  Bateman 2012 4 European Commission 2011, Our life insurance, our natural capital, p. 1 5 Schumacher / Fischer-­ Hüftle 2011, Article 1, ­Marginalia 30, 35 6  ibid. margin. 39 7  Statistisches Bundesamt 8  e.g. LUBW 2013

84

Chapter 2 — Challenges

Decrease > 30 % 25 – 30 % 20 – 25 %

Fig. 1  Global biodiversity development for 2090 (scen­ ario: “Business as usual”, data derived from Newbold et al., 2015)

  9 Schumacher / Fischer-­ Hüftle 2011, Article 1, margin. 6, pp. 82ff. 10 ibid. Article 40 margi­ nalia. 2– 4 11 These can be viewed at www.bfn.de 12 Schumacher / Fischer-­ Hüftle 2011, Article 1, margin. pp. 77ff.

Further information

•  Endlicher, Wilfried: Einführung in die Stadtöko­ logie. Stuttgart 2012 •  Sukopp, Herbert; Wittig, Rüdiger (eds): Stadtökologie. Stuttgart 1998 •  Werner, Peter; Zahner, Rudolf: Biologische ­Vielfalt und Städte. BfN Skripte 245, 2009 •  Wittig, Rüdiger; Streit, Bruno: Ökologie. ­Stuttgart 2004 •  www.cbd.int: Original text of the 1992 CBD Treaty and current information from the UN •  www.biodiv.de: German association providing current and easy-to-read information about ­biodiversity •  uknea.unep-wcmc.org: Ecosystem Assessment • www.umweltbundesamt.de

10 –20 % 5 –10 % 0–5%

Increase

Fig. 1

Alien and invasive species are also becoming more common.9 This often causes the extinc­ tion or displacement of endemic native species, the introduction of pathogens, or the destruc­ tion of certain types of habitats.10 Nationally and internationally, so-called “red lists” identify the degree of threat to each species.11 As not all components of biodiversity are endangered to equal extents, protective strategies must be adapted to match the type and extent of threats in each case.

Protective strategies Species can only survive in the long term if they have access to habitats of sufficient size and qual­ ity as well as sufficient opportunities for migra­ tion, exchange and distribution. The exchange between populations prevents genetic depletion and reduces the threat of extinction. Because

of climate change, preserving species’ genetic diversity and improving their adaptability takes on a particular relevance.12 Strategies to protect biodiversity in habitats and biological communities cover both natural and cultivated landscapes, and thus also include pop­ ulated areas and urban landscapes. The more richly structured these landscapes are, the higher their biodiversity. Protecting special, particularly threatened or strictly protected habitats and spe­ cies, and dealing with them in urban design gen­ erally also helps other species and is therefore an ideal way to protect species successfully. In Ger­ many’s Federal Act for the Protection of Nature (Bundesnaturschutzgesetz BNatSchG) this is gov­ erned in in Sections 31–36 relating to the “Natura 2000 network”, and in Sections 44–47 relating to specific species protection.

85

2.4 — Ecology

Challenges Urban Climate Jü r gen B aumül ler

T

he phenomenon of the urban climate has existed ever since people first started to settle down and build cities. Due to its specific location, each city creates its own climate. This is different from the regional cli­ mate, sometimes very much so. The differences depend on many factors, es­ pecially the size and density of the city. Cities are generally less windy, warmer, drier and dirtier. In comparison to the surrounding landscape, all of the meteorological parameters are changed in urban areas, including the composition of the air and the energy balance. The differences to surrounding areas become particularly evident in locally influenced weather conditions. Major cities’ polluted atmosphere weakens incoming solar radiation, especially in the UV range; wind speed is reduced, periods of calm become more frequent, relative air humidity is lower and tem­ peratures are higher (Fig. 2, p. 86). Particularly large temperature differences occur on cloudless nights. Night-time low temperatures in cities with more than a million residents can differ from minimum temperatures in surround­ ing areas by more than 10 °C. This effect is also called the “urban heat island”. One of the biggest differences in the urban atmosphere is that all kinds of pollutants accumulate in the air. In un­ favourable weather conditions, this can lead to harmful concentrations. High concentrations of pollutants tend to occur in winter (“London smog”) when high amounts of pollutants from heating, industry and traffic coincide with a poor exchange of air; or in summer, when strong solar radiation and high temperatures interact with fumes from vehicle traffic (“Los Angeles smog”). Man-made heating is also an important factor in

cities. This leads to additional warming, especially during the winter heating season. Depending on the city’s size and location, and the season, this can amount to around 10 –70 W/m2.1

Global scale Currently, more than 50 percent of the global population lives in cities. By 2050, this proportion will rise to 70 percent.2 The number of megacities with more than 10 million inhabitants is constantly increasing. Air pollution and overheating increase with the size of the city (Fig. 3, p. 87). This devel­ opment is taking place against a background of climate change and significantly rising tempera­ tures.3 Globally, the annual mean temperature may increase by up to 5 °C by the end of the cen­ tury. Even today, measurements clearly show that the earth has warmed by approximately 0.9 °C within the last 100 years. Against this background, it is necessary to reduce greenhouse gas emissions and to plan for cities and regions to adapt to cli­ mate change. The effects of the hot summer in 2003 are a foretaste of the problems we will face in future.

National scale In Europe, climate change will affect precip­ itation, but also air temperatures, with spatial differences between winter and summer (Fig. 1, p. 86). For this reason, the German federal cabinet adopted the “German Strategy for Adaptation to Climate Change (DAS)” in 2008.4 This envisages a

1  Kuttler 2010 2  UN 2008 3  IPPC 2007 4  BUM 2008

86

Chapter 2 — Challenges

Element

Measure

Difference to surrounding area

Radiation

Global radiation Ultraviolet radiation Sunshine duration

up to 20 % less Summer: up to 5 % less, Winter: up to 30 % less up to 15 % less

Temperature

Annual average Night minimum Heating days Duration of frost period Ground inversion

up to 1.5 K higher up to 12 K higher up to 10 % fewer up to 25 % shorter hardly present in urban area

Humidity

Annual average (relative humidity)

Summer: up to 10 % less Winter: up to 2 % less

4.5

Evaporation

Average

up to 60 % less

4.0

Wind speed

Annual average Gales Calms

up to 30 % lower up to 20 % fewer up to 20 % more frequent

Cloud cover

Degree of cover

up to 10 % higher

Visibility

Fog frequency Visibility up to 5 km

somewhat lower considerably worse

Precipitation

Amount (mm) Days with more than 5 mm Days with snowfall Dew

up to 10 % more up to 10 % more frequent up to 5 % fewer up to 65 % less

Air pollutants

Concentration

considerably higher

[K]

a

6.0 5.5 5.0

3.5 3.0 2.5 2.0

b

Fig. 1

Fig. 1  Projected increase in temperatures in Europe, from today until the end of the 21st century a  in winter b  in summer Fig. 2  Urban atmosphere in comparison to surrounding area Fig. 3  Factors influencing urban heat cycles Fig. 4  Schematic process for necessary research into the urban climate Fig. 5  Analytic chart, ex­­ ample from Stuttgart Region ­Climate Atlas (Klimaatlas Region Stuttgart): heat load in Stuttgart Region in the year 2000

Fig. 2

­ edium-term, step-by-step process, whereby m federal states join forces with interest groups in society to evaluate the risks of climate change, identify the possible need for action, define the corresponding goals, and develop and implement possible adaptive measures. The DAS adaptation strategy was supplemented by the “Adaptation Action Plan” (APA) in 2011. The German federal government identifies four priorities: •• Providing, informing and enabling knowledge •• National government framework •• Activities under direct federal responsibility •• International responsibility Since 2008, the Federal Ministry of Transport, Building and Urban Affairs (BMVBS), the Federal Institute for Research on Building, Urban Affairs and Spatial Development (BBSR) and the Federal Ministry of Education and Research (BMBF) have funded various pilot projects for climate adapta­ tion. The “KlimaMORO” (Spatial development strategies for climate change) model projects are aimed at the regional level, whilst the “ExWoSt”

(Experimental housing and urban planning) pro­ jects focus on the urban scale. The Federal Min­ istry of Education and Research (BMBF) has been funding the “KLIMZUG” (Climate change in regions) research programme in order to help increase competencies for climate adaptation in Germany.

Regional scale Generally updated every ten years, the German regional plans are a good instrument to ensure and promote regional measures for adapting to climate change. Spatial development must be aimed at permanently safeguarding protected ecological assets and the balancing capacity they provide, in order to guarantee the environmentally compatible development of settlement and infra­ structure. The climate, protecting the climate, air, and – since 2011 – climate adaptation are important

87

2.4 — Ecology

Effective terrestrial radiation (long-wave)

Solar radiation (short-wave)

Reflection and absorption through fog, clouds, dust, and other alien pollutants Reflection from ground (Albedo)

Diffuse celestial radiation + direct solar radiation = global radiation

Inbound atmospheric radiation

Convection and transport of latent and perceivable heat

do

be Al

Artificially generated heat

Outbound terrestrial heat radiation

Advective transport of latent and perceivable heat Wind direction

Heat storage, evaporation, photosynthesis in plants Fig. 3

Calculation Analysis Diagnosis Vulnerability

Therapy

Adaptation measures Counteractive measures

Environmentally friendly planning and urban development

Measurement Examination

Fig. 4

Fig. 5

concerns of spatial planning in the context of appropriate regional planning and urban devel­ opment planning. In order to give these concerns appropriate consideration, local governments need to conduct area-based studies and provide information focussed on urban regeneration, urban design, building conservation, green and open space planning, and the climate-adapted development of settlements and commercial areas. Regional planning-related climate atlases such as the “Stuttgart Region Climate Atlas”5 are valuable aids for coping with this task (Fig. 5). Climate adaptation focuses on flood protection and secur­ ing regional green corridors and green breaks.

Local scale As planning authorities, local governments bear the greatest responsibility for urban climates and climate change. In some German cities such as Berlin, Hanover, Hamburg, Stuttgart and Nurem­ berg, climate adaptation strategies are already being successfully developed. However, the im­ plementation of specific measures will still take some time. The main focus has been on the prob­ lem of overheating in summer, flooding near ­rivers and coasts, and local floods caused by heavy pre­ cipitation. Studies of the current urban climate, and scenarios for future development are funda­ mental prerequisites for action plans and impact assessments. Studies and plans must be formu­ lated at the local level because the effects of cli­ mate change vary from city to city and from region to region (Fig. 4).

Further information

•  Baumüller, Jürgen; Baumüller, Nicole: Städte im Klimawandel. Anpassung in der Region Stuttgart. In: PlanerIn 02/2010 •  Baumüller, Nicole: Stadt im Klimawandel. Klima­ anpassung in der Stadtplanung. Grundlagen Maß­ nahmen und Instrumente. Dissertation. University of Stuttgart 2018 (https://elib.uni-stuttgart.de/­ handle/11682/9838) •  IPCC Fifth Assessment Report Climate Change 2013/14 (AR5) •  Kuttler, Wilhelm: Klimawandel im urbanen ­Bereich. Teil 1: Wirkungen. Environmental Sciences Europe 2011 •  Kuttler, Wilhelm: Klimawandel im urbanen ­Bereich. Teil 2: Maßnahmen. Environmental Sciences Europe 2011 • www.klimamoro.de • www.umweltbundesamt.de/themen/klima-­ energie/klimafolgen-anpassung/werkzeuge-­deranpassung/projektkatalog/klimzug-klimawandel-­ in-regionen-zukunftsfaehig

5  VRS 2008

88

Chapter 2 — Action Areas

Action Area Open Space and Urban Climate Ste p han Anders, Gerhard Hauber, Walt raud Pus ta l

C 1  Watson 2011 2 National Ecosystem Assessment 2011 3  Werner 2009

ities are shaped by landscape, buildings and infrastructure. Creating and networking multifunctional green spaces plays a central role. In future, open spaces will have to be protected even more effect­ ively, and developed and extended as vital elements of urban life – rather than being reduced to “leftover areas” between buildings, as has often been the case up to now. Open spaces not only provide recreation, but also play a key role in urban climate adaptation strat­ egies. They are essential for stabilising urban bio­ diversity. Existing open spaces must be extended and new spaces created to provide attractive open space and spaces for all generations to enjoy in free-flowing movement.

Regional scale Future regional planning Regional planning mediates between the state level and the municipal level. Its task is to lay out the groundwork for a region’s spatial develop­ ment for housing and business, recreation and nature in the following years or decades. This is based on highly specialised expert opinions and often involves lengthy processes of negoti­ ation and coordination. The basic requirement is always to assess the impact of human interven­ tion in nature, and to balance these effects with the requirements of urban development. Up to now, the value of species and habitats tended to be seen in general social terms and was diffi­

cult to express more precisely. In 2011, the British government published a report on the “National Ecosystem Assessment” (NEA), which describes a new approach.1 The NEA attempts to capture ecosystems and their development processes in monetary terms. This provides the only way of comparing different management scenarios. The results are clear: For example, a compara­ tive study demonstrates that the macroeconomic results of conventional agriculture, which is ori­ ented towards farmers’ incomes, are very different from those of sustainable farming, which also takes habitats and the protection of species into account. The costs of conventional agriculture outweigh its long-term benefits, and it damages the environment. On the other hand, sustainable agriculture produces a positive monetary balance and preserves the cultivated area for society in the long term. Examples include fewer fertilisers, pesticides and sediments (erosion) flowing into rivers thanks to near-natural management. This makes it easier to treat the water for drinking, and thereby lowers costs.2 Future regional planning will have to further develop this type of approach and re-evaluate the cost-benefit ratio of indivi­dual decisions from this new point of view. Protecting species and habitats is important to society and should be given top priority.

Protecting habitats and ­biodiversity in urban areas Biodiversity in urban areas plays an increasingly important role in preserving biodiversity as a whole. In Europe, more than 50 % of all species in any biogeographical region are generally found in the cities.3 Many species, especially the “urban adapters” and “exploiters”4 find it easier to survive in cities than in our empty, intensively used agri­

89

2.4 — Ecology

Fig. 1  Green roof with beehives for honey production, City Hall, Chicago (US) Fig. 2  Connecting green areas through canal renaturation, Seoul (KR) Fig. 1

cultural landscape. Nevertheless, the relationship between cities and their surroundings is also an important factor for the development of sustain­ able biodiversity.5 Key factors include sufficient exchange, areas of supply and for retreat, and contact with other populations for genetic regen­ eration. However, cities are problematic: they are very vibrant, loud, and feature many irritations and extreme emissions. Amongst other things, major changes in urban light conditions influence some birds’ song rhythms as well as their breeding, feeding and flight.6 Toxic influences can cause stress in organisms and changes in plants and animals. The need for sufficiently large, specifically structured and net­ worked areas for plants and animals to develop thus takes on a new significance in the context of overall efforts to “protect species in the city” (Fig. 2). Because habitats are evidently important for preserving the value of our environment, pro­ tecting species will become an important strategic urban planning goal. A tried and tested approach is to define a number of key plant and animal spe­ cies, and create the habitats and networks required for their protection and development. This is not just about perfect, large-scale scenarios. It is also about exploiting and consolidating existing poten­ tials through numerous smaller measures. For example, settlements with many green areas can be improved in terms of protecting species, or the maintenance of roadside greenery can be adapted to the needs of plants and animals. There are countless possibilities at all scales. Primarily, it is important to get the fundamental topic of protect­ ing species rooted in general awareness and daily practice (Fig. 1).

Fig. 2

Integrating green systems

The networking and design of urban green spac­ es is important for residents to appreciate their ­residential setting and identify with their neigh­ bourhood. It is central to satisfaction and qual­ ity of life. Green systems include spaces such as parks, playgrounds and sports fields, street green­ ery, trees, avenues, allotments, cemeteries, water­ ways and embankments, nature conservation areas, urban forests, copses, but also private gar­ dens and parks, paths and stairs connecting pri­ vate and public green areas, say through dry stone walls. (Fig. 4, p. 90) Water bodies are par­ ticularly important green systems, especially flowing ­waterways. This list demonstrates that green and open space systems are extremely diverse, having developed very individually in every city or settlement, often over many centuries. In quantitative terms, residents in city centres or extended inner-city areas generally do not have enough access to green systems. In Berlin, nearly one million inhabitants have insufficient access to green and recreational areas according to current guideline values7 (Fig. 3, p. 90). It is nearly impossible to improve existing, very densely populated areas by providing new open spaces. For this reason, the Greater London Authority’s “All London Green Grid” open space concept focuses on upgrading existing residual and intermediate areas, as well as providing access and connection to existing green spaces. This is not just about networking public parks and green spaces, but also about including any type of space inhabited by plants and animals. Only continuous connections can create qualitative improvements in densely populated areas.

4  after Blair 2001 5  Werner 2009 6  Klausnitzer 1998 7  SenStadtUm 2013

90

Chapter 2 — Action Areas

Scale

Maximum distance

Open space area

m2 per resident

Dwelling

250 m

< 1 ha

4

Neighbourhood

500 m

1.1–10 ha

6

District

1,000 m

10 – 40 ha

7

City

5,000 m

> 40 ha

8

Fig. 3

8 Reuter / Kapp / Baumüller 2012, p. 192 9 Reuter / Kapp / Baumüller 2012, pp. 192 – 248

Fig. 4

Newer land-use plans, green area plans and the requirement for compensatory measures have led to a more sustainable development. For example, development plans generally set out a footprint ratio (GRZ) which ensures an open space share of around 40 percent and which provides some potential for increasing the proportion of green space. Green systems are constantly changing and never finished. Possible approaches for further devel­ oping existing systems include: •• consistently and radically protecting all habi­ tat areas, systems and structures as the basis of a stable natural system (see Protecting Spe­ cies and Habitats, pp. 83ff.) •• examining and including all open space, whether maintained or not, public or private •• consistently networking green areas to allow free movement for humans, animals and also for plants •• developing a vision for a green system as a basis for further urban development •• motivating residents to take small measures. Examples include the natural garden move­ ment, edible gardens in Andernach (Fig. 5), Prinzessinnengarten in Berlin, Urban Farmers in Zurich  GH, WP

Adapting building layouts to the urban climate In Europe, the influence of the urban climate on people’s well-being and health finally entered general consciousness with the hot summer of 2003. In the light of ongoing climate change and the associated increase in extreme weather events, Fig. 5

a building environment adapted to the urban climate will become increasingly important. The following goals should be pursued in plan­ ning for climate change: •• improving living conditions in terms of com­ fort and bioclimate •• improving airflows in neighbourhood •• promoting fresh air supply through local wind systems •• reducing the release of air pollutants and green­house gases •• identifying and appropriately evaluating existing or expected impacts (e.g. additional traffic, climate change) •• adapting use concepts to react to pressures appropriately8 Which measures make sense in detail and should be prioritised against other aspects of sustain­ ability, such as space-saving construction, ­largely depends on local conditions. For example, keep­ ing cold air ducts free and avoiding high-rise buildings with a negative effect on ventilation, is far more important in the Stuttgart valley b ­ asin than in the port city of Helsinki, which has to contend with too many cold air currents. How­ ever, it is important to consider not only the direction and quantity of air flow, but also its properties, such as temperature, humidity, and pollutants. The “Urban design climate reader” (Städtebau­ liche Klimafibel)9 includes the following recom­ mendations for the optimum planning of cities and districts for the urban climate: 1. Maintain and gain planted areas: •• Retain planted areas in landscape and green

91

2.4 — Ecology

The layout of the Masdar City urban development project in the Emirate of Abu Dhabi is based on the site’s wind systems. (Fig. 6) The road grid is rotated 45° out of the north-south axis. Streets running from north-east to south-west direct cool air through the city in the evenings. At the same time, streets are offset from north-west to south­ east to block or deflect the flow of hot desert winds through city. Finally, the layout was designed to ensure that public spaces benefit from as much shade as possible. Fig. 6

In order to meet these requirements, urban cli­ mate and air hygiene must be taken into account in land-use and traffic planning.  SA

Neighbourhood scale Integrating and designing open space The main goal of sustainable planning is to use land economically and sparingly. This is why today’s new housing estates are designed to be much denser, whilst existing neighbourhoods are densified. Large gardens can be divided, resulting in new land plots. This allows existing areas of detached, semi-detached, terraced or multiple occupation houses to be further developed. This spares nature and the landscape outside the city, but it also requires open spaces in the inner city to be handled extremely sensitively. Environmen­ tal functions must be considered, especially when areas where many people live close together are densified. Urban planning must not only ensure that development density is appropriate for the character of the neighbourhood, it must also ­significantly increase the quality of remaining open spaces in environmental and design terms. This can only be achieved if designing green spaces and considering all environmental concerns is always an integral part of urban planning. This integrated green planning must formulate and systematically implement guiding principles for the entire city. This should focus on creating a “green spine” as the key urban element. This could be a “green belt” of networked parks, gardens and bodies of water, or it could be a continuous, rena­ tured river system which is connected to parks, sports facilities and playgrounds, footpaths and

Fig. 3  Recommended green and open spaces per inhabitant Fig. 4  Dry stone wall, Trochtelfingen (DE) Fig. 5  Integrating urban green space and urban farming, edible gardens, Andernach (DE) Fig. 6  “Green fingers” for ventilation, Masdar City, Abu Dhabi (AE), masterplan: Foster + Partners Fig. 7  Urban design prin­ ciples for protecting fresh air corridors in hillside buildings Fig. 8  Correlations between urban density and ventilation a High density on the urban periphery b Decreasing density towards urban periphery

GGaaGa pp p

space plans (achieve nature conservation and landscape management goals) •• Avoid sealing soils (reduce thermal load or heat island effect) •• Green roofs •• Green facades 2. Safeguard local air exchange: •• Generate cold air (green open land, water, forests) •• Ensure the supply of fresh air (Fig. 7) •• Provide green corridors (e.g. climate-regulat­ ing function, spaces between buildings) •• Choose favourable settlement and develop­ ment layouts (e.g. decreasing density towards the edges, fresh air corridors, Fig. 8) 3. Implement measures to control air pollution (reduce emissions). For example: •• Provide green breaks downwind from com­ merce and industry to ensure settlements are protected •• Prohibit heating fuels with high particle emis­ sions, such as wood •• Promote environmentally friendly networks, shift through traffic out of residential areas 4. Conduct urban climate studies related to plan­ ning (simulations, wind tunnel investigations, measurements, expert assessments)

Fig. 7

a

Fig. 8

b

92

Chapter 2 — Action Areas

Fig. 9

10  cf. Frentzen 2006

cycle paths as well as integrated and connected public amenities. Neighbourhoods should plug in to this system, and local governments should implement policies to coordinate the private devel­ opment of neighbourhoods and buildings accord­ ingly. The following general principles, some of which coincide with the principles for planning an opti­ mum urban climate, can promote eco-friendly, near-natural urban development: •• space-saving development, minimum soil sealing •• handling topsoil carefully to avoid compacting the soil, according to DIN standards •• reducing the sealing of the ground and pre­ serving its capacity to recharge groundwater •• handling rainwater in a way which is compat­ ible with nature •• greening roofs • • greening facades (planting buildings and walls) •• providing eco-friendly lighting •• avoiding facades with large window surfaces and/or using glass which is safe for birds •• leaving and encouraging spontaneous vege­ tation on fallow land, roadside verges, tree discs and other unused areas •• coordinating maintenance plans for public green areas to promote near-natural areas •• promoting near-natural parks and urban for­ ests, forest and wooded areas •• greening streets intensively, using trees which are appropriate for the local area, preferable native species (tree rows, avenues) •• implementing natural designs and extensive

Fig. 10

maintenance in at least 50 % of public green space •• promoting naturally integrated urban devel­ opment through public relations •• encouraging residents and schools to sponsor certain green areas •• promoting opportunities to experience nature in urban areas Eco-friendly, naturally oriented urban develop­ ment is successful if the goal of a functioning ecosystem is endorsed politically, and clearly communicated to the public. Plans and projects must be set up as multidisciplinary projects and will only succeed in the medium- and long-term, if residents actively engage and take responsibil­ ity to identify with “their” eco-friendly city.  GH, WP

Solar gains Natural sunlight plays a very important role in people’s well-being. For topographical reasons, the village of Viganella in the mountains of Piedmont, Italy, enjoys only a few hours of sunlight every day, and is shaded all day on 83 days a year. This made its residents depressed, especially in the winter months, and many moved away. In order to remedy this situ­ ation, the mayor decided to install 14 steerable mirrors at 1,100 m height on a rock face, in order to direct the sunlight into the village. This solution is now being discussed in other villages with little sunlight.10

93

2.4 — Ecology

Reflective capacity (albedo) [%]

100 90 80 70 60 50

Fresh snow

Old snow

40 30 20 10 0

White paint

Ice Roofs

Dry sand

Walls Desert

Red, brown, green paint Meadows

Water

City

Forest

Streets

Fig. 9  Cube of plane trees at the Landesgartenschau Garden Exhibition in 2012, Nagold (DE), Ferdinand ­Ludwig / IGMA Stuttgart ­University, Daniel Schönle Fig. 10  Green noise barrier, Frankfurt am Main (DE) 2013 Fig. 11  Albedo of different surfaces

Fig. 11

On the other hand, traditional Arab architecture tries to let as little direct sunlight as possible into outdoor open space, in order to avoid too much solar radiation. Narrow streets, staggered build­ ings or awnings prevent extreme heating. These extreme examples demonstrate that specific strategies have to be developed to deal with solar radiation, depending on the neighbourhood’s location. It should be noted that global warming will require more thought on temporary measures to reduce the heat load, even in temperate climates (e.g. awnings, greening, air humidification or water).

Surfaces In addition to the intensity of direct solar radi­ ation, the surfaces used also have a significant influence on the heat input in the city. Unlike snow, sand or light colours, water, roofs and roads absorb a large proportion of incoming sun rays and thus have a low albedo (Fig. 11). The lower the albedo, the more solar radiation is absorbed by surfaces, and the more they heat themselves and their sur­ roundings (heat island effect). It is not without reason that houses in Greece are traditionally painted white. However, the albedo of a surface is not automatically equal to its contribution to the heat island effect. Green areas have a low reflectivity and thus absorb a large part of the incoming solar radiation, but incoming energy is converted by photosynthesis and thus does not contribute to heating. At the same time, green areas and permeable surfaces such as lawn grids or water-bound gravel allow water to evaporate

and thereby fulfil a kind of buffer function for the microclimate. Green surfaces need not always be horizontal, but can also be vertical greening, as in trees or facade greening (Figs. 10 and 11). In designing sustainable neighbourhoods, it is import­ant not only to select materials according to their aesthetic quality, durability and cost, but also to consider their effects on the microclimate.

Thermal comfort and well-being Air temperature alone does not define thermal comfort in outdoor areas. In fact, this is deter­ mined by a multitude of different factors such as direct solar radiation, wind speed, air humidity and thermal radiation from surrounding surfaces. At 35 °C for example, it makes a big difference whether this is in the direct sun or in the shade. For human beings, this can be equivalent to an air temperature difference of 15 °C in calm condi­ tions.11 This roughly corresponds to the daily temperature amplitude on a cloudless day. The Association of German Engineers (VDI) uses the so-called “Klima Michel” model (VDI 3787). This describes the human thermal balance and allows useful conclusions to be drawn (Fig. 12, p. 94).12 For example, perceived temperature (PT) depends, amongst other things, on wind speed and humidity, which influence the flow of heat from the body to the environment. In summer even low wind speeds (e.g. from fans) can gener­ ate sufficient evaporation and an associated pleas­ ant cooling effect. In winter, the “wind chill”

11 Jendritzky / Nübler 1981; ­Jendritzky / Sievers 1987 12 Helbig et al. 1999, pp. 136ff.

94

Chapter 2 — Action Areas

Fig. 12  The human organism as a complex of thermal effects (Klima-Michel Model) Fig. 13  Sun-sail in the “Calle Sierpes” pedestrian precinct, Sevilla (ES) Fig. 14  Outdoor water vaporiser, Hiroshima (JP) Fig. 15  Re-naturalised water course and near-natural design of adjoining Bishan Park, Singapore (SG) 2012, Atelier Dreiseitl

D A

EKM

B

R QRE QL E QH

R EKM

M

E QSW

E

R

M Total energy turnover QH turbulent flow of perceptible warmth QSW turbulent flow of latent warmth Gesamtenergieumsatz turbulent flow of latent warmth through QM L turbulenter Fluß fühlbarer Wärme QH water diffusion turbulenter Fluß latenter Wärme Q thermal flow through breathing QRESW turbulenter Fluß latenter Wärme durch QL (perceptible and latent) Wasserdampfdiffusion

Wärmefluß über Atmung (fühlbar und latent) QRE Components of radiation balance Q derradiation Strahlungsbilanz Q direct solar I Komponenten I Sonnenstrahlung diffusedirekte solar radiation D D diffuse Sonnenstrahlung radiation (short waves) R R reflected Reflexstrahlung (kurzwellig) thermal radiation A A atmospheric Wärmestrahlung der Atmosphäre E E thermalWärmestrahlung radiation from surrounding surfaces der Umgebungsoberflächen des Menschen thermal radiation EEKMKM humanWärmestrahlung

Fig. 12

13 e.g. Stadt Reutlingen, 1979, 1984, 1989, 1994, 2000, 2010

makes icy temperatures feel colder, so that 0 °C can feel like -15 °C. Simulations of wind speeds near the ground show that these can vary greatly in individual areas. This should be taken into account in planning and land use. Perceived temperature can be influenced by means of shading elements such as narrow streets and awnings, (Fig. 13) or by taking local wind speeds into account. Another option is to change the humidity. Green and water areas help to lower the perceived temperature completely naturally through evaporation. Solar-powered spray mist systems for outdoor areas achieve similar effects (Fig. 14) and are already being used in the public realm in some countries. This is an interesting solution, particularly with regard to adapting existing urban structures to climate change.  SA

Influence of open space on microclimate Fig. 13

Relevant climate changes such as rising average temperatures and changing precipitation patterns have a lasting effect on our cities and the lives of people who live in them. The consequences are likely to include more frequent and longer hot spells in summer and fewer, but more severe rain events. The effects are dramatic. Local and regional floods are already becoming more com­ mon, due to overstretched sewer systems. In addition, a significant increase in climate-related health issues is to be expected. Green spaces and open spaces can positively counteract this effect. They are one of the key elements in making climate adaptation in cities possible. They reduce (peak) temperatures in

Fig. 14

summer, filter the air and thus reduce air pollution. They are able to purify rainwater and discharge it into groundwater in a clean state, or temporarily accumulate it and thus relieve wastewater and river systems. Plants help identify and evaluate existing prob­ lems. For example, some groups of plants react to rising urban temperatures, others to air pollution or to certain pollutants in the air. For example, lichens are used in standard processes to indi­ cate urban air pollution, because they are very widespread and extensively studied. In this way, changes in the composition of air pollutants can even be documented over decades.13 However, the relationship between vegetation, climate and air hygiene is very complex. Trees can either absorb some of the air pollutants dir­ ectly or deposit them on the leaf surface. However, in badly ventilated streets, this can even lead to increased concentrations of pollutants. In ped­ estrian areas, squares, parks and green areas how­ ever, the positive effect of trees is measurable and noticeable. During the day, typical, extremely high inner-city temperatures occur at roof level, rather than in the space occupied by humans (up to approx. 2 m above ground level). Temperatures in this area stay at levels which hardly differ from the sur­ rounding countryside, particularly because of the shade provided by buildings. However, this space does not cool down at night, especially in clear summer weather when air pressure is high and winds are low. The facades of buildings and the surfaces of roads and pathways release the thermal energy accumulated during the day, causing tem­ peratures to remain unpleasantly high. Well-placed trees can naturally reduce heat absorption during the day but must not bring the air exchange to a standstill at night.

95

2.4 — Ecology

Fig. 15

Roof and facade greening provides a more suit­able alternative. In this context, research by TU Berlin on the combination of facade greening and facade structures reveals interesting findings: Foliage keeps the facades cool in summer and reduces the effort required for interior air conditioning, whilst greenery loses its foliage in winter to expose walls to solar radiation. The advantages of green areas are most evident in relation to rainwater management (see Water and Soil, pp. 99ff.). Every litre of rainwater which does not enter waste water and urban river sys­ tems, or enters them with a time delay, helps relax the situation, especially during heavy rainfalls. Overflows from overloaded sewage treatment plants into rivers cause great damage to animals and plants, particularly in habitat areas. Con­ trolling infiltration, retaining water, and flooding parks can prevent this happening and can be in­ cluded cost-effectively into the design of parks, even at a later date. This has little effect on their use for local recreation, as only few people use parks when it rains. Rainwater stored in the soil has a positive effect on the climate through in­ creased evaporation. If necessary, stored rain­water can be used for irrigation in summer with the ­resulting, targeted evaporation delivering a further climate benefit. The aspects mentioned above can be implemented with the following measures for urban climate adaptation: •• creating as many green roofs and walls as possible •• integrating rainwater management into green areas and other open spaces •• conducting appropriate studies and simula­ tions to avoid adverse effects when preparing street greening

•• creating a maximum volume of greenery in parks and pedestrian-dominated areas •• creating widely dispersed urban “climate is­ lands” to provide public cooling areas

Multiple use of open space In future, green spaces and other open spaces will have to fulfil an increased range of functions for climate adaptation – such as rainwater manage­ ment, which can be achieved easily. However, establishing zones or periods of protection to pre­ serve biodiversity limits the possibilities for human use. For example, the animal and plant life on inner-city waterways requires as many natural shore areas and protected shallow water zones as possible. This must be balanced with the leisure use of river banks (e.g. “urban beaches”). In add­ ition to their actual and primary use, allotments, urban farming or gardening as well as private gardens in areas of detached housing can help protect species of habitat systems. Multifunctionality is an important basic principle of sustainable planning and can have an extremely positive effect in making our cities more ecofriendly. Ideas and concepts are available, however the cost and effort of maintenance increases with the degree of multifunctionality. Involving resi­ dents and users in the planning process will be crucial for successfully implementing such con­ cepts. In the end, ambitious projects of this kind can only be successfully implemented in an open, broad-based dialogue aimed at achieving a broad social consensus.  GH, WP

Further information

•  Bingham-Hall, Patrick: Garden City Mega City. Singapore 2016 •  Bruse, Michael: Stadtgrün und Stadtklima. In: LÖBF Mitteilungen 01/2003 •  Fezer, Fritz: Das Klima der Städte. 54 Tabellen. Gotha 1995 •  Kemper, Tobias; Riechel, Robert; Schuller, Tobias: Klimaanpassung in Mittel und Südhessen. Modell­ vorhaben der Raumordnung. Raumentwicklungs­ strategien zum Klimawandel. Gießen 2011 •  LA.BAR Landschaftsarchitekten in collabor­ ation with TU Berlin Fachgebiet Landschaftsbau – Objektbau: Leitfaden nachhaltiges Bauen – Außenanlagen. Endbericht. Commissioned by BMVBS and BBSR. BBR. Berlin 2011 •  Landeshauptstadt München: Grünplanung in München. Munich 2005 •  Senatsverwaltung für Stadtentwicklung und Umweltschutz Berlin: Versorgung mit öffentlichen, wohnungsnahen Grünanlagen. In: Umweltatlas ­Berlin. Berlin 2013 • www.london.gov.uk/what-we-do/environment/ parks-green-spaces-and-biodiversity • www.stadtklimalotse.net • www.staedtebauliche-klimafibel.de • www.umweltbundesamt.de/daten

96

Chapter 2 — Challenges

Challenges Protecting Water and Soil Antje Stokman

S

oil quality and water availabil­ ity are key requirements for humans to settle in the land­ scape. Its appearance is the result of the interplay between water and soil in the global ­water cycle – there is no soil with­out water and no water without soil. Unlike other resources, which form part of a degenerative material flow, water is not consumed, but is locked into a permanent global cycle driven by solar radiation. Liquid water con­ stantly evaporates and forms clouds in the atmos­ phere. These water reserves fall back to earth as precipitation, where they form bodies of water and groundwater. Flowing water shapes soils and ­topographies through continuous erosion. At the same time, many factors in soil and topography shape bodies of water. Waters and soils change over different periods of time and in different spatial dimensions. Thus they are expressions of the complex natural processes of landscape change. As the basis for human, animal and plant life as well as soil organisms, water systems and soils have many natural functions which are precisely described in the German Water Resources Act (Wasserhaushaltsgesetz WHG) and the German Federal Soil Protection Act (Bundes-Boden­ schutzgesetz BBodSchG) (Fig. 1). Waterbodies are the source of water for humans to drink, for indus­ trial processes and for agricultural irrigation. At the same time, they fulfil important functions in terms of fishing, freight shipping, recreation and biodiversity and make an important contribution to degrading pollutants through their capacity for biological self-purification. Whereas waterbodies are aquatic ecosystems, soils are terrestrial eco­ systems. They provide an important habitat for

plants and animals, ground for agriculture and forestry, as well as sites and raw materials for urban development. Soils act like sponges and store rainwater in their pores. This leads to a reduction in surface precipitation run-off and therefore reduces river flooding. Soils make stored water available to vegetation, and without water reserves stored in the soil there would be no green, pro­ ductive landscapes. At the same time, the ground can absorb waterborne harmful substances and nutrients, bond them to soil particles and remove them through processes of transforming substanc­ es. The process of water passing through the soil through the infiltration of precipitation generally produces clean groundwater suitable for drinking water extraction. As the pressure for land use and the economic value of land rises, the amount – and nature – of space to be given to natural water sys­ tems, and land to be sealed as development land, is subject to increasingly pressing debate. The resulting effects on the urban soil and water ba­lance are described below.

Urban change Due to robust global urbanisation and the eco­ nomic growth in the last 150 years, many water systems and soils have been significantly trans­ formed. Ever since the birth of cultivation dur­ ing the Neolithic revolution ten thousand years ago, agriculture and forestry have generally been geared towards maintaining or increasing the prod­u ctivity of natural ecosystems. This has changed in many regions as agriculture has turned into agricultural industry. Soils’ ecological function is partially impaired as they are com­ pacted by large machines. In cities, soil is mainly

97

2.4 — Ecology

Basis for human life Function as the basis for human, animal, and plant life and soil organisms (BBodSchG Article 2 (2) 1 a)

Building land, raw material supply

Basis for animal life

Natural soil fertility

Basis for plant life

Potential to develop habitats

Basis for life of soil organisms Capacity to retain nitrate

Groundwater recharge Natural function as a ­component of the natural cycle, especially water and nutrient cycles (BBodSchG Article 2 (2) 1 b)

Nutrient cycle Surface run-off

Capacity to retain precipitation

Water cycle

Water storage for vegetation

Retaining and buffering inorganic pollutants / heavy metals Natural function for degrading, balancing and building up material impacts due to capacity to filter, buffer and convert substance properties, particular for protecting groundwater (BBodSchG Article 2 (2) 1 c)

Degrading organic pollutants

Protecting groundwater

Buffering acid Filtering substances which cannot be absorbed

Storing rainwater

Reducing surface run-off Fig. 1

used as building land, whilst water is drained and becomes sewerage. Both are used for depositing and disposing of solid and liquid waste. These interventions seriously affect important natural properties and functions. In urban areas, the original soil is often removed and replaced with industrial ground coverings. This process compacts and seals the soil. The ground drops out of the cycle of rainwater in­ filtration, pollutant filtration and plant growth. Three different groups of urban soils can be iden­ tified: 1 •• soils which have developed naturally be­ fore being changed, particularly common in less densely built-up areas or in parks and gardens •• artificially composed soils, characterised by restructured natural substrates (sand, gravel, macadam etc.), technical substances (building rubble, waste, sludge etc.) or mixtures of the above •• sealed soils, whereby the degree of sealing can be classified as either extreme (100 % under buildings/asphalt) or moderate (80 %

under paving with few joints, 40 % under ­paving with many joints) (Fig. 2) Water which cannot infiltrate into the ground in the city has to drain away in other ways. Precipi­ tation is discharged through drains above and below ground level. This means that water drains away very quickly and is not available to evaporate or to recharge groundwater for plants and ­humans. Large amounts of water quickly flow through drains and into rivers, and result in extreme peaks in run-off, especially during heavy or prolonged precipitation. In a natural setting, the floodplains of rivers provide enough space for managing higher water levels and draining them slowly. By contrast, urban areas do not offer sufficient space for waterways. Instead, these are straightened, diked and channelled in order to quickly drain away as much water as possible in a short time. This causes ever higher flood peaks and greater flood risks further downstream. At the same time, the high degree of sealing in urban areas lowers the groundwater level. In ­periods of low precipitation, certain watercourses

Fig. 1  Hierarchical structure of natural soil functions Fig. 2  Sealed urban soils

1  Sukopp/ Wittig 1996, pp. 169 –176

Proportion of sealed soils 0 –15 %

low

agricultural land, forests, parks, allotments, cemeteries, aerodromes, ­playing fields (can also be moderate)

10 – 50 %

moderate

detached and terraced housing with gardens

45 –75 %

medium

terraced housing with communal green space, public buildings

70 – 90 %

high

dense perimeter blocks, commercial and industrial buildings

85 –100 %

very high

city centres, industry

Fig. 2

98

Chapter 2 — Challenges

Clean precipitation Low water level [l/s·km2] High water level [l/s·km2]

709

Groundwater level

Groundwater

307 3

2 Brownfield, Agriculture

Surface run-off Infiltration into groundwater Separating horizon Groundwater storage Impermeable layers

202

Forest

Evaporation

1 Built-up area

Flood River Wooded Low-lying plain flood plain agricultural land Natural flooding area

Settlement

Wooded hillside

Infiltration areas, water-storing open areas

Sealed surface

Infiltration, groundwater recharge

Fig. 3 Polluted precipitation Water extraction

Groundwater deficit

Fig. 3  Increased frequency of flooding and simultaneous increase of low water phases and/or drought as a special problem in settlement areas Fig. 4  Natural (a) and urban (b) water cycle

Water extraction = additional lowering

Channelled river = flood risk

Infiltration Shore filtrate

Industrial area

Urban area

Highlying agricultural land a Evaporation Surface run-off Dried up groundwater flow

Weak groundwater flow

Residential area

Waste water and polluted rainwater run into channelled rivers through sewer system and on into the sea Sealed areas

Fig. 4

Part-sealed areas b

2 UNESCO 2003

Further information

•  Henninger, Sascha (ed): Stadtökologie. ­Paderborn 2011 •  Hüttl, Reinhard; Bens, Oliver (ed.): Georessource Wasser. Herausforderung Globaler Wandel. Beiträge zu einer integrierten Wasserressourcen­ bewirtschaftung in Deutschland. Heidelberg 2012 •  Hurck, Rudolf; Raasch, Ulrike; Kaiser, Mathias: Wasserrahmenrichtlinie und Raumplanung. Berüh­ rungspunkte und Möglichkeiten der Zusammen­ arbeit. In: Alfred Toepfer Akademie für Natur­ schutz: Fließgewässerschutz und Auenent­ wicklung im Zeichen der Wasserrahmenrichtlinie. Kommunikation, Planung, fachliche Konzepte. ­Schneverdingen 2005, pp. 37– 50. •  Sukopp, Herbert; Wittig, Rüdiger (ed.): Stadtökologie. Ein Fachbuch für Studium und Praxis. Stuttgart 1996 •  Versteyl, Ludger-Anselm; Sondermann, Wolf Dieter: Bundes-Bodenschutzgesetz (BBodSchG). Kommentar. 2005 •  UNESCO: The United Nations World Water Development. Report 1. 2003 •  WWF International et al.: Living Planet Report 2012. Biodiversity, Biocapacity and Better Choices. Gland 2012

or stretches of waterways can completely dry out, a phenomenon which is otherwise only found in arid or semi-arid areas. Whilst water levels continue to rise during floods, adjacent drained soil layers collapse and are ­penetrated by oxygen. This makes the soil de-­ compose. A typical consequence of drainage and channelling, this subsidence is a major problem, especially in water-rich areas such as the Nether­ lands. The subsidence in turn increases the risk of flooding: Once water has broken through dikes and channels, it cannot flow off naturally. As a result, far larger areas of land are flooded, which are much lower-lying than before diking and drainage. At the same time, increasing global population and climate change are making the global water shortage more acute. UNESCO estimates that

global water consumption has increased approxi­ mately six times between 1930 and 2000. This is due to the tripling of the world’s population and the doubling of average per capita water consump­ tion.2 UNESCO expects that half of the world’s population could suffer from water shortages due to the effects of climate change by the end of this century, and that a third of the global land mass could no longer be usable for agriculture. The great challenge of urban planning is therefore to develop compact cities without sealing any more large open spaces, and which even when built resemble the natural water cycle of evapor­ ation, infiltration and run-off as closely as possible. The aim must also be to reduce global drinking water consumption in areas affected by water shortages. This means reducing the amount of fresh water used directly or indirectly to provide goods and services.

2.4 — Ecology

Action Area Water and Soil Antje Stokman

U

sing water and soil sustain­ ably, and ensuring that they are sustainably protected, is about taking a holistic view of the varied mutual rela­ tionships and interactions between ground water, soil and water protection. This requires scientific, legal, political and planning approaches which consider and integrate the vari­ ous factors as part of an overall system. Current scientific findings and legislation provide the ­basis for preparing specific strategies and measures for soils and waters. Due to the very low rates of regeneration, soil is a resource that cannot be multiplied. For this reason, protecting soil is a key element of sus­ tainability strategies, whilst these are designed to preserve the soil’s most important functions. These include: •• Habitat: providing space and nutrients for human, animal, and plant life, as well as soil organisms •• Use: providing raw materials, being available for agriculture and forestry, development and other public and business uses, transport, supply and disposal, etc. •• Regulation, storage and filtering: storing and filtering precipitation, retaining nutri­ ents, storing pollutants in the soil matrix, soil organisms which degrade organic pollu­ tants, storing of climate-relevant trace gases, etc. •• Archive of geological and cultural history In Germany, the German Federal Soil Protection Act (BBodSchG) and German Federal Soil Pro­ tection Code (Bundes-Bodenschutz- und Alt­ lastenverordnung BBodSchV) provide the legal

framework for considering and protecting these soil functions, and individual soil protection laws at the state (“Länder”) level. There is still no agreement on a coherent EUwide soil protection policy: the first draft of a ­European soil protection framework presented in 2006 has not yet been adopted. However, the European Union aims to bring together and unify existing member state regulation, and make it binding for all members. At the international level, the United Nations Conference on Environ­ ment and Development’s (UNCED) environmen­ tal policy principles and objectives address soil protection as one of the most important tasks of the future. Threats to water in urban areas include surface and groundwater pollution, falling groundwater levels, and extreme hydraulic fluctuations between high and low water levels. Integrated Water Re­ sources Management (IWRM) aims to support efforts to develop and manage existing water and land resources, and the associated natural re­ sources in a coordinated sustainable way. In the year 2000, the European Water Framework Dir­ ective (WFD) adopted IWRM principles as guide­ lines for managing water (but not soil) in Germany and Europe (Fig. 3, p. 101). The WFD aims to direct EU water policy towards environmentally friendly, sustainable water use. The directive extends the focus of observation to natural water catchment areas and thus calls for spatial action frameworks for natural water cycles, rather than administrative urban, district or national boundaries. Compre­ hensive inventories and integrated management plans have been prepared for all river catchments, taking interactions between surface, ground and, where appropriate, coastal water into account. The process was completed in dialogue with local

99

100

Chapter 2 — Action Areas

From land

From sea

Human Cd use

Evaporation Precipitation Surface run-off

Pb

Contamination H+ Pb Stores water Cd Hg Pb Ni Pb Offsets high-water peaks Retained H+ water Cd Filters (e.g. heavy metal)

Filtration

Infiltration

Buffers (e.g. acidity) Capillary rise

Transforms (e.g. anorganic pollutants)

H+ Cd Groundwater Pb Hg Pb

Cd

Cd = Cadmium Pb = Lead Ni = Nickel Hg = Mercury H+ = Hydrogen (Positive)

Fig. 1

Fig. 1  Important soil functions (filtering and buffering) Fig. 2  Degraded soil in the Langenäcker-Wiesert neighbourhood, Stuttgart (calculated with “Verlust von Bodenressource” software, based on soil quality map and soil protection concept) a  Current soil condition b Soil condition according to development plan Fig. 3  River catchment areas in Germany, which serve as the basis for implementing the European Water Framework Directive.

1 Statistisches Bundesamt 2015 2 Gunreben / Dahlmann / Frie 2007, pp. 34ff. 3 Statistisches Bundesamt 2017

Protecting soil and sustain­ able land management

governments, users and interest groups in the respective catchment areas. In many catchment areas, so-called water advisory councils were ­established, engaging stakeholders from very Urbanisation and the associated reshaping of soils different sectors of society. The WFD aims to has a much more serious impact on the natural ­restore surface waters to a good ecological function balance than agricultural and forestry soil man­ From land From sea by 2027 and to preserve the usability of ground­ agement. For this reason, the federal legislature Human water. requires economy and resource awareness in using Cd use land (BauGB Article 1, Section 6). Despite this Evaporation In Germany, the Federal Water Resources Act legislation, a steadily increasing share of Ger­ Precipitation Pb (WHG) came into force in 2010, creating a uniform many’s total area has been used for settlement national basis for implementing water legislation and transport in recent years, with the national Surface in line withrun-off the European Water Framework Dir­ around 13 percent.1 However, Contamination H+ Pb Stores wateraverage currently Filtration Hg from region to region and rises ective (WFD). Internationally, theCd principle of this varies greatly Pb Ni Pb Offsets high-water peaks integrated water resource management has found to more than 50 percent in densely populated Retained + H water Cd transport areas, around Filters (e.g. heavy metal) areas. In housing and its way into almost all sustainability strategies and Infiltration water policy declarations. This includes the United of soils are sealed.2 This corresponds Buffers (e.g. 46 percent acidity) to around 6 percent of Germany’s total territory. Nations Millennium Development Goals adopted Transforms Capillary in 2001 and the UNESCO World The daily consumption of Cd undeveloped = Cadmium land in (e.g. anorganic pollutants) rise Water Reports Pbuntil = Lead published as from 2003. The latter provide an Germany steadily increased the end of the H+ Ni = Nickel Cd Pb Cd links overview of global waterGround resources, 20th century. However, there now signs of a waterincluding Hg =are Mercury Pb + = Hydrogen (Positive) to other aspects such as populationHggrowth and turnaround: The four-year H average of 120 ha per climate change. day (1993 – 1996) has since steadily declined to 62 ha per day (2015). Nevertheless, the amount of land used by each individual has increased since 2003, due to the decline in population. Thus, land use per capita has increased from 505 m2 (1992) to 606 m2 (2015).3 This means that land use con­ tinues to become less efficient, even as the rate of consuming previously undeveloped land is falling.

Urban and regional scale

Preventive measures to protect the soil and ­i ntegrated water resource management are ­fundamental prerequisites for sustainable urban and regional development. This requires ­comprehensive basic information and planning tools.

The Federal Government aims to limit land con­ sumption to 30 ha per day by 2020. It is essential to intensify inward development and promote space-saving development within and outside built-up areas in order to gradually reduce land use and soil sealing, and limit building on near-natural

101

2.4 — Ecology

Lacking Very low

a Fig. 2

soils.4 Implementing land resource management systems and local government soil protection policies on the basis of municipal registers of new development land, infill land and brownfields are key to the success of this approach. Regional or municipal soil information systems with com­ prehensive maps of sealed soils provide another important planning and decision-making tool for local governments to evaluate progress in meeting the requirements of the Federal Soil Protection Low High govern­ Act.Lacking In order to reduce soil sealing, local Very low Medium Very high ments should implement measures to promote making soils permeable once again (“unsealing”), and rigorously prevent further increases in sealing urban soils. This can be achieved by development plan conditions, financial incentives to “unseal” private areas, strict policies to “unseal” municipal and public transport land, and increased fees for draining sealed private surfaces. As far as possible, it is also important to avoid the undesirable input of substances into the soil, to comprehensively record, investigate, and evaluate sites known or suspected to be contaminated and remediate these where necessary (Fig. 2).

Integrated water resource management The aim of integrated regional and municipal water management IWRM must be to: •• reduce the flow speed of precipitation and thus reduce the threat of flooding in urban waters, •• reduce the lowering of the groundwater and the decline in groundwater recharge, •• counteract the deterioration in the quality of

Low Medium

High Very high

b Lacking Very low

Low Medium

High Very high

rainwater, water bodies and groundwater •• improve the structure of water bodies and their ecological permeability In urban area, the concept of water-sensitive urban development is an important guiding princi­ple. This involves making sure that the urban water cycle is taken into account in urban development and landscape planning. A further overarching goal is to make it easier to experience water in the city and creatively integrate it into the design of multifunctional urban and open spaces. All this can only be achieved through interdisciplinary collaboration between water management, urban development and open space planning, since these must be given joint consideration in order to cre­ ate and use synergies for environmental, eco­ nomic, social and cultural sustainability (Fig. 4, p. 102).5

4  BBR 2004 5  Hoyer et al. 2011, p. 18

In implementing water-sensitive urban develop­ ment, it is essential to develop regional and muni­ cipal development plans in order to arrive at an integral approach to the management of urban water cycles. Necessary measures also include: •• treating and reusing rainwater, and enabling the infiltration and delayed discharge of rain­ water (integrated rainwater management), •• creating areas to drain and store rain water in extreme rain events and measures for flood resilience (integrated flood risk management), •• reducing the need for drinking water, redu­cing waste water and recycling treated waste water (integrated waste water management), •• re-naturalising or structurally reconstructing urban waterways (integrated waterway devel­ opment). Fig. 3

102

Chapter 2 — Action Areas

Components

Tasks

Stakeholders

Safeguarding water supply

Environmental ­engineers

Rainwater management Sustainable water management

Waste water treatment

Environmental ­scientists

Improving water systems Protecting surface and groundwater Water-sensitive urban design

Analysing ecological requirements Urban planning

Analysing economic requirements Analysing social requirements Analysing cultural requirements

Landscape design

Safeguarding design quality Contributing to urban attractiveness

Environmental ­planners

Urban and landscape planners Government stakeholders

Integration

• Managing the entire water system • Contribution to ­sustainability in cites • Creating framework conditions for attractive and humane living ­environments

Architects and Engineers Landscape architects Urban designers and architects

Fig. 4

Fig. 4 Components, tasks and stakeholders of water-sensitive urban development Fig. 5 Components of ­integrated rainwater ­management

The following section sets out individual ap­ proaches for implementing and specifying meas­ ures at the neighbourhood scale. It is important that these are coordinated and integrated at the regional or urban level. The aim must be to com­ bine and create synergies between measures to make flooding less likely (e.g. integrated rainwa­ ter management and measures to reduce soil sealing), measures to improve the ecological structure of waterbodies (renaturation, more space for flooding and retaining water), and mechanisms for flood protection (water storage, construction adapted to flooding). This helps create a system of measures relating to buildings, land, neigh­ bourhoods and districts as well as to the whole city or region: combining green roofs, plants to purify water through vegetation, swales for road­ side drainage, higher-level green corridors, and water meadows to form a water-sensitive, inte­ grated overall urban development system. At the same time, the technical, design, social and eco­ nomic potential of different water management options make urban spaces attractive and easy to experience.

Neighbourhood scale The field of integrated water resource manage­ ment and water-sensitive urban development offers many opportunities to develop integrated, interdisciplinary neighbourhood concepts, start­ ing from the following points.

Integrated rainwater management Traditionally, public urban spaces have been designed to create dry surfaces such as streets, squares or lawns which are accessible for use at any time. A close-meshed, maximum-capacity drainage system drains rainwater off sealed sur­ faces as quickly as possible and leads it through an underground storm water or combined sewer system in order to release it into bodies of open water, either directly or indirectly via sewage treatment plants. However, recent years have seen a paradigm shift towards decentralised rainwater management, including water management stra­ tegies to avoid flooding, hydraulic pressure on flowing waters, and sinking groundwater, and to reduce cost in building and maintaining technical systems. The concept of near-natural rainwater management generally includes a combination of four basic principles: collection and direct reuse of rainwater, evaporation, infiltration and redu­cing run-off (Fig. 5). Rainwater use reduces the annual run-off of pre­ cipitation and can also contribute to capping peak flows, depending on the volume of water reser­ voirs. It also offers great potential for saving drink­ ing water. Evaporation and infiltration of precipitation reduce the amount of water to be drained away. The evap­ oration of water promotes a good microclimate, whereas infiltration ensures that groundwater is recharged. In areas with easily draining soil, infiltration can take place in shallow depressions or ditches. In areas with less well-draining subsoil, seepage trenches help conduct water through

103

2.4 — Ecology

Evaporation

Reduction

Use

Infiltration Fig. 5

underground gravel bodies into layers suitable for interim storage. The principle of reducing run-off is to cap peak flows of surface water. This requires an appropriate volume to be available in order to retain and temporarily store water. Local peak flows of water can be reduced by delaying and dosing drainage. Planning approaches must be developed to make it possible to experience systems to drain, collect and clean rainwater as attractive elements of spatial design. This requires water management professionals and designers of urban and open space to work together from the outset of design and planning. The topographical conditions, the flow patterns and the technical components to purify, use, store and drain water are starting points for the design of urban and open spaces.

Integrated flood risk management In the past, moving home to flee from water was often the last resort for residents seeking to avoid the threat of flooding. Today, moving to safer areas is often impossible or undesirable. Eco­ nomic development and settlement pressure, and the attractiveness of waterfront locations have led to the development of low-lying areas and flood plains. Areas threatened by flooding often include good agricultural land and eco­ nomically interesting development sites. As a result, they are often home to many people and valuable assets. The Water Resources Act (WHG) sets out conditions for waterside development in defined flood areas. In principle, designating new development land, and constructing or

extending buildings is forbidden (WHG Article 78 Section 1). Exceptions are only possible if all WHG requirements are met: there must be no negative effect on flood protection, the run-off of flood water, or the water level of waterbodies, so that there is no negative effect on the water cycle. New buildings in flood areas must be con­ structed to avoid any danger to life, or consider­ able damage to health or property (WHG Article 78 Section 2 No. 3). Attractive waterside locations can only be used if due care is given to providing information, protecting property, and taking structural precautions in terms of adaptation of construction methods and materials. This must be disseminated via information portals and planning aids.6 Due to the increased frequency of extreme wea­ ther events caused by climate change, it is to be expected that urban sewage systems will no longer be able to drain the water underground, leading to more frequent inner-city flooding. Events of this kind are typified by short reaction times and potential sewage backflows. This means that floods can occur very quickly in urban areas, even where no water is visible. Construction methods adapted to flooding help reduce risk by reducing the likelihood of damage. The “three pillar” model includes the following measures to help reduce flood damage and build­ ing’s exposure to flood damage:7 •• Avoid: Reduce the negative impact of floods by retaining water in the area, use traffic and open space to retain over capacity run-offs and reduce flow speed •• Protect: Provide technical flood protection such as protective walls, dykes, dams, flood

6  BMVBS 2010 7  LAWA 1995

104

Chapter 2 — Action Areas

Protect stationary

mobile

• Install protective structures into buildings to protect from flooding, rising groundwater, sewage backflow • Integrate protective structures into public open space

• Use mobile elements to protect buildings • Use mobile elements externally but retain relationship with water

Tolerate

Raise

Go with the flow

Withdraw

• Respect constraint of historical locations • Keep up existing ­retaining areas • Create new retaining area as usable open space

• Create refuge spaces • Raise buildings on stilts • Combine raised ­buildings and dykes

• Create amphibian ­houses and summer infrastructure • Use for leisure • Design floating buildings and leisure uses • Use house boats instead of buildings • Use as a lake

• Flee from water • Resettle • Return to wilderness • Create new location quality • Create escape routes

Fig. 6

troughs and retention areas, and locally protect buildings and structures at risk •• Pre-emt: Prevent development of endangered areas, adapt construction methods and build­ ing uses, provide warning and evacuation systems to influence behaviour and adopt insurance models for risk 8  Prominski et al. 2012

Integrated spatial strategies should comprise not only technical, organisational and legal measures, but should be embedded in planning and devel­ oping urban and open space developments with the aim of generating synergies and spatial qual­ ities by combining different measures (Fig. 6).

Integrated development of waterbodies and river area design From the industrial revolution on, urban river embankments between low and high water levels were designed according to increasingly functional considerations. A variety of technical designs were characterised by uniform channel cross-sections which are as smooth as possible for maximum drainage capacity. In extreme cases, this created sterile concrete channels with vertical walls, often also with concrete covers to create additional road space. This kind of design is engineered in order for watercourses to fulfil the function of a sump, optimised with regard to preventing floods and maintaining waterways. Due to the current EU Water Framework Directive, countless European and German authorities are now faced with the challenge of reconfiguring waterways in order to resemble nature more closely. Implementation

of the Directive focuses on the morphological and ecological aspects of water. The main aim of a Water Development Concept is to implement measures to make waterways resemble the nat­ural condition as closely as possible. However, this goal must not be seen in isolation, as rivers and their banks fulfil important functions as urban open spaces and significantly improve quality of life in increasingly urban societies. Making more space available for waterbodies increases opportunities to allow their own natural development in the design. This calls for the devel­ opment of innovative interdisciplinary approaches to the adapted design of landscape elements and uses in frequently flooded areas near bodies of water.8 For example, waterside areas which are flooded first can be planted as natural flood plains, with terraces, ramps, stairs and observation platforms to provide direct access to the water in key lo­ cations. Paths at different levels allow the park to be used during both low and high water. To achieve this, the choice of plants, different use areas and furnishings must match the respect­ ive frequency and depth of flooding. Processes, whereby flowing water changes course to create new shorelines and islands in the river bed, re­ sulting in a natural and varied appearance, are described as morphodynamic processes. These should be promoted where dynamics of water currents and available space make this possible. The combination of fixed and mobile elements also offers a wide range of design options for in­ tegrating flood protection systems in open spaces close to the banks: Walls and dykes can be

105

2.4 — Ecology

Restoring soil fertility

Collecting rainwater Nutrients

Agricultural use

Treatment / Disinfection / Energetic use

Faecal matter Grey water Urine

Reuse Do not release sewage into waterbodies

Fig. 6  Individual key ­strategies for construction adapted to flooding Fig. 7  Water cycle based on Ecosan system

Fig. 7

c­ ombined with lockable steel sluices, hatches and mobile aluminium dam beams. These elem­ ents retain the areas’ accessible character, as they close off open spaces only in emergencies. In order not to act as barriers, walls and dykes should be designed as attractive, multifunctional, accessible, experiential landscape elements. Embankments thus provide a stage for the dynamic processes related to waterways to be more consciously per­ ceived.

Integrated and decentralised waste water management The expensive and technically complex centrally organised system of water supply and disposal was developed in the water-rich industrial coun­ tries. As the current global water scarcity is set to increase in future, approaches for reducing water consumption are now coming to the fore. Trad­ itional flushing toilets and alluvial drainage sys­ tems, which require an extremely expensive water infrastructure, and which in many countries results in high drinking water consumption and largely untreated discharge into the waterbodies, are thus open to question. Against this background, there is a great need for flexible, decentralised, cost-­ effective and resource-saving systems.9 Even today, a large number of new sanitation and waste water technologies and methods offer opportuni­ ties to shift away from currently predominant waste water disposal and treatment. Decentralised concepts for waste water disposal and treatment, such as the “ecological sanitation” (Ecosan) con­ cept promoted by GIZ envisage processing raw faecal matter as fertiliser or biogas and recycling

it in agriculture, rather than mixing it with drink­ ing water and flushing it away (Fig. 7). Depending on the context, a variety of low- or high-tech solu­ tions can be employed: compost toilets, purifying water through vegetation, waste water ponds and biogas plants were regarded as outdated transition technologies to be used in areas where a connec­ tion to a central supply and disposal system was not yet financially feasible, and was planned for a later date. However, in the light of the challenges relating to the high cost of central systems, inter­ est in these technologies is now growing. One advantage of these technologies is that some of the necessary structures can be created by users themselves and are therefore comparatively in­ expensive. At the same time, high-tech solutions such as separation toilets with vacuum sewerage, anaerobic treatment processes and membrane technologies are becoming available in developed countries. In comparison to conventional systems, these technologies save between 20 and 40 percent of drinking water because faeces are mixed with very little drinking water, or none at all, in order to be flushed away. A decentralised reorganisation of water infra­ structure systems goes along with an increase in the number of waste water treatment plants vis­ ible above ground, which need to be integrated into the urban environment. Increasingly, urban open spaces must accommodate combined drain­ age and retention elements as well as cleaning systems. This has a noticeable impact on the char­ acter of settled areas and calls for innovative designs which integrate water infrastructure and make it an attractive and usable feature in open space.

9  Lange /Otterpohl 2000

Further information

•  Hoyer, Jacqueline et al.: Water Sensitive Urban Design. Principles and Inspiration for Sustainable Storm Water Management in the City of the Future. Berlin 2011 •  Stokman, Antje; Dieterle, Jan: Hochwasseran­ gepasstes Bauen als Strategie der integrierten Stadtquartiersentwicklung am Wasser. In: BMVBS (ed): Integrierte Stadtquartiersentwicklung am Wasser. Schriftenreihe Werkstatt: Praxis, Heft 77, Berlin 2011, pp. 44–47 •  UNEP; European Environment Agency: Down to earth: Soil degradation and sustainable develop­ ment in Europe – A challenge for the 21st century Environmental Issue Series, No. 16, Copenhagen 2002

106

Chapter 2 — Challenges

Challenges Material Flows Jul ia Böttge, Marcel Özer, Daniela Schneider, Bas t ian Witt s tock

M

aterial flows are every­ where in urban space. They can be seen in (delivery) traffic and regular refuse collec­ tion service. Any prod­ ucts and materials used in the city cause direct or indirect material flows. For example, direct material flows include food purchases, whereas indirect material flows include the supply of coal for power generation, which becomes tangible in the flick of a light switch. (Figs. 1 and 2). The wide range of activities in urban areas gen­ erates extremely complex material flows, and reducing their negative impact to a minimum requires thorough analysis and optimisation. Because of this complexity, the focus is always only on a selection of material flows. 1  TU Wien 1996 2  Beckenbach /Urban 2011

Closing material cycles and reusing mater­ ials previously considered as waste will gain an increasingly important role in future. This shifts the focus towards issues such as use cycles, flexi­ bility, disassembly and ease of recycling, aspects which are seen to present opportunities such as urban mining. The great challenge of future urban development is to transform our disposable society into a circular economy. Buildings and cities are an especially important repository of resources, thanks to the wide range of very complex and varied materials used in them. However, they also present challenges to the recov­ ery of recyclable materials. In future, construction waste will need to be separated more rigorously into individual material groups such as concrete, gypsum, plastic, steel, and timber etc. so that these

can be recycled and used again. However, recyc­ ling used building materials from current buildings and infrastructure is set to become much more challenging in the near future, because of the ­rising use of composite and problem materials. Com­ posite building materials make disassembly and recycling much more difficult. They end up in building rubble and construction waste, where they reduce material quality. A further problem is that the lack of information about materials when buildings are dismantled makes it difficult to sort materials by type. Maintaining – and clos­ ing – material cycles requires parallel cycles of information and documentation. The aim is to create an overall documentation which makes materials traceable and legible throughout their life cycle. Defining targets for individual material flows is particularly difficult. This is because the balance of material flows varies massively, depending on the city’s economic activity (e.g. services or pro­ duction) and urban development (e.g. growing or shrinking cities), as well as many other aspects. Accordingly, targets for material flows must always be regionally defined.1 (Material Flow Analysis MFA)2 is used to examine material flows and look into the numerous, varied and multidimensional questions relating to this topic. The extraction of raw materials as such has no environmental impact, unless habitats are destroyed or degraded in the process. However, the processes used to extract raw materials cause environmentally rele­ vant emissions, e.g. through operating machinery or contaminating soil. The Life-Cycle Analysis (LCA) method describes various environmental impacts that are associa­ted with the entire life cycle of products and m ­ aterials

107

2.4 — Ecology

Sun, wind, environmental energy

Air, rainwater

Exhaust, pollutants, noise, light

Electrical energy (fossil / regenerative)

Electrical energy (power mix) Oil, gas

Oil, gas

Heating, cooling

Heating, cooling

Fresh water

Waste water

Biomass

Biomass, cascade step 2

Raw materials + products - Metals - Plastics - Glass, ceramic, mineral - Gaseous

Production

Waste products - Metals - Plastics - Glass, ceramic, mineral - Gaseous

Processes

Services

Components and building materials (products)

Components and building materials (products)

Foods

Foods

Services

Services

Human resources

Surfaces, biodiversity

Financial resources

Human resources

Water, energy

Financial resources Traffic

Traffic Fig. 1 Other waste

Abb. 7: Stoffströme im Ökosystem Gewerbegebiet, Drees & Sommer Advanced Building Technologies GmbH, 08/2014 14 %

Waste from mining and ore treatment 7%

Waste from waste treatment plant

412 Mio. t

13 %

54 %

Construction and demolition waste

13 %

Fig. 1  Example of material flows in an industrial estate Fig. 2  Waste volume in ­Germany, 2016

Household waste Fig. 2

and can capture the entire upstream chain’s ­environmental impact with a view to making im­ provements (see Certification and Evaluation Systems, pp. 218ff. and Action Areas: Material Flows, pp. 108ff.).3 Environmental impacts and resources needed are recorded for each step of the process. This makes it possible to model the product life cycle, identify weak points and eva­ luate alternative courses of action. Analyses and models of this kind are also becoming more and more important for cities. In planning individual neighbourhoods, it is especially important to de­ termine which material flows are caused or influ­ enced within the neighbourhood. All flows in and out of the defined system boundaries (i.e. inputs and outputs), as well as consumables applied to

them, used or transformed within them, or ex­ tracted from them can thus be compared. This makes it possible to identify potentials within neighbourhoods which function as “ecosystems” in terms of an association of interacting organisms. In industrial areas for example, it is possible to identify businesses which can collaborate and generate synergies (Fig. 2). Consideration must be given to the environ­ mental impacts arising from these material flows and to ways in which they can be reduced. For sustainable urban development, this model of urban material flows must be extended to include further aspects of urban design, the economy and society.

3  Klöpffer /Grahl 2009

Further information

•  Donner, Susanne: Die Stadt als Mine. In: Tech­ nology Review 04/2011 •  Jordi, Beat: Stoffflüsse im urbanen Raum. Die Versorgung der Stadt hängt von ihrem Umland ab. In: Umwelt. Natürliche Ressourcen in der Schweiz 04/2012 •  Sperling, Carsten et al.: Nachhaltige Stadt­ entwicklung beginnt im Quartier. Ein Praxis- und Ideenhandbuch für Stadtplaner, Baugemeinschaf­ ten, Bürgerinitiativen am Beispiel des sozial­ ökonomischen Modellstadtteils Freiburg-Vauban. Forum Vauban e. V., Öko-Institut e. V. 1999

108

Chapter 2 — Action Areas

Action Areas Material Flows Jul ia Böttge, Johannes Gant ner, Thomas Haun, Marcel Özer, Christina Sager, Daniela Schneider, Bastian Wittstock

1 Braungart / McDonough NY 2002 2  Rebernig 2007

I

deally, well-planned material flows form complete circuits of interlocking tech­nical and natural cycles.1 The cradle-to-cradle (C2C) design con­ cept developed by the German chemist Michael Braungart follows this approach. It is based on the idea of assigning all goods to either the technical or the bio­ logical cycle. Products should be designed in such a way that all components are either biodegrad­ able or recyclable at a consistently high level. C2C is thus oriented towards the natural principle of material cycles where all substances are in ­constant use and no waste is produced. There is still a long way to go for this to be achieved. Material flows must be consciously planned and documented at all levels, directed in the desired direction and preferably reduced, providing that the logistical structures are in place for this pur­ pose. This concerns the use of materials in neigh­ bourhood development and building construction as well as the supply of energy to urban areas. Urban supply and disposal systems must also be considered within the holistic planning framework. For this purpose, material flows relating to the entire life cycle of the neighbourhood and all its components must be taken into account (cf. Life-cycle analysis, p. 175f.) and the associated issues must be recorded, analysed and docu­ mented. Methods such as Material Flow Ana­ lysis (MFA) can be used to analyse material flows, whereas Life-Cycle Analysis (LCA) is suitable for considering the ecological effects in further detail. (cf. MFA and LCA, p. 106). Material flows relate to different planning hori­ zons, use requirements and time frames. A dis­ tinction is made between long-term material flows and short-term material flows. Special attention should be paid to what happens to materials in the long term. For example, some

building materials can be removed and recycled at the end of a building’s life and thus stay avail­ able beyond the initial use cycle. On the other hand, some materials dissipate2 because they are processed and very finely distributed. A major effort is required to make these materials avail­ able for later reuse. The aim must be to design and implement flexible uses for materials so that information and material cycles can be closed, and thereby to keep many options open to use mater­ials again later.

Regional scale At the regional level, it is important to distin­ guish between flows of material supply (import) and disposal (export) in planning terms (Fig. 1). Material flows also occur in consumption, use or further processing. In terms of timelines, it is important to distinguish between flows which store materials for long periods or result from mobilising materials stored for a long period and flows which only store materials for short periods or generate a continu­ous material flow. Buildings and structures that embed building materials for long periods can thus be described as long-term storage facilities. Large quantities of raw materials can be mobilised at the end of buildings’ lifetimes, in a process also known as urban mining. Existing domestic and commercial waste landfill sites are also long-term storage facilities. Reclaiming them mobilises s­ econdary resources. Continuous material flows which store materials only for short periods fall into several categories, but specifically include the supply of energy, food and consumer goods.

109

Water /Air Energy Food Consumer and investment goods Other raw materials / Half-finished products etc.

Export

Waste water Solid waste

Import

Emissions

2.4 — Ecology

Water Energy Food Consumer and investment goods Half-finished products etc.

Fig. 1  Example of urban ­material flows

Fig. 1

Spatial optimisation involves networking raw mate­ rial suppliers and customers in order to promote a regional use of materials which generates only short transport routes, where this makes sense in environmental terms. This relates both to regional primary raw material stores, and to disassembling neighbourhoods and buildings as potential secon­ dary raw material sources. Processes to recycle leftover construction materials are becoming more common and are the subject of ongoing research. Amongst other things, this focuses on the improved use of recycled building materials3 or innovative approaches for extracting high-­quality resources from construction waste (e.g. BauCycle). There are comprehensive possibilities to control material flows which do not involve long-term storage in the built environment at the regional level. Examples include supplying and disposing of regional water through inter-municipal single-­ purpose associations (which is quite common), or regional waste management systems which ope­ rate across local government boundaries. 4 The scope for regionally controlling material flows has not been fully exploited yet, especially with regard to energy.  JBÖ, JG, BW

Exergetic evaluation of cities and neighbourhoods Energy requirements for heating and cooling buildings are often met from fossil sources. The German government has set out sustainability goals to significantly reduce overall energy con­ sumption and increase the use of renewable ener­ gies. The Energy Saving Ordinance (EnEV 2016) sets out the framework for this, and promotes energy saving and efficient plant technology. The prospect of only allowing very low-energy new buildings in future maps out the path towards

reducing energy material flows in using buildings in the long term. Looking at exergy related to energy used in build­ ings is another important aspect. From a ther­ modynamic point of view, it is important whether the energy used is extracted from an energy source, or whether it is electricity or heat. In build­ ings, the largest share of energy is accounted for by space heating and cooling demand which can be provided from low-exergy sources such as lukewarm water. On the other hand, lighting, pumps and fans require high-exergy electrical power. Burning high-exergy fuels such as natural gas, heating oil, or even regenerative timber fuels in order to produce warm water wastes potential in terms of energy. Optimum solutions can be identified by analysing exergy in the energy supply.5 Much of the low-temperature warmth required for neighbourhoods, housing schemes or urban districts can be sourced by tapping existing waste heat sources, for example from industrial ­processes.6 Local and district heating systems are based on Combined Heat and Power (CHP), primarily to generate high-exergy electricity, but also to generate low-exergy heat for use where it is needed. Analysis at a larger scale makes it pos­ sible to redistribute and cascade the use of exist­ ing heating and cooling potentials.7 For example, residual warmth in district heating backflows can be used to heat new energy-efficient develop­ ments. Renewable environmental energy as well as solar and geothermal heat combined with storage and heat pumps can make meaningful contributions to the overall supply system. Exergy concepts aim to match demand-side and supply-­ side exergy levels as closely as possible. This ensures that high-quality energy sources are used sparingly and promotes the integration of envi­ ronmental energies into the energy system.  CS

Exergetic approach

The second law of thermodynamics (entropy ­theorem) describes the limits to converting heat into other forms of energy. In practice this means, for example, that one litre of heating oil can be almost completely converted into heat, but this heat ­cannot be converted back into the same amount of oil. The thermodynamic quantity of exergy quantifies this energetic quality, namely the transformability and usability of an energy flow in ­relation to the task to be performed (Rant 1956). The exergy approach for buildings uses low-­ exergy heat sources (e.g. waste heat, solar energy, geothermal energy) according to the given heat demand and thus preserves valuable high-exergy energy sources such as natural gas and oil or wood pellets.

3  Goetz 2009 4  Janda 2012 5  Fraunhofer IBP 2011 6  Torío 2012 7 Sciubba /Bastianoni /  Tiezzi 2008; Sciubba 2011; Stremke et al. 2011

110

Chapter 2 — Action Areas

  8  Schenkel 2003   9  Vogt 2010 10 Modellstadt Mannheim 2012 11  BDA 2012 12  Umweltbundesamt 2005 13  Hendrickson 2012

Housing block

Neighbourhood

Material flows

City

Waste management In large settlements and cities, separating housing from waste disposal is primarily necessary for the city and its residents’ health.8 In the last 70 years, scarce natural resources have changed perceptions of “waste”. The focus is now on the circular econ­ omy and the hierarchical approach to waste dis­ posal (avoid, recycle, treat, and dispose). In prin­ ciple, the amount of waste should be kept as low as possible and waste should be avoided. If this is not possible, recycling waste gains import­ ance for reducing the volume of material flows. Systems for collecting recyclable waste play a key role. This can be done in two different ways: One approach is to collect waste according to materials and, if possible, type. Alternatively, many different materials can be collected together.9 The advan­ tages of collecting materials separately are that this reduces the effort for sorting and offers pos­ sibilities for high-quality disposal. The disadvan­ tages are higher costs, greater effort and increased transport demand. The choice of collection system must be consid­ ered in detail, taking local conditions into account. If recycling does not make economic or environ­ mental sense, thermal recycling (incineration) or mechanical-biological waste treatment can be con­ sidered. Landfill is the worst of all solutions – but it may nevertheless be possible to recover gases from landfills which can be used to generate energy.

City and neighbourhood scale It makes sense to consider the potential of material flows in smaller units such as urban neighbour­

Fig. 2

hoods, because material flows become increas­ ingly complex as they grow in number and in rela­ tion to the size of an area. Spatial units of analysis should be defined on a case-by-case basis. It makes sense to view larger cities in terms of the entire city, its neighbourhoods and individual housing blocks (Fig. 2).

Urban and neighbourhood cycles Material cycles within cities play a key role in achieving an efficient raw material supply and optimising material flows. For example, neighbourhood energy flows are generated locally, e.g. through photovoltaics or combined heat and power (CHP) units. Consump­ tion control systems (“energy butlers”10) are ideal for ensuring that the highest possible share of electricity is generated directly where it is used. For example, electricity consumers (electric cars, refrigerators, washing machines, etc.) are switched on or off according to local electricity production, thereby reducing voltage peaks and coordinating the production and consumption of electricity as closely as possible. 11 Depending on local conditions, water manage­ ment within the neighbourhood can also offer an opportunity to optimise material flows. Some of the drinking water used for flushing toilets, wash­ ing, etc. can be saved by obtaining and storing rainwater on-site. Cascading the use of rainwater, grey water and black water offers the potential for great savings.12 Material flows can be further reduced through local food production, as urban food production (e.g. urban, vertical, and aquaponic farming; Fig. 3) eliminates long transport routes.13

111

2.4 — Ecology

Fig. 3

These potentials can only be partially exploited as a result of high inner-city density and o ­ ther ­issues. On the other hand, high urban density offers other opportunities such as the use of ­district heating and local electricity management. JBÖ, JG, BW

Reducing material flows in open space The issue of material flows is also relevant to the design of outdoor areas and facilities. The following measures can help reduce material flows: •• using available (regional) natural resources, raw materials and conditions (timber, rock, trees, waterbodies, etc.) above and below ground to reduce incoming and outgoing ma­ terial flows to a minimum. •• using available land sparingly (e.g. recycling brownfields) to reduce soil movement •• avoiding waste before it enters into the circu­ lar economy •• avoiding urban barriers by providing good access (short routes, activating and intensify­ ing pedestrian and bicycle traffic as well as public transport) •• considering the design of access routes to reduce sealed surfaces to a minimum (e.g. sharing car parking infrastructure) •• actively protecting soils by avoiding sealed surfaces and underground areas, avoiding soil compaction, structural disturbances and infil­ tration into the soil •• creating concepts for biodiversity, maintain­ ing existing vegetation structures •• treating rainwater and waste water locally and using local water sources •• recycling biologically on-site (e.g. using bio­

mass to produce energy or compost) •• producing food locally (e.g. crops, fruit trees, herbs, etc.)

Material flows Substances and emissions released during the manufacture, transport and processing of building materials can have locally and globally harmful impacts, which can be identified by means of life-cycle assessments. These impacts include intensifying the greenhouse effect, depletiing the ozone layer, contributing to soil acidification and eutrophication, generating ground-level ozone, and so on. Harmful substances such as anti-corrosive agents, timber preservatives, paints or adhesives can be dislodged, either by weathering or in processing and handling, and thereby present a further risk to water, soil and air. Substances, mixtures or products of this kind should be avoided or substi­ tuted. Green spaces, facades and roofs can contribute sig­ nificantly to counter-balancing damaging impacts. They bind CO2 greenhouse gas, create a better microclimate by cooling through greater evapor­ ation, and thus counteract the rising demand for cooling buildings. Using materials with a low solar absorption reduces the heat island effect. Light surfaces (cf. albedo, p. 93) should be preferred to dark surfaces, which gain and store a lot of heat. It is equally important to preserve, protect and further develop vegetation to minimise interfer­ ence in the ecosystem and thereby reduce mater­ ial flows. Regional materials, such as timber products from regional forestry, should be preferred and long transport routes avoided in order to reduce trans­

Fig. 2  Subdivisions within the city Fig. 3  Aquaponics: combined fish and vegetable farming at the Leibniz-­ Institute of Freshwater ­Ecology and Inland Fisheries (IGB) in ­Berlin (DE)

112

Chapter 2 — Action Areas

14 BMVBS 2012, p. 24f., pp. 27ff. 15 ibid., p. 38f. 16  Müller 2012 17 UBA 2012, Glossary on protecting resources

Further information

•  Bundesministeriums für Bildung und For­ schung (BMBF): r3 – Strategische Metalle und ­Mineralien. Innovative Technologien für ­Ressourceneffizienz. Bonn 2013; www.fona.de/ mediathek/r3/pdf/ •  Fraunhofer-Institut für Chemische Technologie (ICT): Übermorgen-Projekt “Molecular Sorting”. Perfekt getrennt – ressourcenschonend produ­ ziert; www.ibp.fraunhofer.de/de/Kompetenzen/ ganzheitliche-bilanzierung/Projekte/Molecular­ Sorting.html •  Karlsruher Institut für Technologie: Ganzheit­ liche Bewertung von Stahl und Verbundbrücken nach Kriterien der Nachhaltigkeit (NaBrü); stahl.vaka.kit.edu/713.php •  Rebernig, Gerd: Methode zur Analyse und ­Bewertung der Stoffflüsse von Oberflächen einer Stadt. Vienna 2007 •  Torio, Herena; Schmidt, Dietrich (eds): Report ECBCS Annex 49. Low Exergy Systems for High­ Performance Buildings and Communities. Stuttgart 2011 •  Sciubba, Enrico: A Revised Calculation of the Econometric Factors α and β for the Extended Exergy Accounting Method. In: Ecological Model­ ling, Volume 222, 2011, pp. 1060–1066 •  Sciubba, Enrico; Bastianoni, Simone; Tiezzi, Enzo: Exergy and Extended Exergy Accounting of Very Large Complex Systems with an Applica­ tion to the Province of Siena, Italy. In: Journal of Environmental Management, Volume 86, 2008, pp. 372–382 •  Daxbeck, Hans et al.: Das anthropogene Lager in der Steiermark. Entwicklung eines Urban Mining Katasters. Vienna 2015; www.rma.at/sites/new.rma. at/files/Projekt%20UMKAT%20-%20Endbericht%20 (Vers.%201.0a).pdf •  Braungart, Michael; McDonough, William: Cradle to Cradle. Remaking the Way We Make Things. New York 2002 •  Leibniz-Institute of Freshwater Ecology and Inland Fisheries (IGB): Aquaculture & Aquaponics; www.igb-berlin.de/en/aquaculture-aquaponics •  Bundesverband Aquaponik e.V.; http://bundes­ verband-aquaponik.de/

port and storage to a minimum.14 As a matter of principle, timber should only be sourced from certified timber suppliers, who can prove that their supply is sourced from regulated and sustainably managed forestry. Maintaining relevant components of outdoor facil­ ities also contributes to reducing material flows. Materials should be easy to replace or exchange and the system should be easy to operate. Opti­ mum maintenance ensures that components and materials achieve the longest possible service life and thus leads to lower life-cycle costs and environmental impacts. Decommissioning and disassembly should be given careful thought early in the design stage. It is advisable to select mate­ rials which are as durable as possible and offer a high reuse and recycling potential, and to choose low-waste constructions which can be dismantled by type. Floor coverings which are not bonded, such as paving stones and slabs, are particularly suitable for reuse, because they can simply be removed and reinstalled directly elsewhere (direct reuse). Other materials such as concrete, bricks and asphalt can be reused indirectly, i.e. through processing (recycling, upcycling, downcycling). Recycled building materials are mainly used as gravel or hard core for paved areas and paths or as aggregate for concrete products. Brick build­ ing materials can also be recycled, e.g. for use as planting substrate for green roofs. It is important to examine whether the use of recycled building materials is environmentally compatible and per­ missible on a case-by-case basis. As a result of recycling processes, recycled building materials may also involve higher emissions than materials from primary production.15 The measures listed directly or indirectly reduce material flows by preserving resources and ren­ dering plumbing and construction work as well

as early modifications or repairs unnecessary, thereby extending the life cycle. Natural (raw) materials can usually be returned to material cycles without any problems. Durability is a key principle, both in materials and in structures. Durable mater­ ials need to be replaced less frequently, resulting in lower costs, energy consumption and waste. They are usually also easier to care for and con­ serve resources for new materials.  TH

Building and infrastructure scale Many different materials are required during the entire life cycle of a building or infrastructure facility. In order to consume as few natural re­ sources as possible throughout the life cycle, it is necessary to define what is meant by the term “resource”, and how resource efficiency should be measured. Resource use can be viewed in terms of cost (as an economic measure) and natural resources. Nat­ural resources include abiotic and biotic primary raw materials, energy resources, water, land and soil, biodiversity and ecosystems as CO2 sinks.16 There is currently no universal definition for “resource efficiency”. Accordingly, the German Federal Environment Agency’s definition is used: “Re­ source efficiency is the ratio of a specific bene­fit or result to the use of resources required to achieve it.”17 Life-Cycle Analysis (LCA) and Life-Cycle Costing (LCC) are methods to consider many of the aspects mentioned above and demonstrate environmen­

113

2.4 — Ecology

tal emissions and impacts as well as respective costs throughout the entire life cycle. Resource efficiency is a complex issue which can be viewed in many different layers. This makes it difficult to make general recommendations. Nevertheless, Huber’s18 notion of sustainability can be applied to resource efficiency in order to arrive at the fol­ lowing points: •• Using material sparingly (sufficiency): As a matter of principle, it makes sense to use as little material as possible in buildings and consume as little energy as possible when using them. This preserves natural resources and reduces cost. But it is important to bear in mind that resource efficiency can also de­ teriorate as a result of using alternative or less material, making it important to give this point careful consideration. •• Making facilities or the overall building system more effective (efficiency): It is important to consider how resources are used throughout buildings’ entire life cycle in order to holistic­ ally evaluate individual measures, some of which may cancel each other out. For example, increasing the insulation of outer walls ­consumes more resources during construc­ tion, but may – to a certain extent – be com­ pensated through consuming fewer resources in use. •• Recycling, and replacing non-renewable with regenerative resources (consistency): Using renewable instead of non-renewable resources can increase resource efficiency, but this is not necessarily always the case. For example, existing heating systems can become less effi­ cient when converted to the use of renewable energies and may need more fuel to become more efficient again. This makes it impor­ tant to examine and weigh up this interplay in detail and on a case-by-case basis.

In considering material flows and resource effi­ ciency, it is crucial not only to optimise one area of sustainability, but to strive for a holistic approach to improvement. As has been explained, many individual factors are relevant, and must be evalu­ated in the wider larger context for a holistic assessment and interpretation.

Looking ahead Understanding material flows will become more important in future, as this offers the potential for major improvements in urban design. Meas­ ures and technologies which reduce the mater­ ial demand or help recover raw materials from finished products are gaining importance in the light of the increasing cost and decreasing avail­ ability of raw materials, the uncertain supply of raw materials, and their impacts on the environment. Urban and neighbourhood planners will increas­ ingly focus on efforts to reconcile local sources, material sinks and material flows. In addition to water, energy and classic material cycles, new value chains such as urban mining and urban farm­ ing will gain in importance. This is the only way to avoid unnecessary losses and reduce resource consumption. In planning buildings or urban neighbourhoods, it is therefore becoming increasingly important to compile an integrated planning team at an early stage, because aspects such as choosing the right materials or coordinating the various trades are becoming increasingly important. Material flows in production and use can best be influenced dur­ ing the design phase.  JBÖ, JG, BW

18  Huber 1995

114

Chapter 2 — Challenges

Challenges Mobility and Transport Jürgen Laukemper, Antonel la Sgobba

T

1 European Commission 2011 2  European Parliament 2008 3 BMVBS 2009; cf. NEP http://nationale-plattform­ elektromobilitaet.de 4 UBA 2012, p. 41; cf. ­Regulation (EU) No. 443/20095

he negative impacts of road traffic on people and the en­ vironment are especially no­ ticeable in cities. Increasing urbanisation, scarce resourc­ es and the negative effects of climate change pose new challenges to urban mobil­ ity. These include avoiding transport emissions (noise, CO2, air pollutants etc.) reducing resource consumption (energy, land, etc.), improving ­safety conditions, and taking increasing individual and general mobility requirements into account. ­Mobility has become a basic need. In this chapter, we distinguish between “transport”, which refers to the transport (or measurable movement) of goods and people and “mobility”, which relates to modern mobility demand and movement ­potential.

freer forms of individual mobility. At the same time, improved transport connections created new urban hierarchies. The invention of the aircraft and the advent of increasingly dense airline networks replicated this process on a global scale.

Mobility development

The European Parliament had already adopted the EU climate package in 2008, aiming to “reduce greenhouse gas emissions in the EU by 20 per­ cent by 2020, increasing the proportion of re­ newable energy sources to 20 percent and in­ creasing energy efficiency by 20 percent”.2 The German government has adopted a plan to pro­ mote electric mobility in order to meet these ­targets.3

The search for better living conditions has always led people to change location, making mobility a basic human need. As people have settled, the need to transport goods, people and informa­ tion has increased. Original modes of transport and logistics were mainly determined by muscle power. The industrial revolution fundamentally changed all of this, with the introduction of the steam engine, electrification and the subsequent invention of the internal combustion engine. Railways and motor cars on dry land, and steam transport on water, contributed to an unprece­ dented “compression” of space and allowed for

Until the 1950s, streets in European cities were dominated by bicycles, buses and trams. The mas­ sive spread of the motor car changed the image of the city. An increasing environmental aware­ ness, partly triggered by the first and second oil crises in the 1970s, led to initial resistance and initiatives to “save” European cities. However, problems have continued to grow, calling for a new culture of urban mobility. In 2011, the Euro­ pean Commission adopted a “White paper on transport”, which set out a roadmap for competi­ tive and sustainable mobility. This identifies ten benchmarks and sets out the target to reduce transport-related CO2 emissions to 40 percent of 1990 levels by 2050.1

Optimisations and improvements to vehicle tech­ nology based on combustion engines have already contributed to reducing energy consumption and emissions. The target is to permit average emissions of no more than 95 g/km from 2020.4 Despite technical progress, further efforts are necessary to meet this target. In 2011, transport (mainly on roads) accounted for 29 percent of final

115

2.4 — Ecology

1.1% Mineral oil products Gases Electricity (including renewable) Distant heating Renewable heating Coal and lignite Biofuels Other

8.2 %

13.3%

4.5 %

19.4 %

7.0%

19.3% Households 26.2 %

39.9 % 4.3% 6.7%

Trade Commerce Services 16.2 %

17.0 %

Industry 28.2 %

30.4 %

36.3 %

2.9%

0.3 %

Transport 29.5 %

1.5 % 4.0 %

2.4 % 31.6% 35.0 %

Total 2,542 terawatt-hours (TWh)

94.2 %

Fig. 1

energy consumption.5 (Fig. 1) In 2016, transport still accounted for 29.5 percent of final energy consumption, whereby 90 percent of fuels were oil-derived.6 Making the transport sector independent of fossil fuels remains a challenge. Switching to environ­ mentally friendly modes of transport and using transport more effectively can make a very signifi­ cant contribution to reducing energy consumption, even if the need and demand for individual mobil­ ity remains very high. This is evidenced by the rising density of motor cars in Germany, going from 525 cars per 1,000 inhabitants in 20117 to 548 passenger cars per 1,000 inhabitants by 2017.8 It is further reflected in the fact that, at nearly 900 bn passenger kilo­ metres, the volume of private motor transport accounted for 75.8 percent of the modal split (the share of traffic volume accounted for by various transport modes) in 2009.9 In 2009, the lion’s share of passenger kilometres were travelled for

leisure (35 percent), whilst other traffic-intensive sectors included employment (18 percent) and retail (16 percent).10 Traffic areas are a further noteworthy and resource-intensive aspect, even though they are only fully used during short, peak­ time periods (Fig. 5, p. 116). The space needed for parked and moving traffic leads to conflict and space shortages, especially in cities. Transport accounted for 21 ha out of a total 77 ha of land consumed per day in 2010, and yet the Federal Government’s declared goal is to reduce the total daily land consumption for housing and transport to 30 ha per day by 2020.11 As well as causing pollution and consuming space, the very high proportion of individual motor car traffic in cities also causes major congestion. At present, 60 percent of all kilometres travelled are located in the urban setting. If the total distance travelled were to triple by 2050, this would cause the time each individual spent in traffic jams to increase to 106 hours per annum.12  AS

20.3 %

Fig. 1  End energy consumption by sector and energy source, 2016

  5  UBA 2011   6 UBA 2018 (www.umweltbundesamt.de/daten/ energie/energieverbrauch-nach-energietraegern-sektoren)   7  VDA 2011   8 Statistisches Bundesamt, Press release 04.07.2017   9  UBA 2012 10 ibid. 11 ibid. 12  Arthur D. Little 2011

116

[m / person and day]

Chapter 2 — Challenges

Fig. 2  Transport growth and breakdown, France Fig. 3  Traffic including pedestrians and cyclists between 2002 and 2009, Germany [in bn kilometres per capita] Fig. 4  Problem of unbalanced transport infra­ structure capacity use, daily pattern by purpose, Brunswick (DE) Fig. 5  Interplay between traffic and individual needs

TGV

100,000

All means of transport Horses

Bicycles Buses and cars

Boats Aeroplanes

1950

1990 Year

10,000

1,000

100

10 1800

1850

1900

•  BMVI (ed.): Verkehr in Zahlen 2017/2018. ­Hamburg 2017 •  Infas; DLR: Mobilität in Deutschland 2008 (MiD 2008). Bonn/Berlin 2010 •  Kuhnert, Nikolaus; Ngo, Auh-Linh: Post-Oil City. Die Geschichte der Stadt der Zukunft. In: ARCH+ 196–197/2010

450 300

80

150

40 0 2002

2005

2008

Education Leisure Work

300,000 250,000 200,000 150,000 100,000 50,000 0

2009

Fig. 3

Education

Result of people and goods changing physical location

Fig. 5

600

350,000

Private errand Work errand Retail

0 2 Fig. 4

4

6

8 10 12 14 16 18 20 22 Daytime

Effects of transport demand

Transport

Leisure

750

0

Work

Housing

Air traffic Pedestrians Bicycles

Workday traffic Tue –Thu

Further information

900

Private vehicle transport Public transport Rail transport

[bn passenger kilometres]

[bn passenger kilometres]

Fig. 2

Retail

Mobilität – Möglichkeit, Ziele erreichen zu können

Satisfying people’s transport needs has an envir­ onmental cost. The challenge for the future will be to balance these needs with people’s social concerns and sustainable urban development. Transport generates many measurable environ­ mental impacts (noise, particulate air pollution, CO2, and nitrogen oxides). Mobility behaviour has already begun to change in society. Free mobility is no longer expressed by using the private motor car to reach any point

at any time. Instead, mobility needs are increas­ ingly being met by a variety of means, which are selected according to a range of factors including convenience, availability, cost and environmental impact. These behaviour changes provide excel­ lent opportunities to promote sustainable trans­ port and urban planning. This can be achieved by offering compatible transport chains, and espe­ cially by promoting environmentally friendly and sustainable means of transport.  JL

117

2.4 — Ecology

Action Areas Mobility and Transport Jü r gen Laukemp er, Antonel la Sgobba

M

aking mobility inde­ pendent of fossil fuels is an important goal of sustainable planning. Being networked has become a “basic need” in this age of informa­ tion technology and glo­ balisation. This demand is met not only by the internet, but also by an increasingly efficient in­ frastructure network that closely links long- and short-haul transport. Today, this link is seen as a location advantage for cities which look to survive in competition and which have a global and local presence. The city is a dense network of paths, streets, axes, squares, and digital infrastructures. The world now faces a historic paradigm shift which requires interdisciplinary discussion at all levels (social, political, technological and environmental) includ­ ing all stakeholders engaged in shaping sustain­ able mobility – from administrations, urban plan­ ners and politicians through to infrastructure service providers, energy providers, financial institutions, motor manufacturers, and urban residents. The future of urban mobility lies in networking, integrating a wide range of services, developing low-emission energy-efficient solu­ tions, and providing an adaptable, flexible trans­ port infrastructure.

Minimising traffic Many cities and professional circles have already shifted away from the car-oriented city to strive for sustainable mobility and an environmen­tallyfriendly city. (Fig. 1, p. 118).

Planning and design Cities are seeking to balance planning and design measures aimed at reducing or avoiding nega­ tive effects of traffic, with the effort to ensure and improve resident mobility and to safeguard urban supply. In doing so, they pursue new approaches and para­ digms: the compact city, the city of short distances, or the mixed city.1 The highly developed countries’ transition from industrial to service societies allows functions separated during the modernist era to be recon­ nected. This has the potential to shorten routes between homes and jobs and reduce the negative impacts of commuting. Much of the population wants to work in the city and live in the countryside, indeed the lack of affordable housing in key centres soon makes this a necessity, especially for families. This, however, generates even more traffic. On the other hand, commuter traffic can be reduced through more dense urban development instead of suburban­ isation. The modal split for passenger transport, i.e. the distribution of traffic among different modes of transport, shows that the proportion of individual motor transport is lower in core cities than in suburban or rural areas (Fig. 2, p. 118).2 The share of individual motor transport rises from the city centre to the periphery (Fig. 3, p. 118).3 The extent of motor car use also depends on popu­ lation density. In Germany, cities with more than 1 million inhabitants have 322 cars per 1,000 inhab­ itants, whilst cities with less than 500,000 inhab­ itants have 498 cars per 1,000 inhabitants.4 Reducing private motor car use in modal splits is an important task for the future. The eco-

1  Speer 2011 2  SRU 2012 3  Difu 03/2011 4  Stockburger 2012

118

Chapter 2 — Action Areas

Generating traffic

Distributing traffic

Mode of transport

Displacing traffic

Mode of transport

Route?

A B C Activity needs

Destination?

Models Data

Spatial structure

Undirected transport demand

Directed transport demand

Avoiding traffic

Modal split Displacing traffic

Traffic strengths Making traffic bearable

Fig. 1

[%]

[%]

5  Stadt Freiburg 2008 6 Breitinger 2012, cf. UBA 2016 7 Frey 2011; https://freiburg-vauban.de/verkehr/ 8 RASt06 – Richtlinien für die Anlage von Stadtstraßen

100 90 100 80 90 70 80 60 70 50 60 40 50 30 40 20 30 10 20 0

Private nonmotor transport (pedestrians, Private non- cyclists) motor transport (pedestrians, cyclists) 34% 37% 34% 9%

37% 15%

Public transport Private motor transport Public transport Private motor transport 32% 33% 32% 6%

33% 5% 5%

57%

62%

62%

57%

48%

62%

62%

10

Total

0 Fig. 2 100

Inner cities

Built-up areas

Rural areas

Total

Inner cities

Built-up areas

Rural areas

51%

45%

34%

27%

51%

45%

34%

27% 13%

[%]

[%]

6%

15% 48%

90 100 80 90 70 80 60 70 50 60 40 50 30 40 20 30 10 20 0 10 0

Fig. 3

9%

22% 26% 23% 23% 26%

13%

22%

26% 29%

44%

60%

26% Inner city

29% 44% 60% Inner city Urban Outlying periphery periphery suburb

Inner city

Inner city Urban Outlying periphery periphery suburb

and bike-friendly city of Freiburg aims to reduce private motor car use to as little as 28 percent by 2020, shifting the balance towards walking, cyc­ ling and public transport. The city’s transport development plan (Verkehrsentwicklungsplan VEP 2020) sets out specific measures such as ­extending public transport and cycle paths, traf­ fic calming, concentrating traffic, and parking management.5 Freiburg has provided cyclists with 500 km of cycle paths and a bicycle station providing park­ ing spaces for around 1,000 bicycles, bicycle ­rental and a repair workshop at the railway sta­ tion. In 1991, the city introduced an eco-ticket (RegioKarte), combining all public transport in one tariff. Whereas speed limits are widely accepted in resi­ dential areas, the proposal to implement a blanket 30-kph zone throughout the city is controversially discussed. Advocates emphasise safety and the reduction of noise emissions, whilst opponents emphasise that slowing urban traffic would gene­ rate bottlenecks, congestion and displacement traffic.6 The burden on residential areas can be expected to rise if key routes within the traffic network are no longer prioritised – for example by allowing the same speeds on all roads – as drivers would tend to choose the shortest route. Banning car traffic has been investigated and implemented in the context of concepts for low-car and car-free mobility, but only works at the neighbourhood level in residential and mixed areas. Vauban in Freiburg is an example of a neighbourhood where a largely car-free living concept was delivered as a flexible and mixed model of living without cars and parking. Households which contractually

commit to live without a car gain access to pub­ lic  transport and car-sharing. Collective garages on the periphery provide parking lots for homes without on-site parking spaces. The neighbour­ hood is not completely traffic-free, but largely traffic-calmed. Along with the city’s guiding ­principle of short routes, this mobility concept significantly improves residential and environ­ mental quality. Vauban is currently considered to have one of the highest child densities in Frei­ burg. Nonetheless, its residents will grow older and become more car-dependent. It remains to be seen whether the Vauban concept is flexible enough to adapt to demographic change.7 The 2006 German guidelines for the construc­ tion of urban roads (Richtlinien für die Anlage von Stadtstraßen RASt06) reflect an environ­ mentally compatible approach to transport plan­ ning. The guidelines set out “a balanced consid­ eration of all use requirements for road space” and takes issues related to urban planning and traffic, design and the environment into account. Street cross-sections are not determined by traf­ fic volume alone. This approach aims to create high-quality spaces by balancing the amount of space for vehicles, pedestrians, cyclists and for the ground floor uses of the adjoining buildings. For example, it states that 40 percent of available space should be dedicated to the carriageway, with 30 percent of remaining space flanking either side.8 Park-and-ride facilities on urban outskirts aim to reduce traffic density and the need for parking space in the city centre. Demand for parking spaces in the city could be reduced by up to 80 percent by strategically locating park-and-ride facilities along key access routes and near public transport stops, offering alternative mobility services, rais­

119

2.4 — Ecology

Fig. 1  Principles of sustain­ able mobility: avoid, shift, and design transport for compatibility. Demonstrated as part of the so-called four-step algorhythm of transport prediction. Fig. 2  Modal split of passenger traffic according to local government type Fig. 3  Modal split in relation to inner-city location (SrV 2008) Fig. 4  Introducing a tram line into an existing street space, Strasbourg (FR) Fig. 4

ing long-stay parking fees in the inner city, or introducing urban congestion charges.9 Banning car traffic in city centres risks shifting housing, jobs and retail to other areas (e.g. greenfield shopping centres, business and service loca­ tions), especially if these are dependent on car use. On the other hand, city-wide parking man­ agement could optimise the use of parking lots, offering evening long-stay parking to residents and short-stay daytime parking to visitors. Neigh­ bourhood car parks can also achieve high use rates, as they can compensate daily, weekly and annual fluctuations. Reducing urban car traffic to a minimum offers further benefits in terms of lower emissions and improved housing quality, which make cities more attractive. Many Euro­ pean cities have already begun to remove traffic and reclaim public space.

of materials and the design of transport stops and integrating the tram into the public space. Six tram lines covering 55.5 km of ground-level routes, 560 km of cycle paths, and the “Velhop” bike-share scheme with 4,400 bicycles set up in 2010 are only a few of the measures implemented. Under the banner of “Strasbourg, une ville en marche” (Strasbourg, a city in motion), the city aims to further promote walking for distances of less than 1 km by 2020. The design of street space remains a key step towards creating more attractive walking routes in order to achieve this target.12

Mixing traffic

Danish architect Jan Gehl argues in favour of liberating the city from cars to reconquer public space as a space for social life. In Copenhagen, many streets and squares in the city centre have been converted into pedestrian areas in the course of the last 50 years. Between 1962 and 2000, the traffic-calmed and pedestrian area increased from 15,800 m2 to almost 100,000 m2.10 Copenhagen is also one of the most bicycle-friendly cities in the world. In 2016, 41 percent of commuters trav­ elled by bicycle. The political goal is to increase the share of bicycle journeys to work and school to 50 percent by 2025.11

“Shared Space” has become a fixed term for inner-city zones where special rules apply. These differ somewhat from traditional pedestrian zones or traffic-calmed areas, such as those described in the German road traffic ordinance (Strassen­ verkehrsordnung StVO). Shared spaces put all modes of transport on an equal footing. Vehicle speed is limited and traffic is expected to regulate itself without traffic signs and lanes. The blind are the only user group to receive a system of guided routes. This approach prioritises creating highquality spaces, whereby some points are seen as critical, and shared space solutions are only considered suitable for low traffic volumes in small towns or in manageable inner-city areas.

Other cities have adopted similar approaches. Strasbourg has been pursuing a “mobilité dur­able” (sustainable transport) strategy based on sustain­ able mobility and enhancing public space since the 1990s. The city converted a former main road and reintroduced a tram to the city centre in 1994. (Fig. 4) Great attention was given to the quality

A positive aspect is that shared spaces allow street space to be used and shared more flexibly. Urban development requires public space to be more usable, as more and more people use the same space for increasingly varied transport modes. The concept of shared space is not new, especially in the historical urban context.

  9  Meyer 2013, p. 129 10  Gehl / Gemzøe 2006 11 City of Copenhagen 2017 12  Ville de Strasbourg 2011

120

Chapter 2 — Action Areas

Fig. 5

Fig. 5  Shared Space, Exhib­ ition Road, London (GB) Fig. 6  Lower energy consumption thanks to electric vehicles. These consume only a quarter of the energy used by petrol and diesel vehicles if they make use of renewably generated electricity.

Around the time of the 2012 Olympics, London converted the inner-city Exhibition Road to create a shared space. The street space was re designed to give greater importance to pede­ strians and tourists, who had previously only been allowed a third of street space. Dixon Jones Architects designed a chequered paving which apparently contradicts the street layout to fol­ low patterns of pedestrian movement, treat­ ing the streetscape as a single coherent space (Fig. 5).13  AS

Using traffic areas more flexibly

13  Schabel 2012

Reducing available traffic space and using it ­efficiently is essential for sustainability. It is rec­ ommended that traffic space in new develop­ ments should initially be dimensioned to meet short- to medium-term needs but designed in such a way that it can be easily expanded, adapted or converted later if necessary, both for indivi­dual transport and for public transport. Passenger rail transport only makes sense from a certain traffic volume, but it tips the modal split towards

public transport very considerably. Where ad­equate space has been provided from the out­ set, vehicle lanes can be rededicated to rail tracks. In Copenhagen, vehicle lanes were rededicated to bicycle traffic. Today’s designs should already provide these opportunities for future change. Traffic space can also be reduced in terms of car parking. This requires thinking about allocating parking space to the public instead of private indi­ viduals. Many private garages are used as add­ itional storage space instead of serving their ­ori­ginal use, and this leaves vehicles parked in public space. Sharing the use of parking lots can reduce the need for space, e.g. in larger residential units. Space can be reduced by sharing parking spaces between residents and service or office workers, provided that they do not need to use the space at the same time. Whilst residents mainly need space to park their cars during the night and at weekends, office workers need it during daytime working hours. Models of this kind must make sure that enough car parking spaces are reserved to be available to residents at any times.  JL

121

Petrol and diesel vehicles

45

Electric vehicles

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100

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5 0

Energy consumption [%]

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2.4 — Ecology

2005

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Fig. 6

Innovative tech­ nical approaches Technical innovation can help reduce the negative impact of transport (e.g. by reducing emissions and the risk of accidents causing personal injury and damage to property). At the same time, techno­logical development, information techno­ logy and social change influence and accelerate the development of new mobility concepts. Inno­ vative solutions for urban mobility already exist, but their influence on cities and neighbourhoods has not yet been fully researched.

Technical development of the motor car

while driving to zero. Today however, limited vehicle availability – partly due to long recharge periods, and partly due to their small range – pre­ sents a major disadvantage. In the foreseeable future, adapted use, especially in urban traffic, will be decisive for the spread of electric vehicles. The distances covered here are usually short, and charging stations by the roadside or in parking bays and battery exchange systems can extend vehicle range. Integrating vehicle charging infrastructure is an important design task in terms of urban space. Charging facilities, such as columns, could also perform other functions such as lighting, provid­ ing traffic information, payment of parking fees etc. If charging points are located in key urban locations, car owners can use charging periods for other tasks.

Developments in vehicle technology enable fuel-­ efficient, low-emission mobility. However, the “diesel scandal” and false consumption data have severely damaged confidence in motor industry engineers and managers. Legislation and strict monitoring are unavoidable if emissions are to be limited.

In future, charging columns could be replaced by induction loops embedded in the road sur­ face, which would charge the vehicles by means of ­electromagnetic induction. However, this would significantly increase the requirements for ­planning supply and disposal lines in the road space.

Tougher regulation generally accelerates tech­nical development. For example, vehicle noise is reduced through quieter engines, encapsulations and quieter tyres. Noise can be reduced even more by reducing speeds and using other drive tech­ nologies such as electric motors. At speeds of 40 kph or less, noise can be reduced to the extent that this presents a pedestrian hazard if environ­ mental noise is not massively reduced. Using renewable energy can reduce emissions

Electric mobility makes the connections between energy, mobility and city or architecture even clearer. It is now common practice at least to pro­ vide for charging points in parking areas in new buildings. Pilot projects such as Effizienzhaus Plus in Berlin have successfully investigated the pos­ sibility of integrating electric cars into an overall solar energy concept to power the house and the car.14 Because of electric vehicles’ drawbacks, industry has also spent decades investigating other

14  BMVBS 2012

122

Chapter 2 — Action Areas

Car sharing centre

Video conference Home

Social media Roadside rescue Congestion advice

Augmented reality

Images Office

Download

Service

Weather

Address book Emergency call

Booking Transport data

Friends

Navigation

EMail

News

Music

Calendar

Films Maps

Online shopping

Fig. 7

drives such as hydrogen. This can also achieve zero emissions if the hydrogen is generated by regenerative energy. Advantages would include vehicles’ much greater range, but high cost is cur­ rently still a major disadvantage. In the transition period, hybrid drive systems (e.g. plug-in hybrid) are common. The number of different drive technologies available is set to increase in future and will require a more ­flexible supply network. The current structure of an increasingly thinly spread network of filling stations will have to be replaced by much more adaptable and diverse supply systems. In addition to individual filling stations, there will also be other supply systems – in households and in pub­ lic areas. Innovation has a very positive effect in the field of technical possibilities for avoiding road traffic collisions. This makes it much easier to mix very different traffic flows. For example, optical sys­ tems could detect other road users’ behaviour patterns and either warn them in time or auto­ matically avoid a collision by intervening in the system. Parallel to this, autonomous and digitally net­ worked driving is currently developing at a rapid pace. Benefits include more effectively meeting individual needs (door-to-door transport, no need to look for a parking space, age-appropriate driv­ ing) as well as a higher sharing rate, improved traffic control, and less traffic looking for parking spaces. Research to look into specific benefits and downsides (higher vehicle density, increased indi­ vidual motor traffic, data protection, etc.) is still ongoing. Fig. 8

Guided traffic and information technology Even today, traffic control systems can raise road capacity by around 10 to 15 percent, either to make traffic flow better and thereby reduce exhaust fumes, or to fit more traffic on the same road space. However, this usually relates to higher-level roads. Further improved traffic monitoring systems help map movement patterns in real time, so that road­ side control technology or mobile information devices can guide vehicles to use road space more evenly. These approaches must take data protec­ tion issues into account and implement suitable urban design measures which avoid unwanted traffic shifts, e.g. into residential areas. Advances in information technology help create appropri­ ate parking information systems in park-and-ride facilities to link individual and public transport more effectively. Information about available car parking spaces, bookings and payments can be processed via the same system. Technically, this requires the installation of suitable roadside infra­ structure for detectors to indicate free parking spaces. Information technology could make traf­ fic data and other information, e.g. on energy consumption or events, as well as communication options such as video conferences etc. available in-car (Fig. 7).

Micro-mobility Innovations such as the electrically powered two-­ seaters developed by various car manufacturers (Fig. 8) also have a very positive effect on shorthaul transport behaviour. Electric bicycles help older people cycle longer distances and make it

123

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Carpool vehicles

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Authorised drivers

2.4 — Ecology

19,000 17,000 15,000 13,000 11,000 9,000 7,000 5,000 3,000

0 1,000 1997 98 99 00 01 02 03 04 05 06 07 08 09 101,000 11 12 13 14 15 16 17 2018 7 98 99 00 01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 2018 Fig. 9

possible to travel to and from work without too much effort. Segways help cover larger distances in the city centre in a comfortable, space-saving and environmentally friendly way. In urban planning terms, however, this means that three traffic streams with different speeds must be taken into account: firstly, pedestrians and Segways; secondly, cyclists, electric bicycles, pedelecs and low-speed scooters; and thirdly, more motorised traffic. These streams each require separate lanes on busy main routes.

Carsharing Cars today no longer symbolise status or freedom (of movement), instead they are mainly seen as means of transport and locomotion. People no longer need exclusive access to their own car at all times, but cars must be available at short notice when necessary. (Fig. 9). This social change has contributed to a range of other, more flexible models of vehicle use, such as carsharing, gaining popularity as an alternative to individual car ownership. Car-sharing schemes allow cars to be booked to match specific needs. In cities, for example, this makes it easier to switch to electric vehicles for short distances whilst renting larger vehicles with hydrogen or combustion engines for longer dis­ tances or holiday trips. However the disadvantage tends to be that vehicles must be returned to the starting point of the journey. Thus, more flexible car-sharing models would be ideal. For example, users might use a mobile app to book the nearest available car and leave it

anywhere within the carpool’s operating radius after completing their journey. Users could pay by mobile phone, with fees charged only for the period of actual vehicle use and all costs includ­ ing parking fees included in the basic price. This could be further improved if car-sharing pro­ viders were networked and vehicles were inter­ changeable. Flexible models help adapt solutions to individual mobility needs. Increased periods of active use would significantly reduce the over­ all number of vehicles needed and also reduce demand for parking spaces. The same applies to bike-sharing schemes for bicycles and electric bicycles. However, appropriate – joined-up and dedicated – parking lots for carsharing or carpools would have to be provided at interchanges between ­transport modes, and corresponding legal frame­ works created, in new urban developments. Userfriendly billing systems for all means of transport (long- and short-haul public transport, car and bike sharing etc.) would ease change and help reduce the overall urban traffic load.

Authorised drivers, fixed Authorised drivers, fixed location offers Authorised drivers, open Authorised drivers, open street-based location offers location offers Carpool vehicles, fixed lo Carpool vehicles, fixed location Carpool vehicles, open s Carpool vehicles, open street-based location

Fig. 7  The car as a mobile communication centre Fig. 8  Electric scooter Fig. 9  Development of carpools in Germany Fig. 10  Cabletren Bolivaria­ no de Petare, Caracas (VE) 2013

Innovative transport Innovative means of transport, such as driverless, computer-controlled cabs, are being explored for inner-city public transport (Fig. 10). At the same time, intensive research is being conducted into autonomous individual vehicles. All of these concepts are often discussed in the media. In terms of sustainability however, it remains questionable whether they save energy for transport and spare urban and open land from being used for roads, or whether they in fact create further demand due to higher resource consumption. Fig. 10

124

Chapter 2 — Action Areas

Central relay station Carrier 1

Carrier 1

Carrier 2

Carrier 2 Carrier 3

Carrier 3

Fig. 11

Further information

•  Albers, Markus: “Eines für alle”. In: Brand Eins 03/2011 •  Adler, Michael: Generation Mietwagen. Die neue Lust an einer anderen Mobilität. Munich 2011 •  Brake, Matthias: Mobilität im regenerativen Zeit­ alter. Was bewegt uns nach dem Öl? Hanover 2009 •  Canzler, Weert; Knie, Andreas: Die digitale Mobili­tätsrevolution. Vom Ende des Verkehrs, wie wir ihn kannten. Munich 2016 •  Canzler, Weert; Knie, Andreas: Einfach aufladen. Mit Elektromobilität in eine saubere Zukunft. Munich 2011 •  Heß, Anne; Polst, Svenja: Mobilität und Digitalisie­rung: vier Zukunftsszenarien. Gütersloh 2017 •  Maurer, Markus et al.: Autonomes Fahren. Techni­sche, rechtliche und gesellschaftliche Aspekte. ­Heidelberg 2015 •  Schindler, Jörg; Held, Martin; Würdemann, Gerd: Postfossile Mobilität. Wegweiser für die Zeit nach dem Peak Oil. Bad Homburg 2009 •  Schneider, Manuel: Post-Oil City. Die Stadt von ­morgen. In: Politische Ökologie 124. Munich 2011 •  Sperling, Daniel, Gordon, Deborah: Two Billion Cars. Driving Toward Sustainability. Oxford 2010 •  Yay, Mehmet: Elektromobilität. Theoretische Grundlagen, Herausforderungen sowie Chancen und Risiken der Elektromobilität, diskutiert an den Umsetzungs­möglichkeiten in die Praxis. Frankfurt am Main. 2012 •  Zierer, Maria Heide; Zierer, Klaus: Zur Zukunft der Mobilität. Eine multiperspektivische Analyse des ­Verkehrs zu Beginn des 21. Jahrhunderts. Wiesbaden 2010

a

Urban logistics Delivery traffic for households and businesses is increasing dramatically due to internet shopping, and accounts for a significant share of traffic in city centres. New distribution systems could help solve this problem, e.g. through underground distribution systems. Goods could be delivered to a central point and distributed using a pipe­ line or underground routes (cf. Potsdamer Platz pp. 228ff.). e.g. with electric vehicles, so that sur­ face transport routes are not burdened by vehicles. However, retrofitting such systems as part of urban regeneration projects is very costly. In an integrated urban distribution system, goods could be delivered to a central unit (relay centre), re-sorted for individual customers, reloaded into special vehicles (e.g. small electric delivery vans), and delivered to the respective customers (Fig. 11). However, legal frameworks for systems of this kind have so far proved challenging. Deutsche Post DHL has responded to growing demand for parcel deliveries with pick-up service points (“Packstation”), distributed throughout the city. This has saved many tonnes of CO2 in parcel delivery.15 Regulations for fixed night-time and early morn­ ing delivery times and the use of low-noise electric vehicles can help relieve city centres very consid­ erably. However, the social burden of night-time work must be offset.

b

Fiscal and legal instruments Taxation, legislation or financial tools can in­ fluence behaviour through incentive or penalty systems. Examples include noticeably raising mineral oil tax to reduce individual motor traf­ fic, and making e-mobility more attractive in relative terms, as well as significantly reducing public transport cost (higher subsidy) to encourage switching to public transport. Congestion charging – depending on the model – can completely discourage car trips into the city centre or offer staggered prices to postpone jour­ neys and help reduce peak loads. However, it is important to consider that sharp price rises, e.g. for car traffic or parking space, can disadvantage low-income road users. Measures to directly influence car trips have fewer social impacts. The choice of transport depends on criteria such as comfort, but also on the duration of the trip. Slip lanes for buses and completely segre­ gated bus lanes have already been implemented in urban planning. Further possibilities include giving public transport preferential treatment at traffic lights, reducing permitted maximum speeds, and introducing gateway traffic lights regulating the

125

2.4 — Ecology

Fig. 11  Principle of urban logistics a without central relay ­station b  with central relay station Fig. 12  Vision for the ­Boston / Washington region in 2030, Höweler + Yoon Architecture (1st Prize Audi Future Award 2012) Fig. 12

inflow into areas. However, speed limits on main roads often generate detours through residential areas, as these are quicker for short distances with low speed differentials. If restrictions are too severe, however, entire sec­ tors or professional groups that depend on vehicles may be excluded from cities. As has been explained above, mobility can be improved significantly by using mobile smart­ phone information systems to integrate individual means of transport into a network. Integrated information, booking and accounting systems make it easy to choose the best means of transport and interchange between transport modes. Smart­ phone apps which help identify the best mobility solution while providing general information about the city have long been available.16 In rural areas too, digitalisation can improve residents’ mobility and their impact on the climate. Apps can re-­ organise and improve the transport of people and goods. Pilot projects for sharing private vehicles, combined passenger and goods buses, or on-­ demand public transport are already a reality in Germany.17  JL

Visions for the city of the future Regardless of the many approaches to solutions, the future of mobility is still open. In the light of digitalisation and the aim of decarbonising soci­ ety, various research institutes are working inten­ sively to define possible scenarios for developing mobility. Whereas the recent decades of modern mobi­ lity can be described as faster, more frequent, further-reaching, increasing, more convenient, cheaper and safer.18 future urban mobility will also be more networked, multimodal, intelligent, cleaner, quieter, space-saving, even safer and more social. All of the different visions, however, make it clear that transport infrastructure will need to be adapted, not least because of requirements which are changing the ever more quickly. This also requires infrastructure to be designed for greater flexibility, creating structures which can be adapted to changing needs and require­ ments at reasonable cost, rather than being “as­ phalted” for eternity. More efficient and attractive mobility interfaces must be promoted in order to ensure that different mobility options can be successfully networked in digital and spatial terms.  AS

15  Deutsche Post AG 2010 16 www.moovel.de; www.tripgo.com, www.qixxit.de; cf. www.guide2wear.eu 17 www.odenwaldmobil.de, www.kombibus.de, www.door2door.io 18  Merki 2008, p. 76

126

Chapter 2 — Challenges

Challenges Energy Gregor C . Gras s l, Olaf Hildebrandt

T

he Club of Rome report predicted “The Limits of Growth” as early as 1972.1 In 1980, the German Institute for Applied Ecology (Öko-Institut e. V.) presented an alternative to the Federal Government’s official energy policy, in which it proposed supplying Germany’s energy needs whilst completely rejecting nuclear energy and energy from crude oil (Fig. 1).2 Consistent energy-saving measures and higher efficiency were the central building blocks in this forecast for restructuring to create a demand-­ oriented, decentralised energy industry.3 In the 1990s, energy policy focused on strategies to prevent climate change. Strategies for efficient energy use also played a key role in packages of measures put forward by various German parliament commissions.4

1  Meadows 1972 2  Krause 1980 3 ibid. 4 Enquete Kommission 1990 5  PBL 2012 6 BMU 2010; UBA 2011; UBA 2013

International experts have long agreed that the global atmospheric concentrations of greenhouse gases have increased significantly since the 18th century, as a result of human activities such as deforestation and the consumption of fossil fuels. Since 1906, the global mean ground-level temperature has risen by about 0.8 K. This warming trend has accelerated significantly over the past decades and is now progressing at 0.15 K per decade (Fig. 2). The effects are well-known, such as the melting of Alpine, Arctic and Antarctic glaciers and snow cover, and the rise in sea levels. International climate policy has set the goal that the global mean temperature should not increase by more than 0.2 K per decade and a maximum of 2 K overall compared to the pre-industrial period. The consequences of global climate change for

humans and ecosystems can be prevented only by consistently reducing greenhouse gas emissions. Nonetheless, the global trend runs contrary to these efforts: global CO2 emissions increased by approx. 2.3 percent per year until 2013, and CO2 emissions today are around 62 percent higher than in 1990. Despite economic growth, emissions since 2013 have risen less rapidly, to reach around 36 bn tonnes in 2016. An increase of 0.2 percent is expected for 2017. Due to accelerated economic growth and the relocation of production from the US and Europe to Asia, China is now the main emitter, accounting for 28 percent, followed by the USA (around 15 percent) and the European Union (just under 10 percent). In China, average emissions in 2016 reached 7.2 tonnes per capita (US: 17.57 tonnes). Despite improved efficiency and the increasing use of renewable energies, the overall global trend continues to rise as a result of improved living standards, higher demands on residential and commercial buildings and their infrastructure, and increasing mobility.5 Permissible CO2 emissions per capita would have to be reduced to 2.0 – 2.5 tonnes per annum by the year 2050, in order to achieve climate protection targets in the long term. The German government has set itself the ambitious goal of reducing CO2-emissions in Germany by 40 percent by 2020 and 85 percent by 2050 (Fig. 4). The share of renewable energies in electricity production is to increase to 50 percent by 2030 and to 80 percent by 2050. Switching to renewable heat energy is a legal requirement, and extensive measures for restructuring the energy industry have been decided. This would see annual greenhouse gas emissions fall from around 900 million tonnes to 200 million tonnes by 2050.6 CO2 emissions in Germany have been reduced by around 28 percent between 1990 and

127

Primary energy demand [M tonnes SKE]

2.4 — Ecology

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450

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Sun

Biomass Fig. 1  Primary energy demand and how it might be met in the years to 2030 (excluding non-energetic use), in coal units SKE (1 kg SKE (coal equivalent) = 7.000 kcal = 29.3076 MJ = 8.141 kWh = 0.7 kg ÖE (oil unit)) Fig. 2  Air temperature between 1881 and 2018 and temperature predictions for Germany in the years until 2100 Fig. 3  The EU 20-20-20 goals for 2020 Fig. 4  Greenhouse gas emissions from 1990 to 2017 and German targets for 2050

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Lowering CO2 emissions

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2015. A large part of this resulted from the economic upheaval in former East Germany (“wallfall profits”). Per capita emissions amounted to 9.3 tonnes in 2014, compared with 12.9 tonnes in 1990, and should be reduced to 3 tonnes per person per year by 2050.

Generating energy The sun is the earth’s most important source of energy. Today’s renewable energies such as biomass, wind energy, hydropower and, in the long term, fossil fuels such as coal and natural gas are based directly or indirectly on solar energy. Wind, water, sun, geothermal energy and bioenergy are almost infinitely available energy sources. When humans started using fire, timber was their only direct source of energy. Throughout history, coal, peat, natural oils and, especially since industrialisation in the 19th century, crude oil, natural

+20 % Renewable energies in the energy mix

Fig. 3

gas and electrical energy became more important. Today, we can identify three groups of energy sources: •• Fossil fuels such as coal, oil and natural gas were formed from products of decomposing dead plants and animals in prehistoric geo­logical times. These highly concentrated, dense fuels quickly became the preferred energy source. Today, fossil fuels meet more than 85 percent of global energy demand and just under 80 percent of energy demand in Germany. •• Nuclear energy sources are used to generate electricity through nuclear reactions. In 2016, nuclear fuels were used to generate around 11 percent of global electricity, and around 7 percent of electricity in Germany. •• Renewable energies are climate-friendly and largely environmentally and resource-friendly – unlike crude oil, coal, natural gas and uran­ ium. Renewables ensure greater independence from energy imports and strengthen the domestic economy. Moreover, the use of renewable energies avoids harmful climate emissions associated with considerable consequential damage and costs. This explains

1,400

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Chapter 2 — Challenges

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Fig. 5

Fig. 5  Specific CO2 emissions in g/kWh of useful ­energy, by energy source and generation systems Fig. 6  End energy by use, Germany 2015 Fig. 7  Seven steps to urban energy planning Fig. 8  Correlation between density and oil consumption through transport

7  BMU 2012 8 Fraunhofer ISE; www.energy-charts.de (accessed 21.11.2017)

ICT 2%

Lighting 3%

Mechanical energy 39 %

Space heating 27 %

Warm water 5%

Climate cooling 0% Process cooling 2% Fig. 6

Process heating 22 %

why it makes sense to use more renewable energies, not least because it is economically advantageous.7 In 2015, 13.7 percent of German energy was generated from renewable sources. This is set to rise to 18 percent by 2020. At the same time, renewable energy accounted for more than 32 percent of gross electricity generation, 13.2 percent of heat, and 5.3 percent of mobility in 2015.8 Fig. 5 shows the specific CO2 emissions of different fuels and generation systems. Using efficient technologies, partly in connection with environmental energy sources such as geothermal energy, can lead to low CO2 emissions, but only the use of renewable energy sources can substantially reduce emissions from generating electricity and heat. Switching energy supply to renewable energies presents urban planners with a major challenge. Whereas rural areas usually have enough space for solar settlement plans, biomass cultivation, wind power, hydroelectric or geothermal plants, only a small proportion of the energy needed in urban areas can be generated locally. The more compact and dense the city, the higher the energy demand and the less space there is to generate energy. Facades can hardly be used for energy because of mutual shading, while roof surfaces are very small in proportion to gross floor areas and are usually used as technical areas or terraces. If they are not allocated to traffic, the few remaining open spaces are exclusively dedicated to leisure. Large, effective wind turbines or deep geothermal energy are powerful alternatives to in-house renewable energy generation systems, but these are hardly possible in the urban context. The require-

ments for approval are also strict. For example, a minimum distance of 1 km to the nearest residential development is recommended for 2 MW wind turbines in order to prevent shade and noise from disturbing residents. This means that cities must source renewable energies from large wind farms, biomass production and other energy sources in surrounding areas, or develop their own district and neighbourhood networks, such as combined heat and power plants. Compact cities are at an advantage, because network losses decrease with increasing density. Dependency on time and weather places most types of renewable energy generation at a competitive disadvantage. This makes new storage technologies necessary to ensure safety of supply. Open heating networks which ensure the supply of heat and recoup excess heat, smart grids and other so-called intelligent city models are currently being tested. The aim is to develop an urban energy management concept to strike an optimum balance between demand and energy consumption. Area networks and neighbourhood storage facilities can help extend the reach and use of local renewable electricity generation. New financial incentives connected to the German Renewable Energy Sources Act (Erneuerbare-Energien-Gesetz EEG) aim to encourage building owners to offer rental space for photovoltaic electricity gener­ ation and promote generating renewable energy locally. So-called “sector coupling”, i.e. the interplay of local heat and power supply based on renewable energies, is set to gain importance in future. However, one of the biggest challenges in

129

2.4 — Ecology

Step 1

Step 3

Step 4

Step 5

Buildings

Height

Facade

Neighbourhood

Density

Insulation

Quarter

Orientation

Shading

Step 2

Step 6

Step 7

§ Laws / Standards

Vision

Climate

Ambition

Building technology

Technical intersections (e.g. e-Mobility)

Energy production Economic models

Documents / Plans

Criteria / Process

Environment

Motivation & added value

District / City / Region

Building typologies

Materials, embedded energy

Foundation Analysis

Objectives & Strategy

Scale and level of solution

Urban design

Standards

Light

Warm water

Process

(Technical) Details

Synergies

urban planning is that specialist energy planning is not generally integrated planning yet, and there is no standardised procedure for this. The “seven steps towards an urban energy concept” according to Grassl set out a route to objectively finding a sustainable energy solution and are open to either centralised or decentralised solutions. (see Fig. 7).

Energy consumption Primary energy consumption describes the energy content of all energy sources used. It is the key indicator for resource consumption and for the causes of greenhouse gas emissions. Final energy consumption indicates the amount of energy consumed by end users after primary energy sources have been converted to various energy forms such as electricity, heat, fuels and combustibles. Useful energy describes the energy which provides end users with a specific function or service, such as heating a room, heating water, providing light, etc. Around half of the final energy is lost when it is converted into useful energy to provide energy services. Aside from mechanical energy, around 27 percent of final energy consumed in Germany in 2015 was used simply to heat homes (Fig. 6).9 Space heating accounted for a major share of consumption in retail, trade and service sectors which together

account for more than 41 percent of end energy consumed in Germany. In housing for example, space heating accounted for around 69 percent of end energy consumed. In Germany, a noticeable trend towards greater comfort and more technological equipment is tending to raise useful energy demand. For example, consumption of living space in Germany increased from 41.5 m2 per capita in 2006 to 46.5 m2 per capita in 2016. This is mainly due to decreasing household size and increasing demand for personally available living space. This is particularly true in rural areas, where living space per capita is far above the national average in some cases. In the field of electrical appliances, the use of information and communication technologies (ICT) has increased significantly in recent years. For example, the number of German households with PCs increased from around 39 percent in 1998 to 90 percent in 2017. In the same period, the number of mobile phones increased from around 11 percent to 95.5 percent. In the passenger transport sector, Germany has seen transport performance increase steadily by 2.9 percent between 2004 and 2010, whereby 40 % of this transport performance is dedicated to leisure activities. The challenges outlined above are just some of the central themes within the current focus on energy-related urban regeneration and neighbourhood development. Energy is a cross-cutting theme which features in almost all fields of action in neighbourhood design. Energy fuels our cities and also impacts on their economic and social life.

Annual oil consumption per resident [l]

Fig. 7

80,000 Houston Phoenix Detroit 60,000

Los Angeles San Francisco Washington D.C. Chicago New York

40,000

Melbourne Adelaide Sydney Toronto

20,000

0

Zurich Frankfurt / M. London Vienna AmsterSingapore dam

Paris

Hong Kong

Moskow 0

50 100 150 200 250 300 Development density [residents/ha]

Fig. 8

9  DIW/EEFA 2012; AGEB 2012

Further information

•  Meadows, Dennis et al.: The Limits to Growth, A Report for the Club of Rome’s Project on the ­Predicament of Mankind, New York 1972

130

Chapter 2 — Action Areas

Action Area Energy Gregor C . Gras s l, Olaf Hildebrandt, Peter Mös le, Christopher Vagn Philipsen

1  BMU 2010 2 Braungart / McDonough 2002 3  Sachs 1993

2010 baseline scenarios

In 2009, the German Federal Environment Ministry (BMU) commissioned a study on “Long-term ­scenarios and strategies for the expansion of renewable energies in Germany, taking into account developments in Europe and globally”. A first report was published in 2009 (“Leitstudie 2009”), another interim report in 2011 (“Leitstudie 2010”). The aim of the research project is to develop scenarios which show how a significant increase in efficiency and a continuous expansion of renewable energies can achieve or exceed the energy and climate policy targets set by the German government's energy concept. The 2010 interim report set out three baseline scenarios based on equal efforts to increase ­efficiency: •  Baseline scenario 2010 A: The operating lives of nuclear power plants are not extended, the remaining operating lives to date will be fulfilled. The share of electric mobility in private transport will increase to 33% by 2050. •  Baseline scenario 2010 B: Assumptions for the remaining lives of nuclear power plants as per ­scenario A. The share of electric mobility in private transport will increase to 66 % by 2050, with the increased electricity demand met from renewable sources. •  Baseline scenario 2010 C: The operating lives of nuclear power plants are extended by an average of 12 years, in line with the Federal Government’s decision of 28 September 2010. All other assumptions, in particular the expansion of renewables, correspond to the values of the baseline scenario 2010 A.

E

nergy efficiency is the key strategy to protect the climate: the goal must be to improve the quality of life with significantly less energy input. The energy efficiency strategy is based on three pillars: •• Save energy: reduce the amount of useful energy consumed to deliver the same function (or more) •• Improve efficiency: reduce losses in converting final energy into useful energy •• Use renewable energies as key primary energy sources

Combining these three pillars is crucial to achieving climate protection targets. CO2 emissions in Germany could be reduced by 596 million tonnes per year between 2010 and 2050 (Baseline scenario 2010 A). Two strategies stand out in their import­ ance: increasing the share of renewable energy in the electricity supply on the one hand, and saving energy and increasing energy efficiency for heating on the other. Increasing efficiency in the electricity sector is a further important segment (Fig. 1). These moves would account for 75 percent of the total reduction.1 An efficiency strategy entails using less energy for the same benefit. Population growth and rising living standards are driving our linear economy – production, use, waste – to its limits in terms of material supply. Rather than the supply of energy, it will be the increasing shortage of raw materials which will trouble mankind in the medium to long term. The only sustainable solution is to reuse and recycle materials in biological and technical cycles,2 but this means that our economic system must be completely changed and reconfigured in order to create a circular system in which there is

no more waste but only material resources. These in turn provide the basis for making the same or different products. A circular economic system driven by renewable energies would let far more people on our planet achieve an adequate standard of living than is conceivable today. All efforts to achieve efficiency must recognise sufficiency and resilient systems as tasks set by society. Any evaluation of sustainability must include the long-term, ecologically compatible use of natural resources. This involves recog­ nising the limits to exploiting the energy potential of biomass resources. The use of biomass must be appropriately embedded in agriculture and forestry, as food crops take precedence over energy crops. On the other hand, lifestyle and consumer habits as well as pressures for growth should also be questioned. For example, efficiency gains can often generate rebound effects (cf. p. 76) with paradoxical results, leading to increased overall resource consumption. Continually improving energy efficiency in housing is offset by the on­ going consumption of living space per person. In the sustainability debate, sufficiency represents a lifestyle change leading to a new sense of prosperity where the relationship between material goods and immaterial needs should be better coordinated. Changing thinking is generally more challenging than adapting new technologies, but the “efficiency revolution” will lack direction unless it is accompanied by a “sufficiency revolution”.3 Implementing the energy transition is thus not only a technical and regulatory matter but must also be tackled and implemented together with the people on the ground, especially in local governments and regions.  OH, GCG, PM

131

2.4 — Ecology

Increasing share of renewable energies in the power supply Improving energy efficiency in heating Improving energy efficiency in electricity Further efficiency improvements in transport Increasing share of renewable energies in heating Increasing share of renewable energies in transport 0

50

100

150

0

50

100

150

200 250 300 Potential for CO2 reduction 2010 – 2050 [in M t/a]

Electricity generation Transport Heating 200

250 300 Residual CO2 emissions [in M t/a]

Fig. 1

Generating energy Since the 1990s, global consumption has exceeded the available biocapacity to degrade pollutants and regenerate resources.4 The global ecological footprint must be reduced in order to restore the earth’s ecological balance (cf. Challenges Lifestyle and Behaviour, p. 73) Increased use of renewable energy resources is a key move. Renewable energy resources fall into two cat­ egories: natural energy sources and renewable raw materials. Natural energy sources are available everywhere and differ in performance and volume depending on the region: sun, wind, geothermal energy, water, outdoor air. Renewable raw materials are vegetable and animal substances which extract as much CO2 from the atmosphere during their growth as they later emit during combustion and energy production. Only the energy required for processing and transporting these materials for incineration contributes to the overall energy balance as a non-renewable primary energy. Materials such as timber (wood chips, pellets), energy crops (cereal plants, fodder grasses) and biogas are usually available within the region, so that energy-intensive transport can be kept to a minimum and oil and gas dependency reduced. The advantages of regenerative energy resources (Fig. 3, p. 133) include having little or no environmental impact, and often lower energy cost, but they are also offset by disadvantages. Lower and fluctuating outputs usually require large areas for generating and storing energy and thus lead to higher investment costs.

Only few renewable energy sources can match fossil energy sources in terms of performance per unit. Hence the building concept must be adapted in order to ensure the efficient and economical use of regenerative energy sources. Systems for generating energy in use today are listed by cap­ acity and purpose in Fig. 2 (p. 132).  PM

Fig. 1  Individual German energy supply segments’ contribution to reducing CO2 between 2010 and 2050 (Baseline scenario 2010 A) and thus remaining residual emissions in 2050 by sector

Energy distribution Germany enjoys exemplary high energy supply security (electricity, gas, district heating). This was and is based on adequate network infrastructure. The power sector distinguishes supply networks according to their function and voltage levels. Transmission networks operate at super-high voltage, whereas distribution networks operate at high, medium and low voltages. Transmission networks transport electricity from centres of generation (such as major power stations) to ­centres of consumption (such as conurbations, industrial sites, etc.) with as little loss as possible. Distribution networks, on the other hand, distribute power regionally and locally and ultimately connect to end consumers. Currently, more than 820 network operators (including four transmission network operators) run more than 840 electricity networks in Germany. These networks have a total length of more than 1.7 million km, whereby cables account for roughly 75 percent. The aftermath of the Fukushima nuclear catastrophe sparked the energy transition in Germany. This

4  WWF 2008

132

System

Chapter 2 — Action Areas

Heating Cool- Elec- Description ing tricity

Usual performance

Scope: Building/ Neighbourhood/ City

Fossil fuels Oil-fired boiler

x

Generates heat by combustion

10 kW – 5 MW

B / - / -

Gas-fired boiler

x

Generates heat by combustion

2 kW –10 MW

B / N / C

Gas-fired CHP / Motor

x

x

Generates heat and power by combustion

2 kW – 2 MW

central / local

Gas turbine

x

x

Generates heat and power by combustion

500 kW –100 MW

- / N / C

Combined cycle power plant

x

x

Generates heat and power by combustion

50 MW – 600 MW

- / - / C

50 kW –1.5 MW

- / N / C

20 kW – 5 MW

- / N / C

> 5 MW

- / N / C

(x)

Absorption chiller

x

Uses heat to generate cold

Compression chiller

x

Uses electricity to generate cold

Fossil/ renewable fuels District heating

x

(x)

Uses heat from combined heat and power

Air /Air heat pump

x

x

Uses heat from outdoor air via heat exchanger

2 kW – 500 kW

B/ - / -

Waste water heat pump

x

(x)

Uses heat from waste water via heat exchanger

10 kW – 500 kW

B / N / -

Regenerative energies Biomass Wood chippings

x

Generates energy by burning wood centrally and locally

100 kW – 2 MW

- / N / C

Wood pellets

x

Generates energy by burning wood centrally and locally

10 kW –1 MW

B/ N / -

Timber gas production

x

x

Heats timber to extract gas which is burned in combined heat and power plants to generate electricity and power

> 1 MW

- / N / C

Plant oil CHP

x

x

Generates energy by burning plant oil

50 kW – 2 MW

- / N / -

Biogas CHP

x

x

Generates heat and power from biogas plants (e.g. vegetative waste, manure)

50 kW – 2 MW

- / N / -

Fuel cell

x

x

Generates heat and power, usually powered by hydrogen or methane

50 kW – 2 MW

- / N / -

x

Generates electricity from solar radiation

> 0.1 kW

B / N / C

Generates warm water for consumption and supports heating from solar radiation

> 1 kW

B / N / -

x

Combines photovoltaic (1st level) and solar thermal (2ne level)

> 1 kW

B / N / -

Large turbine

x

Generates electricity from wind-powered generator

> 1 MW

- / N / C

Small turbine

x

Generates electricity from wind-powered generator integrated into building (vertical or horizontal rotation)

0.5 kW –10 kW

B / N / C

20 W/m2

B / - /  -

> 2 kW/probe

B / - / -

> 5 kW/well

B / N / -

500 kW –10 MW

- / N / C

Solar energy Photovoltaic Solar thermal

x

(x)

Hybrid photovoltaic  /solar thermal

x

(x)

Wind energy

Geothermal energy Geothermal collectors

(x)

x

Horizontal heat exchangers in ca. 1 m depth

Geothermal probes / energy piles

(x)

x

Closed, vertical water-filled heat exchangers reaching depths of 20 to 100 m

Groundwater

(x)

x

Wells accessing groundwater, fitted with heat exchangers

Deep drilling

x

(x)

Fig. 2

(x)

Uses geothermal heat from great depths (> 1,000 m) to generate heat, or possibly also drive turbines to generate power

133

2.4 — Ecology

Gross cost [ct/kWh]

30 28 26 24 22

20 18 16 14 12 10 8 6 4 2 District heating

Wood chips

Pellets

Rape seed oil

Heating oil

Liquid gas

Natural gas

Night-time / heat pump electricity

Household electricity

0

Fig. 3

will involve gradually decommissioning nuclear power plants and using more renewable energies. This grid infrastructure will need to be comprehensively reconfigured. New high-performance connections in the transmission network and intelligent medium and low-voltage networks (smart grids) will be needed. These intelligent networks should make it possible to compensate for the high volatility of electricity generation from renewable energies (in particular from sun and wind), for example by controlling demand (Demand Side Management). As with power lines, the gas sector also distinguishes networks according to their function and pressure levels. The transport network consists of long-distance gas lines (pressurised up to 200 bar), whereas the distribution network consists of regional medium-pressure lines (up to around 1 bar) and local low-pressure lines (up to around 0.1 bar). The high-pressure natural gas network in Germany currently has a length of around 112,000 km, whilst the distribution network with medium and low-pressure lines has a length of around 363,000 km. In addition, some 47 natural gas storage facilities with a storage capacity of 23.5 bn m3 are available to compensate for peaks in daily and seasonal consumption. The gas network is particularly significant for the energy transition because of its considerable storage capacity. For example, the volatile electricity generated in solar and wind power plants could first be used to generate hydrogen (by elec­ trolysis) and then methane (from converting CO2 to methane). This methane can be stored in the gas network and used again to generate heat or electricity in corresponding gas power plants if required. However, this process, known as “power

to gas”, is still being developed and not yet economical due to the relatively low efficiency of the individual processes. District heating networks mainly supply individual neighbourhoods, districts or individual consumers (commercial, residential, hospitals) with heat energy in the form of hot water or steam. This heat energy is usually provided by the combustion of fossil or renewable energy sources (natural gas, coal, wood chips or wood pellets, biogas, etc.) or waste incineration. Alternative technologies (e.g. deep geothermal energy) can also be used in particularly suitable regions.  CVP

Energy demand Energy and climate policy goals can only be achieved if the considerable potential for energy saving and climate protection is exploited at the local level.

Local government challenges Local governments play a key role in protecting the climate. In addition to reducing energy consumption in their own properties, municipalities can initiate and facilitate local processes. They are planning and approval authorities, sometimes hold shares in regional energy suppliers or housing developers and are important role models for their citizens. Global, European or national levels focus on adaptation costs, whereas local governments benefit from regional added value. Installing renewable energy systems on roofs, in cellars,

Fig. 2  Fuels and their uses Fig. 3  Domestic energy cost in € cents/kWh for different energy sources (including VAT and transport costs; electricity and local gas costs may take output price into account; price and ­purchase quantity linked in network fuels; storage costs taken into account)

134

Chapter 2 — Action Areas

Year

Industry

Private households

Transport

Business and other

Civil administration

2015 2014 2013 2012 2011 2010 2009 2008 2007 0

200,000

400,000

600,000

800,000

1,000,000 CO2 emissions [t]

Fig. 4

Fig. 4 CO2 emissions for the industrial city of Esslingen am Neckar (DE), 2007– 2015 by sector and fuel Fig. 5  Final energy demand for heating and hot water, by energy standard in Germany

5  Ifeu 2010

or on municipal land, and renovating building stock mainly creates jobs for local trade. Reducing energy consumption and using “home-made” energy means that less money leaves the region. Policies to protect the climate also promote a sustainable local/ regional economy. The level and distribution of energy consumption depends on many factors: energy quality of buildings, applications and production processes, the use and location of neighbourhoods, the structure and availability of supply systems and energy sources, the transport network, and development density (Fig. 4).5 The potential for saving energy, increasing efficiency and using renewable energy sources in urban development planning must be identified in order to achieve climate protection targets. This requires good local knowledge both for analysis and concept planning, and engagement with local stakeholders, particularly in industry, commerce, trade and services.

Energy-saving efficiency strategy CO2 emissions can be reduced by consistent energy savings, efficiencies in the energy and transport sectors, and the increased use of renewable energy sources. Today’s technically and economically efficient “Effizienzhaus” homes, and energy-efficient older buildings require less and less heating to provide increased thermal comfort. “Passivhaus” homes have already become the new-build standard in many places. Germany has introduced the Building Energy Act (GEG) in order to implement the EU Energy Performance of Buildings Directive (EPBD), which

requires all residential buildings built after 1 January 2021 to be Nearly Zero-Energy Buildings (NZEBs) (Fig. 5). The major saving potentials in existing buildings are a central field of action for protecting the climate. In Germany, more than three quarters of buildings were constructed before 1978 and were not subject to any thermal insulation requirements. Aside from various technical measures, hot water demand presents major savings potential. Power consumption too, is essentially user-­defined and can only be reduced to a limited degree through building specifications, e.g. with regard to daylight use in offices and housing, or through more efficient building services (pumps, fans, etc.). The key factor is the efficiency of electrical devices and equipment, and thus the link between buying decisions or procurement systems and efficiency requirements. The aim must be to consistently use only electrical appliances with the lowest possible consumption, implement efficient lighting and ventilation concepts, and replace electrical water heating with energy-saving systems.

Neighbourhood scale Solar and climate-friendly urban development is timeless and dates back to antiquity. Climate-­ friendly construction shaped traditional building method in arid and mountainous regions, but also in windy northern countries. In classical modern-

135

2.4 — Ecology

Final energy demand [kWh/m2a]

1

300

until mid-2010

2

as from 2010

3

as from 2021

275 250 225 200 175 150 125

Current KfW funding standards

100 75 50 25

EU building standard3 (assumed Efficiency house 40 Plus)

Passivhaus

KfW Efficiency house 40 Plus

KfW Efficiency house 402

KfW Efficiency house 55 2

KfW Efficiency house 70

KfW Efficiency house 851 (existing only)

EnEV 2014 / Energy efficiency house 100

KfW Efficiency house 115 (existing only)

EnEV 2009

EnEV 2002 – 2007

WSVO95

WSVO84

Existing

0

Fig. 5

ism, solar construction following the “light – air – sun” motto became the central theme and guiding principle for a healthy lifestyle. The critique of unhygienic living conditions in neighbourhoods built during the industrial revolution generated new concepts for urban, neighbourhood and building design which were associated with a new attitude to life. Urban planning and regeneration offers many opportunities to design, influence and control for climate-friendly urban development. For example, Fig. 6 (p. 136) highlights possibilities to influence building area’s energy consumption (and thus also emissions) through urban development planning. This involves integrating key planning principles into the overall process at the right time. The following factors influence energy consumption in the order in which they are mentioned: •• compact cities, development density and compact individual buildings •• buildings, main facades and windows orientated according to the sun path •• positioning buildings for optimum mutual shading in the urban context Only a project-specific process which takes all urban planning requirements into account to arrive at the optimum solution can create the best urban design for low energy consumption. This urban design is also influenced by technical utilities, for example: •• by providing roof surfaces which are suitable

for solar thermal systems and photovoltaics in terms of orientation, pitch, and section •• by integrating central and semi-central supply facilities (e.g. woodchip plant, solar local heating) and logistics •• by implementing orders to use local or district heating supply, or bans on burning certain fuels such as timber or wood products An energy-efficient urban layout is an essential for effectively and economically implementing strategies to reduce pollution from buildings and supply systems.

Solar urban design In the balance of overall heating demand in the Central European climate zone, heat from solar gains through windows compensates for some of the heat lost by transmission through the building envelope. Solar gains essentially depend on the orientation of the building, the shading situation, and the quantity and quality of windows. As the passive use of solar energy requires heat gains to be used and stored locally, only a limited solar heat supply can actually be used. Any oversupply must therefore be removed through ventilation if it is not to lead to overheating. For this reason, the proportion of glass surfaces cannot be indefinitely increased without negative effects. Also, heating demand rises from a certain proportion of glazing.

136

Heating demand in relation to solar (south-facing) orientation [%]

Chapter 2 — Action Areas

Low-energy house

160

Passive House

Standard (EnEV)

150 140 130 120 110 100 90 N

NE

E

SE

S

SW

W

NW

N Orientation

Fig. 7

Solar exploitation (the degree of solar utilisation) is expressed in terms of the ratio between solar gains to substitute heating and the total solar energy radiated into a room. The aim is to achieve the optimum ratio and create urban planning frameworks which can put gains to good use.

frontal solar orientation is also more favourable in summer, whereas east-west orientation presents a high risk of overheating, due especially to the low angle of sunrays in the afternoon hours. In solar urban design, it also makes sense to minimise shade.

In solar-oriented urban development, there is a clear preference for orienting buildings to allow all homes (if possible) to benefit from good sunshine and the best possible use of passive solar gains. In doing so, solar gains increase in direct proportion to building energy standards when buildings are oriented towards the sun. This is especially true for Passivhaus homes.

It is nearly impossible to create large distances between buildings, because they also contradict dense, land-efficient development. The aim is thus to find a good compromise: the design must consider the location of building components (such as balconies, bay windows, loggias), vegetation, adjacent buildings, as well as local topography in their effect on sunshine and shade. It is not necessary to completely eliminate shade because shaded locations can be visually appealing and comfortable, and because space-shaping structures such as perimeter blocks inevitably always include shady areas in building corners. Ultimately, it is about striking an overall balance of heat losses and solar gains which takes the quality of urban space into account.

Heating demand can increase considerably when buildings are rotated away from full-frontal solar orientation. Heating demand in east-west oriented buildings deviates by 50 percent, whilst it deviates by a more moderate 20 percent in buildings which are rotated by 45 degrees (Fig. 7).

Factors

Influence

•  User behaviour

none

•  Water and electricity demand • Airtightness •  Ventilation strategy •  Thermal bridges •  Compact building volume •  Energy standards

during the design stage

•  Shading by plants •  Wind shelter •  Urban density / compactness •  Mutual shading •  Building position

good

•  Energy supply

very good

Fig. 6

Terraced layouts are particularly sensitive to being rotated away from full-frontal solar orientation. Heating demand in urban layouts such as perimeter blocks deviates by only 10 percent in a pure east-west orientation, whereas it deviates by around 20 percent in layouts with individual blocks or detached houses. However, heating demand in individual buildings within perimeter blocks may deviate very considerably, for example, in corner situations oriented away from the sun. Generally, it can be said that full-frontal solar orientation has energy advantages for heating and leads to longer sunshine hours in winter. Full-­

Compact urban design One of the most important factors influencing buildings’ heating and cooling demand is their urban compactness, i.e. the compactness of their design. The smaller the surface of the building envelope (A) is in relation to the volume (V) or the net floor area (NFA) enclosed, the less heat a building loses even with the same level of insulation. The A/V or A/NFA ratio becomes smaller and thus increasingly favourable as the total building volume increases. Fig. 8 illustrates the dependencies between building compactness

137

2.4 — Ecology

atio

V (A /0 .5

1 9 00. 89 8.5 0 ² na] .4 A 82 h/m .4 [kW 75 V E .3 n n) E 68 ma r .2 e o (g gt din r o c

c

rfa

Su 0.3

er lum Vo 0. 4 e

] 1/m V [ 1.2 E En 1.1 an) 1.0 erm 0.9 g ( 0.8 o gt rdin 0.7 o c ac io) 0.6 rat

61

.2

0.2

54

.1

47

.1

40

.0

P

ible

iss

erm

an

ing

eat

lh nua

and

m de

ac

Fig. 8

and heating demand in housing. Building compactness is thus the urban design tool to reduce building heat loss.

only make buildings less compact, but also tend to increase mutual shading. •• Roof shape: Roofs do not significantly influence A/V ratio, as long as they do not have complicated protrusions and setbacks. However, roofs define the shading silhouette which could shade neighbouring buildings.

Typical A/V ratios vary within a certain range for each housing typology: A/V ratios in typol­ogies with a very low degree of compactness (e.g. detached bungalows) can be three or four times as high as in very compact typologies (e.g. perimeter blocks or big linear or point blocks). As a result, heating demand in these “non-compact” typologies can be twice as high as in very compact typologies, whereby heating and insulation meet the same specifications. This means that housing should not be detached and should include at least two floors in order to be energy-efficient. Heating demand in typologies which meet this description (e.g. terraced housing) is reduced by 20 – 25 without any change to building specifications. Typolo­ gies of this kind also meet the goals of reducing cost and land consumption.

It is appropriate and helpful to design compact buildings for purposes where energy demand is dominated by heating, such as housing, schools, and some offices. Compactness is less important in buildings where energy demand is dominated by electricity consumption or cooling. In these buildings, other strategies for energy efficiency must be formulated and refined specifically for the purpose.

Beyond a certain range, changes to building geometry have less impact on energy efficiency: •• Building length: Making buildings longer than 25 – 30 m does not significantly increase compactness or improve energy efficiency. •• Floor plan depth: Floor plans up to 12 – 14 m in depth are favourable. Deeper floor plans create central areas with poor daylight which require more energy to light well. •• Building height: Up to three storeys, each add­ itional floor leads to an over-proportional improvement in energy efficiency. The added improvement begins to decrease on the fourth floor, and is negligible as from the fifth floor (e.g. due to lifts). •• Building shape: Protrusions and setbacks not

In temperate and northern latitudes, building compactness has a greater impact on heating ­demand than optimum solar orientation. In other words, good solar orientation does not c­ ompensate for a lack of compactness. A lot of ­effort is required in order to make buildings which are not compact meet high standards of efficiency. This effort includes rigorously ex­ploiting opportunities for solar gains, which requires costly high-quality building technology. The effort of compensating for the disadvantages of buildings with only a medium degree of compactness is easier to justify. Compact structures have a positive effect on ­construction cost for Passivhaus buildings and offer the freedom to create Passivhaus buildings even in less favourable solar situations.

Solar and compact urban design

Fig. 6  Possibilities for urban design to influence energy consumption and emissions in cities or settlements Fig. 7  Change in annual heating requirement of ­terraced housing based on energy standard and building orientation (full-frontal solar orientation as reference value 100 %) Fig. 8  Correlation of heating demand and compactness in different building typologies

Heat loss [W]

138

Radiation

180

Convection

Evaporation

160 140 120 100 80 60 40 20 0

10 12 14 16 18 20 22 24 26 28 30 32 34 36 38 Air temperature [˚C]

Fig. 9

Acceptable

28

Good

Comfortable

26 24 22 20 18 16

16

18

20

22

24 26 28 Air temperature [˚C] a

Radiation temperature [˚C]

Heat density for local and district heating systems

Well-being and healthy indoor climate

Centrally supplying heat to a whole area (district heating) makes sense if it can be shown to be more cost-efficient or environmentally friendly than heating each building individually (local heating). The key criteria for evaluating this are heat (demand) density, and the density of connections 28 and supply pipelines. Heat density is defined by development density and by energetic density, 26 i.e. building energy standards. Literature generally identifies a heat density of 250 MWh/ha as 24 a minimum threshold for economically viable district heating.6 22 Urban layouts designed with energy in mind do not in themselves reduce energy demand or pol20 but they create good conditions for effect­ lution, ively and cheaply implementing strategies to 18 pollution through building standards or reduce supply technology. Defining building energy stand16and embedding them in urban development ards 16 18and processes 20 22 offers 24 the greatest 26 28 frameworks Air temperature [˚C] energy-saving potential. It makes sense to commission expert consultants to support the urban development process with an eye to making best possible use of the full range of possibilities to save energy.

As our “third skin”, buildings are an essential ­factor for human health and quality of life. Good working and living conditions, high performance, creative ideas and processes, and the human body’s ability to regenerate and heal are all dependent on a high level of well-being. A wide range of factors influence human well-being and biorhythms. Some of these are measurable ambient factors, such as lighting, air temperature, humidity and indoor noise; physiological factors include health and age, whereas cultural factors include education (Fig. 12). Thermal comfort depends, among other things, on clothing and activity. Intermediate criteria for social well-being include, for example, positive or negative family or work relationships. Some further influences only become noticeable when humans are exposed to them over a longer period of time (e.g. highly emitting materials such as adhesives) and electromagnetic radiation, which are being given increasing importance.

Radiation temperature [˚C]

Radiation temperature [˚C]

6 Wirtschaftsministerium Baden-Württemberg 2007 7 following text excerpt from: Bauer / Mösle /  Schwarz 2013 8 ibid. 9  Spath/Bauer/Rief 2010

ortable

28 ure [˚C]

Chapter 2 — Action Areas

28 26 24

Building scale

22 20 18 16

16

Fig. 10

18

20

22

24 26 28 Air temperature [˚C] b

Energy-driven urban development aims to initiate energy efficiency measures and renewable energy use in buildings. Given the close links between buildings and urban development, we will deal with energy and indoor climate in buildings in the following.

7

Human’s thermal sense of comfort is determined by their bodily heat flows. Heat generated within the organism must be completely released into the environment in order to maintain thermal equilibrium (Fig. 9). The human organism can keep its internal core temperature relatively constant within a small range, regardless of ambient conditions and/or different physical activity. However, extreme climate conditions can stretch the human control mechanism to a breaking point beyond which body temperature decreases or rises. Thus, clothing must be adjusted to the situation, or the ambient temperature modified to ensure the desired comfort. Unpleasant sweating (high evaporation rate) can be largely avoided if the

21 ˚C min. 15 Surface temperature min. 14 ˚C

Surface temperature min. 14 ˚C

2.4 — Ecology

Surface temperature max. 45 ˚C (100 % occupancy) max. 65 ˚C (50 % occupancy)

Winter

Surface temperature min. 21 ˚C

Surface temperature min. 15 21 ˚C Surface temperature min. 14 ˚C Surface temperature max. 45 ˚C (100 % occupancy) max. 65 ˚C (50 % occupancy)

Surface temperature max. 28 ˚C (100 % occupancy) max. 35 ˚C (50 % occupancy)

Surface temperature min. 21 ˚C

Surface temperature max. 29 ˚C

Surface temperature max. 45 ˚C (100% occupancy) max. 65 ˚C (50% occupancy)

Surface temperature max. 28 ˚C (100 % occupancy) max. 35 ˚C (50 % occupancy)

Surface temperature max. 45 ˚C (100 % occupancy) max. 65 ˚C (50 % occupancy)

Surface temperature min. 21 ˚C

Surface temperature max. 29 ˚C

Summer

Surface temperature min. 14 ˚C

Fig. 11

Energyand resourceSurface temperature max. building 45 ˚C (100% occupancy) efficient design max. 65 ˚C (50% occupancy)

8

The key goal for sustainable building is to use natural resources in order to meet user’s needs. The following seven rules must be observed as instructions for an energy and resource-efficient design:9 Rule 1: Increase requirements for thermal in­ Surface temperature sulation with rising requirements for thermal comfort max. 28 ˚C (100% occupancy) max. 35 ˚C (50% occupancy) Requirements for thermal comfort are generally expressed as minimum room temperatures in winter, and maximum room temperatures in ­summer. For example, temperatures should not Surface temperature drop below 20 – 22 °C in winter, or rise above max. 29 ˚C approx. 25 – 27 °C in summer, in day rooms where people spend longer periods of time. Indoor temperature is generally understood as the com­ bination of the inner wall surface temperature and air temperature. Indirectly, this means that surface temperatures need to be high even in winter (Fig. 11 above), which can only be achieved with very good thermal insulation. Similarly, comfortable summer room temperatures indirectly need minimum surface temperatures (Fig. 11 below), which can only be achieved with efficient sun protection.

Rule 3: Exploit potentials for natural ventilation In central Europe, using the potential of outside air to ventilate and cool buildings reduces the need for ventilation systems to less than 30 percent of the year, without any loss of comfort. Depending on the design, user behaviour and comfort level, it is even possible to ventilate naturally all year round. Frequent low night-time outdoor tempera­

Fig. 9  Human heat loss according to ambient air temperature temperature Comfortable indoor Fig. 10 Surface max. 28 ˚C (100 % occupancy) temperatures with approprimax. 35 ˚C (50 % occupancy) ate clothing a summer (short-sleeved shirt): low temperature ­surface radiation compensatesSurface high airtemperature temperature. 29pullover): ˚C (light b wintermax. higher temperature surface radiation compensates low air temperature. Fig. 11  Winter and summer surface temperature limits for thermal comfort Fig. 12  Factors influencing indoor sense of comfort

Factors

max. 29 ˚C

Rule 2: Arrange buildings and indoor zones for optimum solar gain Solar heat gains can be most effectively used in Surface temperature housing, asmax. each both warm zones 45home ˚C (100includes % occupancy) max.and 65 ˚C (50 % occupancy) (living rooms) cool zones (bedrooms). If buildings are correctly aligned and indoor zones appropriately distributed, a massive amount of solar energy can be captured through glazing oriented towards the sun. Solid construction methods allow this heat to be stored for use even on cloudy days. Solar energy can also be used in buildings of other uses. Heat requirements in hotels, hospitals, and Surface nursing homes aretemperature very similar to those in housing. max. 28 ˚C (100 % occupancy) Screen-based prevents extensive use max.work 35 ˚Cusually (50 % occupancy) of solar gains in office and teaching buildings. Buildings of this kind are usually “refuelled” with sunlight over the weekend. Attempts are often made to capture solar gains in adjacent buffer Surface temperature max. ˚C spaces, such as29 atriums or lockable double-shell facades, rather than letting them directly impact on day rooms. Defining and suitably arranging building volume is essential for achieving good passive solar gains. Increased shade leads to raised power demands from artificial lighting and has a negative impact on psychological well-being. Increased shade results in higher power requirements for artificial lighting, which also leads to less psychological well-being. Careful consideration must be given to creating good conditions for air exchange.

enclosing surface temperature air temperature relative humidity air movement air pressure air composition electromagnetic compatibility acoustic influences visual influences

Conditions

skin surface temperature does not exceed around 34 °C whilst ambient temperatures stay below about 26 °C (Fig. 10). The human body reaches Surface temperature highest surface around the head, max. 28temperatures ˚C (100% occupancy) 35 ˚C (50% occupancy) with lowestmax. temperatures around the feet, furthest from the heart. It can thus be concluded that the surface temperatures of the room envelope must be adapted to human needs, in order to provide Surface temperature thermal comfort.

Clothing activity level scope for individual control adaptation and acclimatisation daily and annual rhythm occupancy psychosocial factors food digestion ethnic influences age gender physical fitness building structure

Fig. 12

139

140

Further information

•  Arbeitsgemeinschaft Energiebilanzen e. V.: ­Energieverbrauch in Deutschland. Daten für das 1.–4. Quartal 2017. Berlin 2018 •  Bauer, Michael; Mösle, Peter; Schwarz, Michael: Green Building. Guidebook for Sustainable ­Architecture. Berlin 2010 •  Bundesministerium für Verkehr, Bau und ­Stadtentwicklung (BMVBS): Handlungsleitfaden zur Energetischen Stadterneuerung. Berlin 2011 •  Bundesministerium für Wirtschaft und Techno­ logie (BMWi) : Energie in Deutschland. Trends und Hintergründe zur Energieversorgung. Berlin 2013 •  Diefenbach, Nikolaus: Bewertung der Wärme­ erzeugung in KWK-Anlagen und Biomasse-Heiz­ systemen. Darmstadt 2002 •  Ecofys: Energieeffizienz und Solarenergienut­ zung in der Bauleitplanung. Rechts und Fach­ gutachten unter besonderer Berücksichtigung der Baugesetzbuch-Novelle 2004. Nuremberg 2006 •  Hausladen, Gerhard; Liedl, Petra; de Saldanha, Mike: Building to Suit the Climate. A Handbook. Basel 2012 •  Hildebrandt, Olaf (ed): Stadtplanung im Klima­ wandel. Seminar im Masterstudiengang Stadtplanung an der Hochschule für Technik Stuttgart (HFT) zur energetischen Stadtplanung im WS 2017/2018 •  Ministry of the Interior, Schleswig-Holstein: ­Klimaschutz und Anpassung in der integrierten Stadtentwicklung. Wuppertal/Aachen 2011 •  Nissler, Diana; Wachsmann, Ulrike: Statusbericht zur Umsetzung des Integrierten Energie- und ­Klimaschutzprogramms der Bundesregierung. Pub. Umweltbundesamt. Dessau-Roßlau 2011 •  Oberste Baubehörde im Bayerischen Staats­ ministerium des Innern: Energie und Ortsplanung. Arbeitsblätter für die Bauleitplanung Nr. 17. Munich 2010 •  Stadt Würzburg: Hubland auf dem Weg zum CO2-freien Stadtteil. Würzburg 2011–2013 •  Umweltbundesamt (UBA): Energieeffizienzdaten für den Klimaschutz. Dessau-Roßlau 2012

Chapter 2 — Action Areas

tures offer great night-time cooling potential, except during hot periods when night temperatures remain above 22 – 24 °C. Designs must thus be able to adapt to changings outdoor temperatures, wind speeds and wind directions. In modern buildings, this is achieved by computer-controlled or manually operated ventilation elements which can be opened to different widths according to outdoor conditions. Rule 4: Use building structure and mass as a thermal store Buildings’ thermal storage capacity defines the indoor climate and the required energy demand to a considerable extent. Lightweight buildings (e.g. containers) replicate outdoor climate nearly perfectly. Very massive buildings, on the other hand, react sluggishly. They have the advantage of “smoothing” room temperatures, because heat in the room heats the building mass as well as indoor air. This means that the indoor air tempera­ture rises less rapidly than in light buildings. Conversely, energy must be supplied for longer when heating the room, for it to reach the desired temperature, because the building mass must also be heated. In the northern and Central European climate, buildings’ storage capacity can be used very effect­ ively for passive room cooling or for reducing cooling energy requirements. In order to achieve a noticeable effect, buildings must have massive components. Usually, the storage capacity of ­ceilings are used to noticeably flatten the indoor temperature curve. As a rule however, only the mass up to a depth of 10 cm can be thermally activated throughout the day. Rule 5: Improve building envelope All facade components must have highly insulating

properties, i.e. low U-values, in order to achieve high indoor surface temperatures and prevent cold air falling down the inside of external walls. Thermal bridges must also be avoided as much as possible, because they reduce indoor comfort, cause severe heat loss and can lead to condensation. Improving airtightness in buildings is import­ ant in all climates: “leaky” buildings raise energy demand for heating in temperate and northern climates, for cooling in hot climates, and for dehumidification in humid climates. Windproof sunshades, fitted to glazing panels and adjustable to follow the sun path, are important elements of sustainable buildings, because they keep energy demand (kWh) and effort (kW) low. The extent of glazing and sunshades regulates the amount of daylight entering rooms and determines the direct interaction between room cooling and arti­ ficial lighting. The requirements for sunshades’ shading capacity are independent of location and use. Of course, there are very different solutions for various climates and design objectives, but all of these must be able to provide effective shade and regulate light. Rule 6: Integrate active renewable energy systems Integrating renewable energy systems must be related to the overall building design. Low-exergy solutions with low-temperature heating and high-temperature cooling systems are ideal (see Material Flows, p. 108). Thanks to their operating temperature, systems of this type can be run economically with energy sources such as geothermal and solar thermal energy, as well as passive systems such as night cooling. Combined heat, power and cooling systems also make sense, as much of the electricity needed for IT equipment and light-

141

2.4 — Ecology

Building 1: plot ratio 1.0; footprint ratio 0.3 Building 2: plot ratio 5.0; footprint ratio 1.0 Building 3: plot ratio 10.0; footprint ratio 0.5

Building 1 Potential 100 %

Building 2 Potential 50 %

Building 3 Potential 25 %

Building 1 Potential 100 %

Building 2 Potential 100 %

Building 3 Potential 40 %

Geothermal (a)

Solarthermal (b)

ing must be provided jointly with heating and cooling needed for indoor climate conditions for many building uses. Current systems for linking heat, power and cooling tend to be cogeneration, or combined heat and power plants (CHP) with absorption chillers. In future, fuel cells or Stirling engines could also take over these tasks. In order to provide a large share of renewable energy from sources on-site, certain plot ratios and cubic building volumes must be observed. These descriptors help identify the extent to which natural energy sources such as the sun and the ground can provide the energy needed for the building. The following rules of thumb apply: Near-surface geothermal systems up to a depth of 200 m can only be integrated effectively if ­sufficient land is available to accommodate a very diverse range of ground heat exchangers. Housing buildings should not exceed three to a maximum of five floors. Office buildings should range from three to a maximum of six floors. In northern and Central Europe, this means that the ground can provide a major share of heating and cooling energy in energy-efficient buildings (Fig. 13 a). Generating heat through solar energy requires sufficient roof surfaces to be available for solar collectors. Facade surfaces are less effective. Ten to a maximum of twenty floors are recommended in order for solar energy to provide a major share

of domestic hot water heating in energy-efficient housing. (Fig. 13 b, c). In northern and central Europe, housing blocks should have three to a maximum of five floors and office blocks should have two to a maximum of four floors if photovoltaic systems are to provide a large share of the electricity for indoor climate systems, household and IT equipment. This rule is based on the assumption that there is no space to provide photovoltaic panels on-site (other than on the building itself ). Buildings in areas such as southern Europe bene­ fit from more solar radiation, but also have a greater demand for solar-generated electricity or solar cooling. As the scope to use geothermal energy to cool buildings in these areas is limited, the rule of thumb for using photovoltaic systems to provide electricity is the same as for Central Europe.

Building 1 Potential Residential 100 % Office 60 %

Building 2 Potential Residential 50 % Office 40 %

Photovoltaic (c)

Fig. 13

Rule 7: Ensure high-quality air that is free of pollutants Air is vital for human life. Air quality determines the level of comfort we feel, but also our health. Use and length of stay are the key determinants of indoor air quality requirements. In very airtight buildings, the necessary air exchange rate depends not only on the density of occupants, but also on the quality of available outdoor air, the choice of ventilation system and the building materials used.10  PM

Building 3 Potential Residential 10 % Office 10 %

Fig. 13  Potential for geo-­ thermal energy, solar thermal energy and photovoltaics for different site areas and building volumes in housing and office buildings a possible share of heating and cooling energy provided by geothermal ­energy b possible share of warm water energy demand met by solar energy c possible share of electricity demand met by solar energy

10 Braungart / McDonough 2002

142

Chapter 2 — Challenges

Challenges Emissions Jürgen Baumül ler, Sigr id Bus ch, Dietr ich Henckel, ­A ntonel la Sgobba

T

he term “emission” describes the release of a pollutant from its source. Each emission also causes an “immission” when the pollutant in question enters into the environment. Many pollutants have massive global as well as local impacts. For this reason, global environmental policy conferences and initiatives have long aimed to protect the environment from the negative impacts of emissions, i.e. to control immissions (cf. Visions, p. 181f.). The following tools can prevent, control, or limit pollutant emissions and immissions at different spatial scales: •• market-based instruments (e.g. emissions trading) •• regulatory instruments (e.g. laws, ordinances, regulations, directives and standards) •• planning instruments (e.g. spatial planning, urban and neighbourhood planning and design)

1  UBA 2008, p. 10

Market-based tools play only an indirect role in sustainable urban and neighbourhood planning and design. However, regulatory and planning tools are central to urban planning practice. The chapter “Action Area: Emissions” (pp. 146ff.) describes these tools and how they can be used to control immissions in detail. The following sections deal with fundamental aspects of noise, air, heat and light and pollution, and point out the significance of the challenge they present to urban and neighbourhood planning.  SB, AS

Noise In Germany, Article 47 b of the Federal Immission Control Act (Bundes-Immissionsschutzgesetz BImSchG), defines “ambient noise” as “distressing or harmful noise” within the frequency range of human hearing. Noise poses often underestimated risks: it has a negative impact on health and causes sleep disorders, headaches, hormonal reactions, nervousness, impaired hearing, lack of concentration, learning and performance difficulties and even cardiovascular diseases. In 2011, the World Health Organisation WHO arrived at a total of more than one million healthy life years lost due to noise-related health issues in the EU alone. Noise pollution can also cause economic damage, e.g. by reducing the value of affected properties or adding cost for noise protection measures. According to the German federal environment agency UBA, housing property values decrease by 0.5 percent for every additional decibel above 50 dB.1

Noise sources So-called “ambient noise” includes sound emissions from the following source types: •• transport (road, rail and air traffic) •• production (industrial, commercial and construction) •• other activities (neighbourhood, sport and leisure) In 2010, the German federal environment agency conducted a survey which found that more than half of respondents felt distressed by noise. Road traffic was the most frequently criticised source, followed by the neighbourhood and air traffic (Fig. 1). People’s perception of sound is influenced by subjective factors such as their psychological and physical well-being and their attitude to sound.

143

Proportion of population distressed by different noise sources [%]

2.4 — Ecology

Road traffic

70

Air traffic Rail traffic

Industry/commerce Neighbourhood noise

60 50 40 30 20 10 0

2002

2004

2006

2008

2010

2012

2014

Fig. 1

This is why noise is often felt to be more distressing at night than during the day. The human pain threshold for noise is generally at a sound pressure level of 120 dB(A), but sound pressure levels as low as 60 dB(A) can trigger stress reactions. Hearing damage can be expected at 85 dB(A) and sound levels of 200 dB(A) can even be fatal (Fig. 2).

Evaluating noise and protecting from noise Germany has not implemented any nationally standardised approaches or thresholds for total noise immissions, because noise is perceived and evaluated in different ways. Instead, a range of regulatory frameworks govern emissions and immissions, whilst different procedures for evalu­ ating noise are applied to each noise source. Legal upper limits for noise vary depending on its source, the land use affected, and whether the noise is affecting a new-build project, the renovation of an existing building, or a planned project (Fig. 3, p. 144).  SB, AS

Air pollutants Air consists mainly of nitrogen (N), oxygen (O2), and the noble gas argon (Ar). These gases make up 99.9 percent of the air. Although the remaining ingredients account for only 0.1 percent of the air, these trace elements are nevertheless very important. Some of these, such as sulphur dioxide (SO2) or nitrogen dioxide (NO2), can damage humans, animals and plants even in low concentrations. Others, such as carbon dioxide (CO2), methane (CH4), nitrous oxide (N 2O) and chlorofluorocarbon (CFC), con­

tribute to climate change as greenhouse gases. Air pollutants can be generated by natural processes such as forest fires and volcanic eruptions but are largely the result of human activity – especially in cities. Key sources include car traffic, domestic heating and industrial production. In Germany, the focus has now shifted to particulate matter (PM 10, PM 2.5) and nitrogen dioxide (NO2). Over time, both the main urban pollu­ tants and their sources have changed considerably (Fig. 7, p. 145). The noticeable effects of climate change have made the reduction of greenhouse gas emissions a serious issue, which was the subject of the 1997 United Nations World Climate Summit in Kyoto (Japan) where the so-called Kyoto protocol was drawn up. This expired in 2012. The Paris 2015 agreement is aimed at limiting global warming to less than 2 ˚C. This means reducing net greenhouse gas emissions to zero by the middle of the century.

Fig. 1  Distress to population caused by different noise sources Fig. 2  Sound pressure levels for various noisy events and their effects

dB(A) 180

Firing a toy gun near the ear

170

Hitting the ear, fire cracker at shoulder distance

160

Airbag opening in direct vicinity

150

Hammer blow in forge 5 m away (peak)

130 120 110

Heat

100

85

Man-made heat emissions vary greatly from city to city. They depend on the economic structure, geographical location and topography, population, traffic, and the population’s energy consumption. In northern latitudes, heat emissions increase in winter as a result of heating. In southern countries, heat emissions tend to peak in summer as a result of cooling buildings, particularly during high air temperature periods. Heat output in mornings and evenings can be up to 50 percent higher than the daily average. Heat emissions are not evenly distributed throughout the city. In some places, such as in street space, heat emissions can rise to the order of several hundred watts per square meter (Fig. 4).  JB

70 65

50 40 35 25

0 Fig. 2

Loud clapping at 1 m away (peak) Pain threshold: even short exposure can cause hearing damage Common nightclub noise level, emergency siren 10 m away Common earphone noise level, power drill 10 m away Exposure for more than 40 hours per week can cause hearing damage Daytime noise at major traffic route Increased risk of cardiovascular disease at continuous exposure, night-time noise at major traffic route Fridge 1 m away Can disturb learning and concentration Very quiet ventilator at low speed Breathing 1 m away

Hearing threshold

144

Chapter 2 — Challenges

Transport Noise source

Regulation

Facilities

Road, rail, maglev

Motorways, federal highways

Trade and industry

Sport

Leisure

Transport, industry, leisure

Article 16. Federal immission control act (BlmSchV)

Noise remediation

Technical instructions for protection against noise (TA Lärm)1

Article 18. Federal immission control act (Blm-SchV) 2

Recreational Noise Directive  (Freizeitlärm­ richtlinie)2

DIN 18 005

Immission limits in dB (A)

Immission benchmarks in dB (A)

Land use

Day

Night

Day

Night

Day

Night

Hospitals

57

47

67

57

45

35

Schools

57

47

67

57

Old people’s homes

57

47

67

57

Health spa homes

57

47

67

57

Health spa areas

n/a

Care homes Pure housing areas

Planning

59

49

67

57

 3

Day

Night

 4

45 /45

35

3

Day

Guideline values  5

45 /45

Night

Day

n/a

n/a

45

35

45 /45

35

45 /45

35

45

35

45 /45

35

45 /45

35

50

35

50 /45

35

50 /45

35

n/a

Night 6

35

Weekend home areas Holiday home areas

3

n/a

50

40 / 35

50

40 / 35

50

40 / 35

55

45 /40

General housing areas

59

49

67

57

55

40

55 /50

40

55 /50

40

55

45 /40

Small-scale settlement areas

59

49

67

57

55

40

55 /50

40

55 /50

40

55

45 /40

60

45 /40

Campsite areas

Special housing areas

n/a

n/a

Village areas

64

54

69

59

60

45

60 /55

45

60 /55

45

60

50 /45

Mixed areas

64

54

69

59

60

45

60 /55

45

60 /55

45

60

50 /45

63

45

63 /58

45

Urban areas  7

n/a

n/a

Core areas

64

54

69

59

60

45

60 /55

45

60 /55

45

65

55 /50

Trading estate

69

59

72

62

65

50

65 /60

50

65 /60

50

65

55 /50

Cemeteries

55

55

Allotments

55

55

55

55

n/a

Parks Special areas

n/a

45 – 65

 6

Industrial areas

n/a

70

70

n/a

70/70

70

35 – 65 n/a

Special cases: Immission benchmarks for rare events, surcharges for especially sensitive times of day, criteria for individual noise peaks. TA Lärm last updated 01.06.2017  Special cases: Immission benchmarks for rare events, for individual noise peaks, very varied evaluation period. Article 18 BlmSchV last updated 01.06.2017 loudest (full) night-time hour  4  outside/inside quiet hours  5  outside/inside hours of rest and on Sundays and bank holidays 6  Where two values are indicated, the second value relates to industrial, commercial and leisure noise  7  New land use code category since 2017 1  2  3 

Fig. 3

Fig. 4

Agricultural land

Suburbs

Park

Inner-city residential area

City centre

Industrial estate

Suburbs

33 32 31 30

Countryside

Afternoon temperature [˚C]

Light pollution Light pollution is usually defined as any negative effect caused by artificial light, especially in outdoor areas. This includes: •• uncomfortable brightness (glare) •• distressing, unwanted light, e.g. from street lights shining into homes (light trespass) •• lighting which makes night skies glow (skyglow) •• excessive and/or redundant light (over-illumination) Light pollution is linked to numerous negative effects such as increased energy consumption

and individual distress. Above all, it is associated with generating negative external impacts, particularly on the environment. These include disturbing natural plant and animal (including human) rhythms, reducing related ecosystem services, and eliminating pristine night skies. An estimated two thirds of Americans cannot see the Milky Way from their home. NASA photographs document situations in which the moon is the only celestial body to be visible from Dubai. However, light pollution is difficult to define, as light is generally considered a good thing. Light improves the subjective sense of safety, even though the evidence on a positive relation between (more) light and security is ambiguous to say the least. Light is seen as an expression of prosperity and modernity; it liberates us from natural rhythms

145

2.4 — Ecology

Fig. 3  German limits, benchmarks and guideline values for noise immissions [in dbA] Fig. 4  Urban heat island effect Fig. 5  Air pollution along a main road Fig. 6  Night-time light emissions in Europe Fig. 7  Pollutants and their sources in ­Stuttgart from 1700 to 2018 Fig. 5

Year

Fig. 6

Residents

Motor vehicles

Main sources of pollution

Pollutants

Response

Laws etc.

1700

13,000

–

Rubbish, faeces

Smells

1800

15,000

–

Rubbish, faeces

Smells

Kehrwoche (house cleaning clause in rental contracts)

1900

180,000

–

Domestic fuel, industry

SO2, CO, dust, smoke

Trade regulations

1950

505,000

33,000

Domestic fuel, industry

SO2, CO, dust

Replacing coal with oil or gas, monitoring air pollution

Article 16, Trade regulations

1970

632,000

189,000

Domestic fuel, industry, motor vehicles

SO2, CO, dust, NOX

Replacing coal with oil or gas, banning certain fuels, technical innovation

Federal immission control act BlmschG, Federal immission control ­ordinance BlmschV

1980

602,000

244,000

Domestic fuel, industry, motor vehicles

SO2, CO, dust, NOX

Catalytic converters

Smog order

1990

599,000

299,000

Domestic fuel, motor vehicles

SO2, CO, dust, NOX

Euro standards, clean air strategy

Article 16, Trade regulations

2000

587,000

343,000

Motor vehicles

NOX, benzenes, soot, PM10

Euro standards,

Federal immission control act BlmschG, Federal immission control ­ordinance BlmschV

2010

582,000

350,000

Motor vehicles

NOX, benzenes, soot, PM10

Clean air strategy, action plan

EU guidelines

2018

611,000

375,000

Motor vehicles

NOX, benzenes, soot, PM10

Temporary driving bans

EU guidelines

Fig. 7

and extends economic, cultural and leisure activities into the night. Despite many current efforts to reduce energy consumption and increase efficiency, light levels are expected to continue to rise in the foreseeable future. This is partly due to so-called rebound effects (lower cost leads to a disproportionate rise in demand for additional lighting) and lifestyle shifts towards continuous day and night activity. Mostly, however, it is due to the ongoing pursuit of economic growth and the growth of major light-intensive infrastructure in developed – and especially in developing – countries. Despite rapidly progressing conversion to significantly more energy-efficient LED technology (light emitting diodes), economic growth, and rebound effects in particular, are contributing to an ongoing rise in lighting intensity.  DH

Further information

Noise: •  Baumüller, Jürgen: Städtebauliche Lärmfibel. Wirtschaftsministerium Baden-Württemberg. Stuttgart 1994 •  Umweltbundesamt (UBA), Europäische Akademie für städtische Umwelt: Umgebungslärm, Aktionsplanung und Öffentlichkeitsbeteiligung – Silent City. Berlin 2008 Air pollutants: •  Allen, L. et al.: Global to City Scale Urban Anthropogenic Heat Flux: Model and Variability. Megapoli ­Scientific Report 1001. London 2010 •  Hupfer, Peter; Kuttler, Wilhelm: Witterung und Klima. Eine Einführung in die Meteorologie und ­Klimatologie. Wiesbaden 2006 Light pollution: •  Hänsch, Robert et al.: Möglichkeiten der öko­ nomischen Bewertung des Verlusts der Nacht. Vienna 2012

•  Rich, Catherine; Longcore, Travis (ed): Ecological Consequences of Artificial Night Lighting. Washington D. C. 2006 •  Posch, Thomas et al. (ed): Das Ende der Nacht. Lichtsmog: Gefahren – Perspektiven – Lösungen. Berlin 2013 •  Held, Martin; Hölker, Franz; Jessel, Beate (ed): Schutz der Nacht. Lichtverschmutzung, Biodiversität und Nachtlandschaft. BfN-Schriften Nr. 336. Bonn 2013 •  Kyba, Christopher et al.: Artificially lit surface of Earth at night increasing in radiance and extent. In: Science Advances 11/2017

146

Chapter 2 — Action Areas

Action Area Emissions Jürgen Baumül ler, Sigr id Bus ch, Diet r ich Henckel, Antonella Sgobba

T

he general objective is to avoid pollutant inputs into the envir­onment and to implement targeted measures to reduce their negative impacts to a minimum. In doing so, it is important to consider what causes emissions and how they interact. For example, transport planning which enables more efficient and environmentally friendly mobility behaviour can reduce both noise and air pollution. In addition to planning, regulation can also offer protection from pollu­ tants’ impacts. We will make the following distinction between emissions and immissions: When a source emits pollutants (“emissions”) into its surroundings, these same outputs are described as immissions when the focus is on their impact on human beings or on specific locations (Fig. 1).

Preventing immissions Immission control aims to reduce the impact that pollutants have on the environment. Various regu­ latory and planning tools have been developed for this purpose.

Legal frameworks In 1996, the European Union defined uniform regulations for “integrated pollution prevention

and control” with EU Directive 96/61/EC. In the same year, the EU adopted Directive 96/62/EC on ambient air quality assessment and management. In 2002, Directive 2002/49/EC (Environmental Noise Directive) set out the uniform identification of environmental noise. In Germany, the provisions of these EU directives were integrated into the federal immission control act (BImschG), which has existed since 1974, and thus converted into national law. The federal immission control act and the legal regulations and administrative provisions based on it define limits for the input of noise and air pollutants into the environment, and regulate water and soil protection as well as recycling and waste management (cf. Protecting Water and Soil, pp. 96ff.; Material Flows pp. 106ff.) During planning approval, the “Technical instructions for protection against noise” (Technische Anleitung zum Schutz gegen Lärm, TA Lärm 1968, 1998, 2017) are applied in order to control noise control; whereas the “Technical instructions for air pollution control” (Technische Anleitung zur Reinhaltung der Luft, TA Luft 1964, 2002) are applied to control air pollution. There are currently only guideline values and recommendations for limiting the input of heat and light into the environment in Germany.

Planning tools Specialist engineering (e.g. traffic, noise protection, light design, and technical supply and disposal) can influence the release of noise, air pollutants, heat and light into the environment. Importantly, these specialist tasks must be brought together in integrated concepts and embedded in legally binding planning instruments, such as land use and development plans.  SB, AS

147

2.4 — Ecology

65

62.5

67.5

57.5 60

Emission

Transmission

55 52.5

Immission

50 Source

0m

50 m

100 m

Fig. 1  Noise distribution

Fig. 1

Measures against noise Noise is harmful to health and impairs human well-being. As a result, noise also undermines attractiveness and quality of life in cities and neighbourhoods. This is why it is very important to offer protection from noise immissions. In Germany, measures to reduce noise emissions must be implemented when limit values are ­exceeded. At the EU level, the Environmental Noise Directive also stipulates that as from 2007 every municipality with 250,000 inhabitants or more – and as from 2012 every municipality with 100,000 inhabitants or more – must produce noise maps every five years. This helps identify problems and conflicts in order to implement appropriate protective measures. Where high noise levels are expected to cause harmful effects, conflicts must be mapped and noise protection plans discussed and brought up to date in public consultation every five years. Local governments are responsible for prioritising and implementing measures required to improve the situation according to the size of the area in question, the number of persons affected, and the extent of the noise pollution. If the daily noise index rises above 65 dB(A) and the night noise index exceeds 55 dB(A) this can have a damaging effect on health. For this reason, the German federal environment agency UBA recommends that local authorities initiate shortterm noise control measures (e.g. bans on heavy goods vehicles, 30 kph/h at night, closing gaps between buildings etc.). If the daily noise i­ ndex rises above 60 dB(A) and the night noise index exceeds 50 dB(A), UBA recommends medium-­

term measures, such as reconfiguring street space, re-surfacing roads etc.1 Some cities, such as Stuttgart, have set rather higher limits for noise action planning. Here, only noise levels above 70 dB (A) during the day and 65 dB (A) at night require shortterm noise reduction. The City of Stuttgart, which has already implemented some measures as part of the first noise action plan for 2009 (e.g. expanding and promoting public transport, banning heavy goods vehicles above 3.5 t from travelling through the city, residential parking concepts etc.), aims to achieve an average noise level of less than 55 dB (A) during the day and 45 dB (A) at night in residential areas, when all noise sources are taken into account (Vision Lärmschutz Stuttgart 2030).2 This decision resulted from the noise map completed in 2012, which made it clear that around 16,000 people in Stuttgart live in areas with a night-time road traffic noise level in excess of 60 dB(A). Both active and passive noise protection can be implemented directly at source – e.g. road traffic – as well as on at urban or architectural levels. Active measures deal directly with the source of the noise, whereas passive measures deal with immissions, for example by fitting buildings with soundproof windows. It makes sense to implement passive noise protection where active measures to reduce noise are not sufficiently effective.

Preventing noise through urban design Noise emissions are mainly caused by road traffic. As a result, traffic planning plays a key role in preventing, reducing and relocating vehicle noise. Outside built-up areas, noise barriers and walls

1  UBA 2008 2 Vision Lärmschutz Stuttgart 2030

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Chapter 2 — Action Areas

> - 99.0 dbA > 35.0 dbA > 40.0 dbA > 45.0 dbA > 50.0 dbA > 55.0 dbA > 60.0 dbA > 65.0 dbA > 70.0 dbA > 75.0 dbA > 80.0 dbA > 85.0 dbA Fig. 2

are most commonly used to control road noise. These noise protection systems are more efficient, the closer they are located to the source of the noise (Fig. 1, p. 147). Where sufficient space is available, noise barriers can be integrated into the landscape and can integrate functions such as neighbourhood car-parks on their “quieter” side, even though this generates considerable cost. In inner-city areas, the most effective measures to reduce noise include banning or restricting traffic, banning heavy goods vehicles, implementing Urban Traffic Management Control (UTMC, or “green wave” systems), installing noise-redu­ cing road surfaces, giving priority to public transport, reducing road widths, extending cycle paths, promoting car and bike sharing, promoting electric vehicles and managing parking. Reducing speeds from 50 to 30 kph in inner-city areas can reduce noise emissions by 3 dB (A).

Fig. 2  Different building structures and their effect on the spread of sound ­(simulation in CadnaA) Fig. 3  Noise protection through linear buildings, noise barriers and arrangement of rooms inside flats

It makes sense to implement neighbourhood-scale urban design measures if transport planning measures are not sufficient to reduce noise. For e­ xample, closing gaps between buildings can reduce the spread of sound to surrounding buildings. Suitable building placement and layout can influence the spread of sound in the design of new neighbourhoods (Fig. 2). Perimeter blocks shield courtyards, and linear buildings running parallel to the source of noise protect areas behind from most of the noise. Distributing uses appropriately within the building can respond appropriately to the varying extent to which various parts of the building are exposed

to noise. Uses which are sensitive to noise, such as bedrooms and living rooms, should be placed on the quiet side of a building, whereas kitchens, bathrooms, dining rooms, storage areas, stairways, conservatories, access balconies, enclosed bal­ conies or layered facades can provide buffer zones to noisy outdoor areas (Fig. 3). For example, layered facades can reduce noise by up to 10 dB (A). Unfortunately, aside from psychological effects, planting provides very little soundproofing. At least 100 m of dense woodland is required for any effect to be noticeable. Urban planners can use local planning authorities’ urban development frameworks to manage and implement measures to reduce noise. Article 5, Section 2, No. 6 of the German building code (Bau­ gesetzbuch BauGB) allows planners to provide for noise protection systems by identifying areas “for measures to offer protection against harmful envir­ onmental impacts as identified by the federal immission control act (BImschG)” in land use plans, which also define uses and minimum distances to be kept free. Further details can be determined through development plans (Bebauungs­ plan). For example, planners can use the land use code (Baunutzungsverordnung BauNVO) to define and locate uses within development areas, placing them according to their sensitivity to noise. Planners can also specify building types and densities which effectively counteract noise: closed building typologies (e.g. perimeter blocks or courtyards) provide better noise protection than open typolo­ gies (e.g. point blocks, detached houses), whilst building height can also shield areas from noise.

149

2.4 — Ecology

Through road Through road

Noise source Noise source

Boundary Boundary distance distance

Industry / Garages Industry // Ateliers Garages / Ateliers

Interior Interior courtyard courtyard

Noise protection Noise block protection block

Noise source Noise source

Apartments Apartments

Noise-sensitive rooms Noise-sensitive rooms

Noise barriers Noise barriers

Noise-sensitive rooms Noise-sensitive rooms

In addition to these conditions, planners can also specify further requirements for passive noise protection in development plans. Urban design, social, functional, ecological and economic aspects must all be balanced in selecting appropriate noise protection measures. Redu­ cing noise pollution can have important feedback effects on urban attractiveness and quality of life. However, sustainable urban development concepts such as compact cities, cities of short routes and mixed use all require a more tolerant attitude to noise: silent cities cannot be lively cities.  SB, AS

Measures against air pollution In 2000, the World Health Organization (WHO) published “Air Quality Guidelines for Europe” with air quality guidance values for 28 air pollu­

tants. These provide scientifically sound background information for governments and authorities to assess risks to humans and vegetation and establish legally binding air quality standards. The Guidelines were updated in 2005 to include Particulate Matter (PM), Ozone (O3), Nitrogen dioxide (NO2) and Sulphur dioxide (SO2). Corresponding guidelines for indoor air were also published in 2010 (www.who.int). Whilst measures to reduce pollutants initially related to polluted work places, the need to reduce outside air pollution soon became evident as industrialisation progressed. During the post-war period until the 1970s, the main air pollutants were SO2 and suspended particulate matter. In the absence of technical means to reduce pollution, attempts were made to reduce industrial air pollution through high chimneys, as technical measures were not yet state of the art. Key events included the Great Smog of London in 1942, when sulphur in smoke from coal fires led to very high SO2 concentrations, causing severe pollution and killing between 4,000 and 12,000 people. The

Living / Living / Kitchen Eating Kitchen Eating WC Room WC Bathroom Room Bathroom Room Room Fig. 3

Balcony Balcony

Noise reduction Noise 0 dBreduction 20–5 dBdB 52–10 dB –5 dB 10 –20dB dB 5 –10 >1020 dBdB –20 > 20 dB

150

Emission values for diesel vehicles [mg/km]

Chapter 2 — Action Areas

NOx

600

PM10

500

400

300

200

100

0

1993 EURO-1

1996 EURO-2

2000 EURO-3

2005 EURO-4

2009 EURO-5

2011/14 EURO-6

2017 EURO-6d

2020 EURO-6d

Fig. 4

Further information

Noise: •  Reuter, Ulrich et al.: Städtebauliche Lärmfibel. Pub. Ministerium für Verkehr und Infrastruktur Baden Württemberg. Stuttgart 2013 •  German federal environment agency (UBA): Handbuch Lärmaktionspläne. Handlungsempfeh­ lungen für eine lärmmindernde Verkehrsplanung. Dessau 2015 •  UBA, Europäische Akademie für städtische Umwelt: Silent City. Berlin 2008 •  UBA: Maßnahmenblätter zur Lärmminderung im Straßenverkehr. Dessau 2009 •  UBA: PULS Praxisorientierter Umgang mit Lärm in der räumlichen Planung und im Städtebau. Dessau 2006 Light pollution: •  International Dark-Sky Association (IDA): ­International Dark-Sky Parks; www.darksky.org •  Köhler, Dennis: Künstliches Licht im öffentlichen Raum als Aufgabe der Stadtplanung. Der Weg zu einer integrierten Lichtleitplanung. In: Köhler, ­Dennis; Walz, Manfred; Hochstadt, Stefan (ed.): LichtRegion. Positionen und Perspektiven im ­Ruhrgebiet. Essen 2010, p. 181–198 •  Kyba, Christopher C. M. et al.: Red Is the New Black. How the Colour of Urban Skyglow Varies with Cloud Cover. In: Monthly Notices of the Royal Astronomical Society, 01/2012, p. 701–708 •  TRILUX AG (pub.): Beleuchtungspraxis. ­Außenbeleuchtung. Arnsberg 2009 •  Verband der Netzbetreiber und Deutsche ­Lichttechnische Gesellschaft e.V. – LiTG (pub.): Straßenbeleuchtung. Leitfaden für Planung, Bau und Betrieb. Frankfurt/M. 2009 •  Kyba, Christopher C. M.; Hänel, Andreas: Hölker, Franz: Redefining Efficiency For Outdoor Lighting. In: Energy and Environmental Science. 07/2014 p. 1806–1809, dx.doi.org/10.1039/C4EE00566J •  LoNNe: Statement of the EU COST Action ES1204 LoNNe (Loss of the night network), www.cost-lonne.eu/wp-content/uploads/2013/08/ LoNNe-Statement-for-NPAs_2016_160722.pdf (accessed: 07.01.2018)

UK responded by passing the Clean Air Act in 1956, to ban burning certain fuels in so-called “smoke control areas”. In response to high air pollution, several German federal states issued smog regulations to let ­authorities reduce factory production and ban vehicle traffic in the event of concentrations harmful to health. These regulations have since been repealed. Clean air requirements for industrial and commercial plants were integrated into the German industrial code and are now embedded in the federal immission control act (BImSchG). First introduced in 1964 and updated on an on­ going basis, the “Technical instructions for air pollution control” (TA Luft) set out emission and immission limits for each substance, as well as methods of calculation and measurement, especially the calculation of distribution. TA Luft was last updated in 2002. A further update planned for 2017 was cancelled. Instead, the plan is to issue supplementary guidance with an update to limit values. Planning authorities must follow the rules set out in TA Luft when issuing permits for new industrial and commercial development. Within certain transitional periods, existing plants must also reach the state of the art in order to reduce pollution. Vehicle traffic is now the main source of pollution. In the mid-1980s, exhaust emission limits (Euro standard) for new cars were tightened to such an extent that catalytic converters were needed. Exhaust emission limits are generally further reduced every four years. The Euro 6 level has been in force since 2014. Further levels apply for 2017 and 2020 with a new test cycle which

more closely resembles real driving behaviour. (Fig. 4) In the past, air pollution control measures were aimed at reducing concentrations harmful to health. Today, however, the focus is on prevention, with the exception of some key stressed road areas. Clean air plans are mandatory if pollution exceeds limit values. By definition, greenhouse gases are not regarded as air pollutants with a direct effect on humans, animals and plants. Nonetheless, the need to ­reduce the emission of these gases in order to counteract climate change became apparent. In 1989, The Montreal Protocol adopted regulations to reduce CFCs which damage the ozone layer. Ratified in 1997, the Kyoto Protocol, expired in 2012, is superseded by the 2015 Paris Agreement.  JB

Measures against light pollution The control of outdoor lighting at night is gaining importance as awareness of the negative effects of light pollution grows. Energy-efficient technolo­ gies also enable the more targeted use of lighting. Rising energy prices, tight local government ­budgets, and the prohibition of old technologies (e.g. mercury vapour lamps, gas lamps) are leading many local governments to redesign outdoor lighting. Lighting master plans or lighting plans for key urban areas or whole cities are becoming more common.

151

2.4 — Ecology

Fig. 4  Exhaust pollution ­limits for new petrol engines Fig. 5  Fluorescent light benches, Düsseldorf (DE) 2002, Stefan Sous Fig. 6  Various types of street light fitting shed more or less light upwards and so increase or reduce light ­pollution.

3 LoNNe – Loss of the Night ­Network (www.cost-lonne.eu/) 4  Kyba /Ruhtz 2012 5 Verband der Netzbetreiber, Deutsche Lichttechnische Gesellschaft 2009 Fig. 5

Aside from retrofitting technology and increasing energy efficiency, these aim to contribute to urban design and highlight important buildings and ensembles whilst taking environmental concerns into account and exploring possibilities to control private lighting with an impact on outdoor space (e.g. illuminated adverts, screens). Local governments are drafting these master plans on a voluntary basis. Depending on the legal framework, these are normally only binding for the municipality itself. Key points for avoiding light pollution in planning include:3 •• do not light more brightly than necessary •• restrict light temperatures to 3,000 K or lower in order to reduce particularly environmentally harmful blue components •• only light what really needs lighting and avoid unnecessary light reflection and overspill (Fig. 5) •• only light when necessary, i.e. depending on demand and situation

countries such as Slovenia have passed legislation. In principle, wider consideration should be given to regulating night-time outdoor lighting more clearly in terms of intensity, light temperature, duration and radiation. This should also systemat­ ically address the various sources and stakeholders relevant to outdoor lighting and light pollution. Regulation should set out not only minima (e.g. according to DIN) but also explicitly define maxi­ mum street light levels. Designating special protective zones, such as Dark Sky Parks, is a very radical, specific and locally limited measure to significantly lower light levels. This is implemented by local governments, who commit to reducing night-time outdoor lighting to a minimum, in order to be certified as Dark Sky Park by the International Dark Sky Association (IDA).  DH

It is important to install light fittings which significantly reduce light shed upwards in order to reduce light pollution (Fig. 6). In times without much artificial lighting, cloudy skies used to make nights darker. But recent studies4 show that clouds now reflect extensive bright lights to make urban nights lighter. Despite some positive trends, lighting intensity has continued to increase, although this varies greatly between different cities. This is partly due to the fact that light has so far been much less regulated than other environmentally relevant disturbing factors (e.g. noise). Whilst some guidance notes are available in Germany,5 other Fig. 6

C H A P TE R 2

Challenges & Action Areas

2 .5

Economics

153

2.5 — Economics

Challenges Economics Ma r t in Al tmann, Gregor C. Gras s l, Guido Spars

T

he 2007 real estate and financial crisis in Europe and the US finally made it clear that only sustainable and longterm investment strategies are future-proof. Globally, nationally and in the local government context, shortterm interests often lead to development failures. This is also reflected in urban and neighbourhood planning. In Germany in particular, experts are currently seeing a boom in real estate investment, focused mostly on growth centres such as the top seven locations (Munich, Hamburg, Berlin, Frankfurt am Main, Stuttgart, Cologne and Düsseldorf ). By the end of 2017, average prices for apartments in Germany had increased by 45 percent, and those for single-family homes by 26 percent against a 2004 baseline. During the same period, rents in new contracts increased by an average of 20 percent and existing rents by 9.6 percent.1 All growth centres lack sufficient space for additional and accumulated demand. Short supply is causing prices to rise in many sub-markets. And yet this trend is not seen as evidence for a German real-­ estate bubble, thanks to particularly high demand and high investment pressure from many private and institutional investors. However, there is a general need for development strategies which take both investors’ expected returns and local governments’ and users’ goals and needs into account. At the same time, local governments must ensure that districts and neighbourhoods develop in an orderly and sustainable way which is in tune with the “inward before outward develop­ment” principle. The focus is shifting towards brownfields and unused (or underused) development sites. This is because land is getting more scarce, and demographic and social condi-

tions are expected to change in future. As a result, neighbourhoods are seen as projects for planning and development.2 Neighbourhoods are evaluated against a wider range of design variables, such as existing buildings, heritage and conservation, infrastructure, transport, communities and social structures. Engaging residents and politicians in this process also gains significance, even with regard to economic development. Partnerships between local governments and investors are becoming more important for urban development. As a result, economic viability is a key factor in assessing the feasibility of real estate development. However, public and private project sponsors have very different views and needs in terms of expected returns, which must be taken into account in methods to evaluate sustainable neighbourhoods and buildings. The mission is to create win-win situations which also meet qualitative objectives. In this chapter, we will set out the different perspectives and challenges at the various levels.

Global and national perspectives Since the 1990s, the concept of sustainable development has received particular attention in policy, the public and scientific discourse. First formulated by the Brundtland commission in 1987 (Brundtland Report), and the United Nations Conference on Environment and Development (UNCED) in Rio de Janeiro in 1992, the guiding

1  F+B Beratung Hamburg 2  Spars 2013

154

Chapter 2 — Challenges

Sale value for development land [€/m2]

160

All development land

Vacant development land

Unprepared development land

140 120 100 80 60 40 20 0

2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 Year

Fig. 1

3  Lendi 1998 4  Kuhn / Rok 2011 5 Deutsche Bundes­ regierung 2012 6  Spars 2012, p. 24f.

principle of sustainable development has become a touchstone shared by various political forces and social stakeholders. Agenda 21, one of the Rio Conference’s five concluding documents, comprises 40 chapters cataloguing objectives and measures which also address cities and urban development. In recent years, the concept of sustainable development has become the lowest common denominator of national and inter­ national consensus between governments, parties, politicians, non-governmental organisations and scientists. A long list of declarations of intent and resolutions demonstrates that intentions are genu­ ine, even if the meaning of the words remains vague. In Germany, results of the Rio Conference were implemented in updates to the building code (BauGB) and spatial development code (ROG).3 Legislation now explicitly mentions the objective of “sustainable development”. Article 1 Section 5 of the building code defines sustainability as a key principle for urban development. Future development plans (Bebauungsplan) must ensure sustainable development. The “Rio+20” conference in 2012 passed a 49-page resolution which included upgrading UNEP (the UN Environment Programme) and equipping it with greater legal powers and resources, but failed to give UNEP the status of an independent UN environmental organisation as demanded by Germany and other Nations. To date, the resolution does not include any new or enhanced objectives for development and environmental protection. The intention is for these to be drawn up in the coming years. However, the aim is to more actively engage business in sustainable development, following the green economy model. Sustainable development is a way of doing business which “uses natural resources only within the extent of their ability to regenerate and absorb, whilst guaranteeing all people an ethically negotiated and equal minimum quality of life”4 (Fig. 2). In this context, politicians’ task is to ensure that all decision-making levels agree relevant standards and penalise non-compliance. In 2012, the German government published a progress report on its National Sustainability Strategy and documented the success of its “Sustainability

Management Concept”. The Government translated the mission statement into ten management rules and worked with the German Council for Sustainable Development’s expert team to formulate 38 goals and indicators to measure their implementation in 21 thematic fields. This monit­ oring process regularly evaluates the state of play and publishes a progress report every four years.5 The German Government views sustainable business management as a long-term competitive advantage for international trade, provided that German companies succeed in aligning themselves with sustainable development goals at an early stage. The German economy has now also established sustainability as a relevant guiding principle. For example, Corporate Social Responsibility (CSR) is an important way for businesses to link responsible entrepreneurial practice to social responsibility. The sustainability goal of transitioning to low-­ carbon, more resource-efficient production will require substantial investment, but can also offer economic opportunities as part of the green economy. The economy as a whole is increasingly glo­ bal in character. This includes intensive inter­ national networking and division of labour, the growing importance of global players and increasingly international market competition. As liberalised capital markets gain significance, real estate’s secondary asset function is increasingly important for real estate markets. This means that global financial flows obey their own rules in moving into certain investment segments (e.g. real estate sub-markets and projects) which compete with each other for these investments. Generally, cities and regions are facing the massive need to invest in future technical infrastructure, urban development and the sustainable economy. This will make them even more dependent on private investors and innovative financing models (e.g. urban development funds) in future.6 According to DIFU (Deutsches Institut für Urbanistik), German local governments have accumulated a backlog of investment needs amounting to € 136 bn. DIW (Deutsches Institut für Wirtschaftsforschung) points out that bottlenecks in planning and construction capacities in particular are hampering

155

2.5 — Economics

cities and local government investments.7 Sustainable urban and neighbourhood development poses major challenges, which must be met by a structured approach to reusing buildings and brownfields, reconfiguring and adapting social and technical infrastructures (e.g. for demographic change), and designing innovative transport systems.8 Local authorities’ strained financial situation, often involving massive debt, is a serious threat to implementing sustainable development approaches.  GS

Local government outlook First and foremost, neighbourhood development presents local governments with an organisational challenge. Long time frames, the need to develop basic strategies, complex planning procedures and budgetary frameworks often place excessive demands on local government structures. Local governments seek to provide adequate public amenity when they opt to fundamentally redevelop neighbourhoods. This might include providing affordable housing, attracting businesses, or capturing purchasing power in designated special retail areas. Local governments can provide framework conditions, but generally cannot act as sole project developers. Cities can only invest in and actively shape development if they can acquire subsidies or grants to kick-start key investment, e.g. in cultural or social facilities. Competing for funding from national or international development programmes ties up financial and human resources and match funding during the project start-up stage. Whereas comprehensive urban development plans and project concepts can set out trendsetting ideas for the future, actually delivering specific measures on the ground is far more difficult. Often, projects of this kind can only be delivered by tying in private capital and capacities, e.g. through development companies or public-private partnership (PPP) models and

using statutory powers and informal tools (e.g. contracts in civil law) to ensure that project object­ ives are met. Even so, it is down to local governments to monitor and supervise the development process, and to bear the risk of taking over and managing infrastructure facilities. The political risk of project failure always rests with local government. This means that local governments must find and join forces with reliable partners who can respond flexibly to their needs. Often, local governments try to use contractual regulations to shift costs and burdens to their private partners. Local governments who are seeking to fund oneoff investment and follow-on cost to operate and maintain municipal infrastructure whilst seeking to retain influence can include the following points in corresponding agreements: •• defining urban structures and uses in urban development plans •• creating and handing over public areas free of cost •• providing land or housing for key population groups •• delivering, and where appropriate, running social infrastructures •• completing or repairing outdoor neighbourhood infrastructure •• defining target performance levels (sustain­ ability, energy supply) in contracts and in urban development plans These aspects weigh down developers’ balance sheets and relieve local government budgets. It also becomes clear that the evaluation of neighbourhood development must take location, market conditions and respective economic situation into account in order to arrive at a shared, deliver­ able solution. The withdrawal of WWII allied forces after German reunification and the reform of the German armed forces led to many military sites being decommissioned. Evaluating these sites’ develop­ ment potential became a key issue. Having taken ownership of these vacant sites, the German ­federal government offered them for sale to local governments at “more favourable” rates. The

7  Gornig / Michelsen 2017 8  Beckmann 2012

Social issues (individual needs and well-being)

Policy steer

Economy

Policy steer

Ecology (ecosystems, raw materials etc.; serving the public good) Fig. 2

Fig. 1  Average sale values for development land, ­Germany (2016) Fig. 2  Interactions between three pillars of sustainability. The role of policy is to medi­ ate between the three pillars, and balance ecological, social and economic object­ ives on a project-by-project basis.

156

Chapter 2 — Challenges

central concern was to provide sufficient scope for future development. Even so, initial land price expectations often contrasted with national and local government housing policy and urban development objectives.  MA

Project focus

Conflicts of interest at building level

“Neighbourhood development” projects are often repeatedly broken down into numerous individual projects, especially when it comes to the design and construction of buildings. This is where very different economic parameters and approaches to economic viability collide. Whereas owner-occupiers such as home builders, building groups, or small businesses usually take a long-term view and interest and are driven to achieve high-quality standard in their property and the wider neighbourhood, both major investors and public sector clients are also cost-driven. On the one hand, this is due to (perhaps institutional) investors’ expected return on investment, whilst municipal clients have to demonstrate value for money to taxpayers, or meet affordable housing targets.

Neighbourhood developments are long-term projects. This means that medium- and long-term secondary and tertiary effects must be taken into account, as well as initial investment cost. In economic terms, the challenge is to take a wider view and evaluate neighbourhood’s long-term quantitative and qualitative development, rather than looking only at short-term cost and return on investment. A major problem is that many projects are not individual, self-contained projects and that they run longer than legislature periods. Neighbourhood development begins with different motives. Political and social motives can include the desire to eliminate urban problems, to create or preserve municipal identity (e.g. by contrasting with adjoining cities or municipalities), or the need to meet an unfulfilled demand for housing, development land, or business growth. These motives can be driven by macroeconomic object­ ives, such as providing a basis for investment in the built environment (and thus creating jobs), but they may also have no economic justification at all. The private sector may also put forward ideas for neighbourhood development. These are usually motivated by the desire to pursue a specific business model, or to generate income from large existing, but underused land ownership. Visions only turn into actual projects when the ideas mentioned above meet real markets and specific development sites. The great challenge in neighbourhood development often lies in coordinating countless individual projects. Neighbourhood development led and delivered purely by local government in the public interest is now extremely rare. Local governments no longer determine development rights, construct everything

from housing to crèches, and go on to operate all neighbourhood services. Mostly, local governments focus on their sovereign task of setting out planning and development rights and pass the economic opportunities on to project stakeholders (developers, investors, etc.), attaching appropriate conditions. Often, local governments outsource planning tasks (e.g. to private sector planning practices), or delegate these to developers, thereby retreating from a leading role and merely accompanying projects through the municipal procedures. It is also common to pass the tasks of initial development (i.e. preparing land, access and infrastructure) including economic dependencies and follow-on costs on to owners or developers. Public sector accounting rules and practices, such as the requirement for public sector development fees to cover no more than cost, place local governments at a mediumand long-term disadvantage against the private sector, who are allowed to work to different rules to generate profits. Even though more stakeholders are involved: Local government remains responsible for developing neighbourhoods by bringing together numerous individual projects, each with complex economic conditions. This can only succeed if each individual project partner’s interests and economic framework conditions are acknowledged and taken into account. The current market conditions demand that local governments pay particular attention to creating housing which is affordable for a broad urban population. Housing models with fixed quotas for subsidised housing can ensure low rents even in privately financed neighbourhoods.  GCG

Diverse interests The step-by-step process of development reveals stakeholders’ diverse interests, which in turn reflect the complex parameters for sustain­able neighbourhood development. The more challenging a location is in character, and the weaker ­ow­ners’ and local government’s economic per-

157

Even in early planning phases, the different development parameters often put local governments at odds with owners and investors, thus causing project delays. Informal framework planning can help formulate key points and goals at an early stage, and enable a certain economic verification (e.g. distributing land use, net development land, cost cover, sustainability etc.). In a sustainability-­ driven development process, the economic dimension must be given appropriate weight. In this regard, the win-win principle gains importance: achieving short- and medium-term returns on private partners’ investment, as well as qualitatively and economically benefiting local governments, residents and entire locations in the long term. Landowners are often unwilling to actively engage in creating value because they lack capital, experi­ ence, or the willingness to accept risk. This is a

ate Est al e R

Intention to generate profit

p

Citizens’ political will, through elected representatives

Institute for Fe de ral

National spending laws (economy, efficiency)

Planning authority

ipality nic Mu

Local governments’ fundamental interest is to safeguard urban, architectural and social development goals in site or neighbourhood development. Where they cannot themselves own and develop projects, due to a lack of economic possibilities, they must exert influence through municipal urban development planning, contracts in civil law, or – where necessary – take part in development companies. Higher political objectives such as safeguarding and creating jobs or creating attractively designed locations to live and work play an important role, especially in developing major sites. When military or industrial sites become vacant, poor neighbourhood planning can lead to job losses, declining populations and econ­ omies, whereas sustainable redevelopment can strengthen the local economy, even benefiting adjoining areas.

Supervised by finance ministry

Private land owner = entrepreneur

formance is, the more weight this gives to users and developers representing investment capital. Local government’s gain more weight in very ­attractive areas and neighbourhoods, where ­development is a “self-starter”, and thus benefit from easier conditions to achieve higher goals of sustainable urban development. (Fig. 3)

Ci vic

ion rat pa nts side pre + re ct bs oje /Jo Pr rty pe ro

Lan dp ric e

2.5 — Economics

Inv e stor

Budgetary guidelines (local authority, state)

Market-oriented products for users and end consumers

Financiers’ and investors’ demands

Retur al n / interest on capit

Project delivery Fig. 3

major obstacle to neighbourhood development. Processes of negotiation and land assembly are often needed, and these reveal different perceptions of the value of land to be sold or bought. Projects can fail because of the lack of development sites. From the outset, it is important to clarify the role of property owners, who – as vend­ ors – may have little interest in development (e.g. as administrators or land disposal agencies). ­Ideally, the entire development area should pass into the ownership of a dedicated “new” development body, which – based on clear agreements – joins forces with partners to professionally initiate and control the development process. Funding and development strategies shape market players’ roles as partners (investors, developers, finance institutions, planners and consultants). The process of developing neighbourhoods over long time scales has different dimensions, as different risk assessments apply to developing land and the buildings on it respectively. Private partners’ drive to achieve a return on capital invested makes consistent and predictable planning particularly important. Clearly stating and evaluating these objectives is essential in order to facilitate phased, collaborative processes in the development sustainable neighbourhoods, which usually comprises large areas and takes many years (five to eight years or more).  MA

Fig. 3  Objectives and roles in the process of regenerat­ ing an urban brownfield

Further information

•  Burmeister, Thomas: Praxishandbuch städte­ bauliche Verträge. Bonn 2000 •  Gornig, Martin; Michelsen, Claus: Kommunale Investitionsschwäche: Engpässe bei Planungs- und Baukapazitäten bremsen Städte und Gemeinden aus. In: DIW Wochenbericht 11/2017, pp. 211–219 •  Libbe, Jens; Köhler, Hadia; Beckmann, Klaus J.: Infrastruktur und Stadtentwicklung. Technische und soziale Infrastrukturen. Herausforderungen und Handlungsoptionen für Infrastruktur und Stadtplanung. Deutsches Institut für Urbanistik (Difu) and Wüstenrot-Stiftung. Berlin 2010 •  Trapp, Jan Hendrik et al.: Ressourcenleichte zukunftsfähige Infrastrukturen – umweltschonend, robust, demografiefest. Umweltbundesamt (UBA). Dessau-Roßlau 2017

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Chapter 2 — Action Areas

Action Area Economics Marti n Alt mann, Gregor C . Gras s l, Guido Spars

U

rban planning and neighbourhood development projects are subject to major economic pressure, not least because of local governments’ generally poor financial situation. This chapter highlights ways to improve projects in economic terms. This does not necessarily require reducing production costs and development quality. Key economic decisions at the local level set the course, even before the actual neighbourhood development begins. Only attractive settings can successfully compete for the best, top-performing businesses. Strategic approaches such as local govenment land management are essential for actual project delivery. Economic viability includes funding, effectiveness, efficiency, value stability and of course, profitability. The following section sets out strategies and calculation methods to plan projects which are successful and profitable for all parties involved throughout their entire life cycle.

Urban and regional economy Cities and regions compete for residents and businesses at the national level, throughout Europe or even globally in the case of major cities. It is becoming apparent that businesses increasingly choose locations which can attract the highly quali­ fied employees they are looking for. This trend is sure to increase at a time when skilled workers are becoming increasingly scarce. As a result, modern places to live and and work must meet these skilled workers’ demands. Cities must offer

quality in terms of leisure, recreation, culture and urban design, as well as a varied housing market providing adequate value for money and the ­corresponding social infrastructure, such as good childcare facilities and schools. From this point of view, sustainable neighbourhood development can be a good way to start improving urban and regional competitiveness. The goal is to reinforce cities’ strengths by rapidly planning and delivering attractive, future-proof neighbourhoods to meet people’s key desires and housing needs. Strategic urban development planning helps identify urban development goals and sensible ways of dealing with the unavoidable competition between different land use needs. Neighbourhood development planning should be integrated into higher-level planning. This includes integrated urban development plans, action plans for specific districts or the city as a whole, and housing market strategies. Progressive local government (building) land management supports a clear development strategy and helps meet the investor market. The new neighbourhood’s intended role within the city as a whole, how it competes with other sites within the city, and the appropriate location and density of development are key considerations which guide neighbourhood planning. Thinking about target groups’ demands and financial possibilities and matching the housing offer to their needs can help identify new neighbourhoods’ appropriate target development density. Given the move towards mixed-use neighbourhoods, commercial users’ needs must also be met. Sustainable, resource-efficient development provides an opportunity to offer innovative economic spaces which help promote local businesses and thus strengthen competitiveness. The urban or regional scale must also be given adequate consideration. Strengths, weaknesses

159

2.5 — Economics

and conflicts with higher-level planning must be recognised and highlighted in good time. Urban policy must also have the appropriate means to resolve these conflicts and priorities. Thus it makes sense to plan and think through options and alternatives in order to help reach a rational decision for the whole city and the wider region.

The place-making effect One other aspect makes sustainable and high-­ quality neighbourhood development more challenging in macroeconomic terms. Many neighbourhood developments seen as poor and unsustainable result from a false understanding of economy in terms of developers pursuing an overly narrow concept of financial return. Real estate projects impact on their immediate surroundings, especially when they exceed individual buildings. This is due to the fact that their spatial character and ambiance can pervade the whole neighbourhood or even an entire city. Examples of this place-making effect include the so-called “Bilbao effect”, named after the Guggenheim Museum in the city of that name. This benefit of sustainable neighbourhood design only appears in calculating the return on investment to the extent that tenants or buyers may be prepared to pay a certain surcharge for the property. Real estate developers do not account for the many advantages of high-quality architecture and sustainable urban development because these are difficult to quantify. Even increases in predicted land value generally only capture a simple view of income generated by the building (e.g. in terms of the discounted cash flow method) whilst excluding increased worth generated by surrounding buildings or by the neighbourhood as a whole.

This results in false, underestimated project yields. When returns generated by the neighbourhood and the city as a whole are not accounted for and investors exclude these benefits from their decision­-making processes, this leads to fewer sustainable projects benefitting the wider surroundings. Funding models which fail to include wider beneficiaries or society as a whole (e.g. the public sector) are always likely to lead to less sustainable neighbourhoods. It would make sense to develop new instruments and methods able to predict yields generated from effects beyond tight project boundaries and clearly spell out these benefits in negotiations between investors and local governments. In macroeconomic terms, it is desirable to offer incentives directing developers and investors – who are driven by economic viability – towards optimum results for the urban economy.  GS

Local government land management Forward-looking local government land management is very important in economic terms, especially in the context of using land sparingly for development and construction, and it is a key ­component in integrated action plans. Indeed, given the limited scope for local government action, it can be seen as an act of self-preservation. Local government land management includes comprehensively listing the extent and use of infill building land and brownfields, as well as developing strategies to buy land and actively promote urban development. Naturally, these approaches are particularly relevant to major rail, military or industrial sites, which present cities with entirely new challenges. Infill sites, underused or badly used land and ­buildings are key areas of urban and social devel-

Local government land management in Baden-­ Württemberg, Germany

As part of implementation strategies for municipal land management, the Baden-Württemberg State Institute for Environmental Protection is pursuing “quantitative land protection” by reducing land consumption and “qualitative land and open space protection” to maintain and restore the functionality of soil and open spaces. This approach targets the following objectives: • developing infill sites and mobilising building land potentials •  improving land utility values • reusing brownfields and dealing with contam­ inated sites •  handling soil carefully •  reducing soil sealing to a minimum •  protecting good soils •  protecting and developing open spaces

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Chapter 2 — Action Areas

opment for local governments actively seeking to develop the inner city rather than the periphery. Similar to portfolio management in the financial sector, land management helps local governments and landowners assess development opportunities and their potential to create value. The fundamental goal is to define spatial and programmatic priorities for an integrated sustainable urban development which safeguards potential returns for both private and local government stakeholders. Activating land plays a key role in urban redevelopment strategies, because improvement and modernisation strategies must also be developed for existing neighbourhoods. The associated funding models bring small-scale private and public capital together for urban development. A portfolio including a database of development potential in land and buildings must include data on plots and land surveys, access, heritage monu­ ments, type and extent of existing buildings, as well as environmental and planning information. On this basis, land cannot be valued in purely financial terms. Urban development objectives, land owners’ and neighbours’ interests must also be taken into account, especially in established neighbourhoods. Brownfields, land and buildings which are under­ used or not used at all are dead capital. Activating land is a key component in generating economic and urban development value for inward development. Cities which can position themselves effectively, make specific offers and respond to the market in a demand-oriented fashion will gain a stronger competitive position. However, urban development plans which are elaborated in great analytic and conceptual detail often hit the buffers in delivery. The ability to act effectively requires a convincing and at least partly economic­ ally justified activation strategy.

Adequate IT support makes it technically simple to establish a local government land management system. Communicating, sharing and consolidating data and clearly evaluating when what type of use is possible in building law is a valuable stra­tegic urban development instrument.  MA

Economic neighbourhood development Neighbourhood-level economic assessments depend mainly on the scale and duration of development and the risks associated with it. A neighbourhood can only be economically viable if development risk can be reduced by making parts of it fully functional within a manageable timeframe. This is essential, especially for entirely private sector development. The capacity to generate appropriate returns remains the measure of all things for private capital. As the key planning authority, it falls to local government to set out the legal planning framework for orderly development. Local governments rarely have the capacity or financial means to handle land development alongside their daily business. For this reason, local governments may team up with, or delegate ­powers to municipal, private or mixed delivery vehicles to ensure that urban development projects are delivered on time, on budget, and to the target quality. Financial goals and requirements, and the extent to which public funds can be used to offset costs which do not deliver an immediate return, essen-

161

2.5 — Economics

Development parameters

Issues

Developer

Who is the project lead?

Land price

Uniting different concepts of value

Risks

Sharing marketing risk and financing risk

Finance

Who is providing funding for which costs, especially with regard to unprofit­ able costs such as contamination, infrastructure and follow-on costs?

Local government influence

Safeguarding implementation of objectives (framework plans, public contracts)

Subsidies

Early collaboration between possible funding agencies

Competing development areas

Sustainable (long-term) political consensus / focus on urban development (e.g. avoiding designating several development areas at the same time, which can lead to prices dropping and development taking very long)

Developing land and buildings

Sharing tasks between project stakeholders (as planning authority, local ­government takes on access and infrastructure surfaces, whereas private ­investors construct and market buildings)

Partnering

Corporate structures which allow ease of entry and exit

Fig. 1

tially determine the organisational structure and partners’ understanding of their respective roles in the overall process. Thus, some key points of departure must be clarified during initial project preparation (Fig. 1). Some financial and technical plans may be geared towards specific development outcomes, such as creating and protecting employment, supporting and providing social and cultural offers, or cre­ating transport links or green networks. These outcomes require more public funding and resources because they cannot be funded from real estate proceeds alone. Sustainable neighbourhood development focusses on brownfield sites or sites already in use as well as on established neighbourhoods in locations which integrate with their surroundings. This makes it particularly important to carry out a site sustainability survey. Reusing existing buildings and infrastructure and improving urban design concepts in terms of land consumption, using space efficiently and preserving resources are key points in sustainable development frameworks. One of the key financial optimisation tasks is to develop concepts for timed, spatial delivery phases which reflect the context and aspects of urban design whilst also achieving market viability. Each project needs a starting baseline in order to identify and measure later changes. Even though it is impossible to provide fully comprehensive, clear time schedules, financial and technical plans from the outset, the basic plan sets out the key urban design points and helps private and local government agencies’ conduct initial risk assessments. Cross-cutting roles such as sustainable management and providing documentation and information are important for generating value throughout all of the project phases, whilst also ensuring project reliability and consistency. As well as these purely economic aspects, projects

must also be evaluated in qualitiative terms (e.g. improving neighbourhoods’ reputation or quality of life). Accompanying local government fiscal research can capture and take account of the longterm secondary and tertiary benefits.

Safeguarding quality of place and value stability Debates and programmes around integrated urban development initiated in the last ten years have increasingly focussed on quality as a way of generating value. Anticipated demographic, social and economic change is leading private investors and local governments to view neighbourhood development as an opportunity to achieve lasting improvements in existing neighbourhoods’ urban design and their social and economic fabric, whilst also initiating sustainable change in new neighbourhoods. As a result, the basic objectives, and the projects and processes which arise from them, provide the basis for generating value in development. Checking feasibility and tying in funding partners depends on working together to develop concepts and plans, and on assessing the potential to generate value. Location quality and value stability are mutually dependent. This means that sustainable neighbourhood development is about uniting the interests of all partners and disciplines (Fig. 2, p. 162). The quality of urban design and architecture, the mix of uses, the social mix, different forms of engaging and collaborating, and an enduring posi­ tive reputation make a calculable contribution to location quality in urban neighbourhoods – as well the so-called classical hard factors with a direct impact on costs. A sustainable analysis will always also consider changes in urban design frameworks,

Fig. 1  Criteria for developing organisation and delivery models

Models for organisation and development

The following models can be applied to neighbourhood development. They differ in terms of ways to share risk and safeguard quality: •  local government development •  100 % local government-owned development company •  investor- or project-led development based on urban development contracts •  collaborative models / Public Private Partnership (PPP) Developing, reviewing and coordinating organi­sa­ tional and development models is one of the key phases in urban project development. Basic feasibility can be examined as soon as the first urban-design and technical plans are available. The associated evaluation of financial viability has a major influence on organising and executing the project. The developer determines the economic perspective. Economic considerations must be aligned with the organisational form. In terms of sustain­ ability, however, cross-cutting methods such as Life-Cycle Costing (LCC) should always be an ­integral part of projects' economic analysis.

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Chapter 2 — Action Areas

Management Managing organisation and coordination

Managing contracts

Managing cost

Managing deadlines

Preparing the site

Conceptual advice

Marketing and sales

Sales support

Surveying the site

Analysing urban design concepts

Market research

Project branding

Managing the site

Managing site supervision

Predicted return Marketing planning

Project positioning

Result: Sites with planning permission and access Planning access and logistics

Predicted return

Investor relations

Sales planning

Sales support measures

Sales preparation

Sales support measures

Result: Land parcels and specific interested parties

Predicted return

Preparing individual projects

Making the site ready-to-build

Creating value

Result: Planning conditions (framework) and overall development control

Result: Ready-to-build development sites

Predicted return

Optimum site exploitation

Fig. 2

Fig. 2  Managing neighbour­ hood development Fig. 3  Overview of possible complex relationships in a cost-benefit analysis

social structures and political conditions which automatically impact on neighbourhoods’ popularity, reputation, quality and thus its value. These parameters differ significantly from purely privately financed and short-term two- to threeyear development, and calcluating them is particularly challenging for landowners, local governments and investors, if involved. Moreover, protecting location quality and value stability requires engaging with and providing advice to local governments, landowners and residents, in order to initiate long-term monitoring and supervision processes (e.g. land management, neighbourhood management, energy management, construction advice etc.). Which conditions offer the key to successfully delivering neighbourhood development? The return on the capital invested is important for private sector projects. This means that the location must be excellent in terms of size, duration and market demand. Alternatively, project burdens such as the land purchase price, the cost of land preparation (e.g. contaminated sites, building land) or follow-on costs (e.g. infrastructure) must be appropriately shared between landowners, local governments and investors. Investors will only take on the development risk they can actually assess. As a result, the parties involved will generally enter into cooperation. In addition to urban design improvements, the public sector can include secondary benefits in evaluating neighbourhood development. Inward effects include creating jobs, generating business turnover, offering an adequate housing supply, and creating social groups and initiatives. Effects

which reach the wider region beyond the city itself include investments generated by the planning and construction process, rising resident numbers, increasing tax revenues and an improved reputation thanks to active communication. Well organised, funded, controlled and monitored urban development can bring developers, stakeholders, residents and businesses together to share a common identity, initiating open and shared processes regarding neighbourhoods, business networks and identity.  MA

Financial viability in neighbourhoods Reliable figures on the financial viability of a neighbourhood can only be obtained once it is completed, i.e. when it is built, sold and leased. All of the project stakeholders measure the predictions of those who are financially responsible for neighbourhood development against the actual return, the sale price or rent achieved. Macro-economic aspects such as an attractive setting can encourage investors, buyers or tenants to make certain allowances in their financial calculation, but the income generated is always the bottom line. For this reason, new neighbourhoods’ financial viability is also calculated backwards. This means that a building plot’s price reflects what the market, i.e. potential investors, buyers or tenants, are

163

2.5 — Economics

Distribution policy

Fairness

Utility

Ethics

Process costs

Utilitarianism

Sensitivity analysis

Zero-base-budgeting

Sunset-legislation

Use value analysis

Budgeting

Cost-benefit-analysis

Welfare economy

Cost-effectivenessanalysis

External effects

New political economy

Employment market theory

Production factors

Cost Allocation

Market failure Monetarism

Fig. 3

prepared to pay for the proposed neighbourhood plot. As a result, the actual cost, i.e. the initial property value and all other costs for planning and building the development, determines only the extent of profit or loss, rather than the sale price. This is why market and location studies as well as SWOT analyses (Strengths, Weaknesses, Opportunities, Threats) are carried out (Fig. 4, p. 164). They provide answers as to which rent and purchase prices can be achieved, which risks can be expected and whether there is any economic interest at all in the market. This in turn provides the basis of all further calculations for developing the neighbourhood in question. These feasibility studies calculate and compare the actual project development costs with the expected income from sale or income. If the result is negative and more costs are generated than can be recovered from sale or rental on the market this usually ends the project. However, feasibility studies can also inform much more differentiated conclusions, e.g. to provide more apartments and less office space, or to make a planned neighbourhood park a bit smaller. Research can also recommend raising quality in order to reach a more affluent target group, or planning for a longer marketing period. In any event, these issues must be taken into account early in the planning process. Just like environmental audits, financial viability assessments must be completed and necessary urban design measures implemented. Various forms of financial viability are also used in project control throughout all further project phases. Specific figures allow for the entire development cost to be controlled in detail, thereby preventing unexpected cost shifts or losses. The life cycle cost method provides a long-term

Business planning

evaluation which has the advantage of reflecting many stakeholders’ interests (e.g. users, local government, investors). Given that urban neighbourhoods’ life cycle can often extend over more than 100 years, a too broad view of the future is associated with major uncertainty. This is why a standard, roughly simplified calculation of life cycle costs for 50 years is commonly used. The life cycle calculation aims to represent built quality in financial terms, including costs for operation and dismantling as well as for construction. This means that economic action is no longer limited to optimising construction cost alone. For example, the production costs for expensive neighbourhood infrastructure measures such as central rainwater management systems or local heating networks can be balanced by savings in operation.

Methods for calculating economic viability Real estate economics distinguishes the following key methods to assess financial viability: Cost-benefit analysis In a simple comparison of a measure’s costs and benefits, benefits equate to income, e.g. from rental or sale. The private sector also refers to this as a simple static profitability calculation. The difference between income and expenditure is profit. More complex models also attempt to reflect indir­ ect revenues or cost savings which are not directly reflected in the purchase price. As a comparative evaluation of objects or alternative courses of

164

Chapter � — Action Areas

Business Education Local authority Demog- Environ- association raphy ment

Threats

Opportunities

1 Zehbold 1996, p. 78f.

Migration

Weaknesses

Strengths

Fig. 4 Fig. 4 Results of a SWOT analysis using the example of a sustainable integrated municipal development strat­ egy (NIKE) for Aalen (DE) Fig. 5 Cash­flow curve of an urban neighbourhood (brownfield sites)

action, cost-benefit analysis is based on principles of welfare economics and used mainly in the public sector (e.g. for infrastructure projects such as underground railways) (Fig. 3). Project Developer Costing (PE) This static calculation over a fixed development period (usually no more than two to three years) reflects all financial factors from the project developer’s point of view. This includes the cost of finance for a certain period, i.e. it does not consider the flow of funds within the project into account, or when revenue from sales or costs for planners and contractors impact. Instead, related construction cost (land acquisition, tax, planning, finance, marketing, etc.), production costs (buildings, infrastructure, etc.), income (mainly from sales and rentals) and sometimes operating costs are calculated for a limited period. The project return is the ratio of income to capital employed. Discounted cash flow method (DCF) DCF is an established method to reflect the viability of long-term development, usually over a period of 10 to 30 years. It shows project cash flow in two development curves, one for cost and one for revenue. The point at which the two curves intersect is the so-called Break-evenPoint (BEP), or the point of Return on Investment (ROI). The development is profitable from this point onwards, i.e. revenue exceeds costs and generates profit. The net present value method takes the long period of development and the resulting loss in value due to inflation into account. This actually results in the cash-flow curve (Fig. 5). As a pure calculation of revenue/expenditure excluding operating costs, this is very far from a life cycle

cost calculation. However, with a certain amount of effort, the DCF calculation’s dynamic long-term view can be extended to comprehensively calculate life cycle cost. In project development, it also takes many more issues into account than the life cycle cost calculations of real estate certificates which are customary in the real estate industry. Life-Cycle Costing (LCC): The LCC costing method considers a product’s development throughout its entire life cycle. Originally developed in the 1930s for products such as agricultural machinery, the method has been used in the construction sector since the 1960s. It considers constructing, operating and dismantling buildings in the long term. Life cycle costing has been used increasingly in sustainable construction since the turn of the millennium because of the great importance of use cost. Energy-saving legislation, the rapid increase in energy cost, and the trend towards certification in the real estate sector has lent this topic greater importance. There is little standardisation of LCC methods for entire neighbourhoods and the method is still not widespread.1 In addition to these four essential valuation methods for urban development projects, the real estate industry is familiar with numerous other methods from the fields of valuation, financing and investment. In some cases these are variations of the four calculation methods described above. Investment distinguishes static and dynamic methods of profitability analysis. Except for project developer costing, these methods can also be used as dynamic methods and can also be expanded to a life cycle cost calculation.

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2.5 — Economics

Cost (cumulative)

Balance (cumulative)

Capital [€]

Income (cumulative)

0 Break-even

0

1

2

3

4

5

6

7

8

9

10

11 Time [a]

Fig. 5

Calculating life cycle in buildings and infrastructure For sustainable neighbourhood development, it is important to recognise that the private sector generally strives for the greatest possible profit rather than the greatest possible efficiency. Depending on the type of market, this generally has far-reaching consequences for the economy as a whole and fundamentally contradicts sustainable development. Work is currently underway to establish new ways of calculating financial viability in real estate, under the sustainable construction banner. In Germany, this has largely been achieved by the debate around the BNB and DGNB systems’ new life-cycle cost tools, as well as the debate around energy costs and the so-called second rent (service cost). The very differentiated facility management (FM) evaluation is currently gaining importance for life cycle cost in the real estate sector, which is dominated by existing properties. This evaluation aims to safeguard budgets and optimise operating costs. The methods and procedures in the product and FM area are generally regulated (e.g. GEFMA 200, DIN EN 60 30033 “Application Guide – Life Cycle Costs”, VDI 2884 “Procurement, Operation and Maintenance of Production Equipment Using Life Cycle Costing”). In planning, however, construction costs are still the decisive determinant. A life cycle cost calculation according to the FM method is often only commissioned after the planning has been completed, although this has an influence on the results.2 Even international certification systems are largely neglecting this issue. Since their foundation, the

German Sustainable Building Assessment System for Federal Buildings (BNB) and the certification system of the German Sustainable Building Council (DGNB) have dedicated all their schemes to life cycle costs, providing auditors with a suitable tool. The DGNB system “New Urban Districts” is presented in the chapter “Certification and Evaluation Systems” (pp. 218ff.). In addition to an LCC calculation for urban districts, it also includes criteria to evaluate the fiscal impact on local government. Various applications of other instruments, such as the municipal follow-on cost calculator or the WISINA project in Baden-Württemberg (Wirt­ schaftlichkeit der Siedlungsentwicklung als Beitrag zur Nachhaltigkeit), show that LCC tools now established in the real estate sector often do not go far enough for urban development. It is important to find the appropriate method for the relevant point of view. Fig. 6 (p. 166) indicates project stakeholders’ often very disparate interests. It must be emphasised that planning-related LCC applications have fundamentally different object­ ives from FM evaluations and municipal follow-on cost calculators. The aim of planning with the LCC method is to improve overall building cost, e.g. through energy-efficient construction. The costs in use are included as statistical parameters rather than actual project values. Likewise, the total income, incidental costs and general conditions of the specific location are largely ignored. Cost calculations according to DIN 276 and other cost classifications for roads and infrastructure measures take local price differences into account,

2  Geissdoerfer 2009

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Chapter 2 — Action Areas

Interests

Functional quality

Shortterm risk

Longterm risk

Developer

¥

‡

Client / Buy-to-rent owners

¥

‡

‡

‡

Clients /Owner-­ occupiers

‡

‡

‡

‡

‡

Investors with long-term interests

‡

‡

‡

‡

Investors with short-term interests

‡

Stakeholder

Value ­stability and value generation

Rental income

Life cycle cost / Full cost

Rent level

Residual service costs

Recharge­ able service costs

¥

‡

¥

External cost

‡ ‡

‡

‡

‡

Tenants

‡

Banks /Financers

¥

‡

‡

‡

¥

Fund managers

¥

‡

‡

‡

‡

Society / Public sector

‡

‡

‡

¥

‡  direct interest  ¥  indirect

Yield

‡

‡

¥ ‡

‡

¥

¥ ‡

interest

Fig. 6 Fig. 6  Interests of selected stakeholder groups in evalu­ ating the economic viability of structural solutions Fig. 7  Differentiating life cycle costs in the narrower and wider sense (based on ISO 15 6865) Fig. 8  Average development costs per housing unit

3  Grassl 2008

but they do not consider parameters such as increased local government tax revenues from new jobs or additional residents. Similarly, the classic public sector follow-on costs, e.g. for additionally required kindergarten places, are only taken into account in local government fiscal considerations and tools for follow-on costs. However, these tools can only capture some of an urban neighbourhoods comprehensive life cycle cost. The various calculation methods very accurately reflect the different interests. From the point of view of sustainable urban and spatial planning, the way that local government follow-on costs is calculated on the basis of administrative districts, states or federal borders often leads to economic distortions. The competitive situation between different neighbouring units often favours uneconomical and unsustainable solutions, e.g. through an oversupply of building land or price dumping. Subsidies can also lead to distortions in the market, but in most cases they are used in a target-oriented and economically sensible way. For urban development projects and larger neighbourhood developments, it is essential to examine the scope for drawing on government funding support.

ject so far. It is important to note that the life cycle cost calculation in urban neighbourhoods does not include a simplified analysis at the building level. This analysis would be far too short-sighted. For example, although access and infrastructure costs are low in relation to total neighbourhood construction costs, the cost range is significantly greater. Whereas neighbourhood construction costs generally do not vary by more than 50 %, the variance in access and infrastructure costs can often be ten times greater. For example, a study conducted by the state of Bavaria in 2008 revealed that average access and infrastructure costs were around 100 % higher in single-family houses (€ 20,000 per unit) than in apartment buildings (€ 10,000 per unit) (Fig. 8). The difference in transport costs is even more pronounced. Whilst residents in a new housing estate on the edge of a village in rural areas spend around € 700,000 on pure travel costs in relation to their lifetime, suburban residents in a big city will spend less than € 200,000 on average. The lowest expenses for travel costs are incurred by the inhabitants of a small town centre with an average of only € 20,000.3

Real estate economics distinguishes between various life-cycle cost calculations: •• Life-cycle costs in the narrower sense (Life-Cycle Cost – LCC) •• Life-cycle costs in the broader sense (Whole Life Cost – WLC)

Recommendations for economically viable neighbourhood development

These can be composed of different building blocks to form individual methods (Fig. 7). To date, a real Whole Life Cost view is hardly known in the real estate industry. Further areas are usually only evaluated in separate studies, but have rarely been comprehensively applied to a pro-

Most areas of sustainable building such as energy, urban-planning or social aspects are key to neighbourhood quality and approval. Economics has only an indirect influence. However, it is the key criterion for delivering an innovative master plan and implementing it in a built urban neighbourhood, and must be taken into account throughout all phases of development. A step-by-step

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2.5 — Economics Life-cycle cost in the wider sense Life-cycle cost– in (Whole Life Cost WLC) the wider sense (Whole Life Cost – WLC)

Externalities

Income

Externalities

Income

Non-construction cost Non-construction cost

Local authority fiscal analysis

Life-Cycle Cost in the narrow sense Life-Cycle (LCC)Cost in the narrow sense (LCC)

Classic real estate analysis Local authority fiscal analysis Classic real estate analysis

Construction Operation cost cost Construction Operation cost cost Classic real estate cycle cost calculation Fig. 7

Maintenance cost Maintenance cost

End of Life Cost End of Life Cost

Classic real estate cycle cost calculation

20,000 per dwelling

10,000 per dwelling

100 %

50 %

Single-family dwelling

Apartment block Multiple-family dwelling

Fig. 8

approach and a methodology adapted to the project and its stakeholders are important. The following points should always be observed: •• The basic decision on the redevelopment, further development or new development of an urban neighbourhood should be reviewed in economic terms. Neighbourhood development must be integrated into the development of the entire city and region in an economically meaningful way. •• Each decision in favour of a given urban neighbourhood project must be based on a SWOT analysis of the market and location, and the results combined in a feasibility study in order to guarantee social and private-sector project incentives. •• From the initial planning idea onwards, the project’s economic viability must be examined step by step. The level of detail of the viability analysis must be adapted to the respective project development stage.

•• Financial viability must always be calculated in terms of a discounted cash flow assessment and should be accompanied by life cycle cost calculations. Ideally, both methods are combined to form a comprehensive life cycle cost calculation. •• Subsidies and alternative cost-benefit analyses should always be examined for urban development projects. They can help to ensure success in projects which are economical and sustainable but, at first glance, not profitable purely in terms of the free market. •• The expert responsible for financial viability must be given a central project role, and should be experienced in dealing with sustainable evaluation methods. Pure cost control and profit maximisation should be avoided. Rather, the focus should be on quality assurance and a broad economic analysis which does justice to all stakeholders rather than focusing on only a main stakeholder.  GCG

C H A P TE R 3

Implementation Strategies

3.1 — Developing Holistic Concepts

3.1

Developing Holistic Concepts He l m ut Bott, Ste p han Anders

T

he preceding chapters dealt with different aspects of sustainable urban planning individually. The challenge for urban planning and design practice is to bring these individual objectives and measures together in an integral overall concept. The following section recaps key statements from each of the different action ­areas.

Integrated planning and participation Planning sustainable neighbourhoods is complex. It is essential to engage with the public and bring its knowledge and experience to bear on the process. It is also necessary to form an integrated planning team including urban designers, landscape designers, transport planners, architects and energy consultants as soon as possible. Further experts in law, finance, ecology, social issues or art may be required, depending on the scale and complexity of the project and the goals it is seeking to achieve. An experienced facilitator should chair coordination meetings and workshops. It is very important to adopt this integrated approach from the earliest possible stage, as this is when key decisions with a significant impact on project sustainability are taken. The further a neighbourhood’s planning has progressed, the greater the cost and effort associated with changes (Fig. 1, p. 170).

Currently, most planning processes still tend to be sequenced and linear. In Germany, the typical process is as follows: first, the location and the market is analysed, then a land-use concept is developed, discussed, and approved by the relevant political bodies. Ideally, the next step is to carry out an urban design competition and – if all goes well – commission the winner of the first prize to produce the full design and pass it on to specialist planners, e.g. for transport, energy, utilities and waste disposal. The problem is that the entire urban design may need to be revised if specialist planners find that it is fundamentally unable to meet the desired objectives. This leads to poor results. Major projects such as the Stuttgart 21 urban development project demonstrate how a poor information policy can hamper project progress and drive up associated cost. It is urgently recommended not only to communicate within the integrated planning team, but to engage the general public in dialogue as early as possible. This provides the opportunity to take all of the available knowledge on board and gain broader public approval. It is also important to take social and psycholo­gical aspects into account: engaging with all of the planners and other involved stakeholders at an early stage increases their ownership of the project. The parties involved are more willing to commit to achieving and delivering project objectives – and this in turn improves the chances for an optimal solution.

Reciprocal effects Sustainable urban planning addresses the many dimensions of designing space for urban life in the context of relevant technical, economic and

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Chapter 3 — Implementation Strategies

Influence

100

Cost and emissions

75

50

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0 Initialisation

Planning

Construction

Use

Decommissioning

Fig. 1

Fig. 1  Possibilities to influence cost and pollution throughout neighbourhoods’ life-cycle Fig. 2  Urban neighbourhood by the water, Borneo-­ Sporenburg, Amsterdam (NL) 2005 Fig. 3  Length of pipes for water supply and waste water per home in developments of different densities Fig. 4  Threshold densities for economic viability in ­district heating ­networks 1 detached, single occu­ pation housing, scattered 2 village 3 detached, single occu­ pation housing, dense 4  terraced housing 5 multiple occupation ­housing 90+ 6  linear blocks 7  perimeter block 8  linear block /slab block 9  slab block

social conditions for integrated sustainable development concepts. Measures which make sense in one dimension can have negative effects in other dimensions, even though these are often dismissed as “side effects” or “externalities”. This means that design features and new tech­ nical developments may be sustainable in one field, such as enabling energy savings, whilst having negative effects in another field. For example, the energy-saving light bulbs introduced some years ago caused toxic waste and produced light which was too cold. In this example, the goals of saving energy and recycling materials compete. Building conservation and building culture also often compete with, or contradict energy-saving measures. Complementary objectives and mea­ sures enhance each other without positive or negative interactions. In terms of sustainability, the aim is to implement measures or systems which have as few negative effects as possible, or which induce further positive developments in other fields. This is about generating synergies.

Reversibility

1  cf. e.g. Anders 2016 2  Zinser / Boch 2007, p. 123

Above all else, any concept must be reversible. Introducing technical systems or intervening in natural habitats must be reversible. It must not, for example, lead to the irreversible extinction of natural habitats and species. This means that no more non-degradable poisons, no more non-recyc­ lable materials and components may be used. For example, nuclear energy produces life-destroying residues which cannot be reversed in human life times. Financial debt can be paid off. Generating wind energy has an unattractive impact on

the landscape, but – depending on the materials used in wind turbines – this can be removed and replaced by possible new forms of energy gener­ ation in future. Using pure materials allows these to be reused. For example, this can be achieved by layering different materials in walls or constructing external walls in a single layer. Composite thermal insulation systems make subsequent recycling difficult or impossible.

No optimising of subsystems It is difficult to deliver entirely synergetic concepts and strategies. As systems, especially living systems, grow more complex, this makes it impos­sible to get equally optimum results for all subsystems. It is most likely that the overall system optimum is achieved whilst not all sub-systems reach their optimum. The “car-friendly city” paradigm is a frequently cited example. Optimum traffic systems for private motor transport hamper other forms of movement and ruin space for urban life. Similarly, the aforementioned drive for maximum energy savings in renovating old buildings can destroy architectural character, whilst biodiesel production leads to agricultural monoculture. The key is to consider all dimensions, weigh them up and conduct careful, transdisciplinary research into counterproductive, negative effects in order to reduce the overall scale of intervention. Often, technical solutions dominate, because they are supposed to contribute to “essential” economic growth. In many cases, the best outcome for sustainability would be a change in lifestyle and consumption. But social, psychological and political factors make it difficult to achieve this in the face of strong economic interests (cf. Lifestyles and Behaviours, pp. 73ff.).1

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Fig. 2

Density is the prerequisite for using resources economically. Density can relate to dense buildings or uses.

Physical density too, is key to running a neighbourhood efficiently (Fig. 2). Density is essential for supplying neighbourhoods with local or district heating (Figs. 3 and 4) and access to public trans-

70 60

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100

20

Density – benefits

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10

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compact village

urban periphery

rural

dynamic scattered settlement

traditional scattered settlement

Fig. 3

Energy consumption [MW/km2]

Urban spaces and buildings can be used much more densely, even if physical density remains the same. If it is not “overdesigned” by fixed installations, an urban square can be a market on two mornings and a playground and outdoor eating area on other days, offering space for other outdoor activities. A workstation can serve several people (shift use or hot-desking). Streets which are closed temporarily, e.g. at midday, can be used for pedestrian recreation and street restaurants, as has been practiced in Japan for many decades. More recent shared space concepts focus on the principle of using street space for a wide variety of users and functions at the same time. Where buildings and management regimes allow for it, school and university spaces can be used for various events during holidays, weekends and evening hours. This means that businesses and associations do not have to build their own event spaces, and can reduce emissions and protect the environment. The hot-desking example demonstrates that up to 20 percent of space and thus also heating, ventilation and equipment cost can be saved, without any additional investment.2

Pipe length per dwelling

Dwellings per hectare

250

Dwellings per hectare

Pipe length per dwelling [m]

Interlocking effects

After: Siedentop et al, 2006 After: Roth et al, 1980 Minimum density for economically viable neighbourhood heating supply Limit to economically viable supply after: Siedentop et al, 2006

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Emissions Reduced noise, dust and CO2

Mobility Improved access to facilities leads to a higher proportion of pedestrians and cyclists in everyday life

Public space Varied amenities and lively public spaces create quality of stay

Public transport Improved public transport provision

Connection density Improved conditions for local heating networks, e.g. via CHP plants

Density

Public transport Economic viability through symmetrical traffic loads

Space requirements Shared use of parking spaces by residents, customers and employees

Mixed use Inconvenience Businesses, deliveries and customers disturb local residents

Utilities More dense provision thanks also to number of employees within the neighbourhood Water management Reduced retention areas lead to greater rainwater run-off

Urban climate Reinforcing the urban heat island effect

Energy More building shading

Inconvenience Dwellings and other uses impair privacy

Fig. 5

Fig. 5  Positive (blue arrows) and negative (black arrows) interactions between density and mixed use, and other factors Fig. 6  Drop-off point for underground waste system. Planted, slightly lowered swale in foreground, Stockholm Hjorthagen (SE) Fig. 7  Baugruppe Loretto, Inner courtyard, Tübingen (DE) 2006. Landscape design: frei raum concept Fig. 8  Converted former ­barracks, Vauban, Freiburg im Breisgau (DE)

port, as a public transport stop requires a certain minimum passenger demand potential. Physical density also improves access to and utilisation of existing social infrastructure such as schools and kindergartens, and allows for more private sector amenities which need a minimum demand and footfall. Urban density makes it more likely that more trips are made by bike or on foot, thus reducing traffic fumes and vehicle stress on urban space. This in turn improves the experience of spending time in urban space, allowing for more contacts and richer experiences. These benefits go along with the planning objective of mixed use (housing, working, facilities). This makes it easier and more attractive to move through and spend time in urban open space, e.g. by providing more room to play or dine outdoors, which in turn generates further urban benefits.

buildings and makes rainwater drain away more quickly due to increased sealing. Less ventilation and less free space reinforce the urban heat island effect. These disadvantages must be taken into account, but they can be largely compensated for by suitable measures. For example, roof and facade greening slow the run-off of rainwater and help retain rainwater. They also mitigate the heat island effect, increase evaporation and create additional habitats for plants and animals. Introducing retention swales to high-density areas requires a greater effort, but soakaways can even be installed beneath sealed surfaces (Fig. 6). Design features, such as the way a building is structured, or the provision of loggias or roof terraces instead of balconies, can offset some of the disadvantages of high physical density arising from the proximity of neighbouring buildings. However, these features can undermine the goal of making buildings more compact.

Density – challenges However, higher density and mixed use are also associated with negative effects. For example, outdoor dining can conflict with housing (sleep). Generally, noise is more likely to impair or disturb privacy, especially in private open space (gardens, terraces, balconies). Density causes greater mutual shading between Fig. 6

Mixed use One of the basic principles of the European city was the close spatial relationship between living and working, but also between different social strata. Today, cities worldwide are extremely seg-

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3.1 — Developing Holistic Concepts

regated, which causes well-known traffic problems. For decades, planners and social scientists have criticised this functional separation, a dogma of modernist urban planning, calling for an appropriately dense mix of uses as the prerequisite for sustainable urban development. Many urban renewal projects have already implemented these goals, creating mixed neighbourhoods on industrial and commercial sites which were previously used for just one purpose, such as commerce and industry, former factories, freight stations or docks.

Conflicting uses Mixed neighbourhoods can give rise to a number of conflicts (e.g. housing – delivery traffic to shops; housing – outdoor eating; housing – pollution from workshops) which are to be taken seriously. ­Intelligent concepts must be developed to take different user needs into account and reduce the potential for conflict to a minimum. Neighbourhoods such as Loretto in Tübingen (Fig. 7) and Vauban in Freiburg (Fig. 8) demonstrate that this can be done.

Benefits

Open spaces

Lively, mixed-use street spaces make neighbourhoods more attractive and make residents and visitors feel safer. Mixed urban structures are essential for a city of short routes. It is easy to make short trips between home, work and leisure on foot, by bicycle or by public transport. Redu­cing private motor traffic and related noise and dust makes the public realm more attractive and allows more space for pedestrians and cyclists. Homes and workplaces will certainly be remote from each other in future too. However, a mixed-use city generates commuter patterns with mirrored origins and destinations, where parking lots can be used more efficiently. On the other hand, pure housing or work neighbourhoods make poor use of resources: one-way traffic clogs up public transport in the morning and in the evening, and twice as many parking lots are needed to accommodate cars both at home and at work. Finally, mixed use can be more easily adapted to changing parameters (see Sustainability and Resilience, p. 13f.) and are thus more stable and attractive for owners, residents and investors in the long term. Only socially diverse neighbourhoods allow people from different social classes, life situations and professions to meet, and engage in social learning. Living side by side certainly also generates conflicts, but it also provides the basis for an intact society where people lead ­socially responsible lives, rather than living in isolated ghettos of ­poverty or rich gated communities.

The quality and pedestrian accessibility of open space is very important for attractive neighbourhoods. Open space is a place for communicating, relaxing and cultural life and it makes a key contribution to residents’ well-being and identification with the neighbourhood. Central Park in New York, St. Peter’s Square in Rome, or the beach promenade in Rio de Janeiro (Fig. 9, p. 174) clearly define these cities’ character to a much greater extent than individual buildings. Open space includes generous areas of green and water, as well as paths, squares and street spaces (e.g. Avenue des Champs-Élysées in Paris) as well as private gardens, balconies, (roof ) terraces and courtyards. Open space and neighbourhood dens­ ity are mutually related. The higher the density, the more usable open space is required, even if this principle conflicts with profitability. Using space flexibly throughout the day or the seasons can massively reduce the space needed, and reduce cost for constructing and maintaining open space. For example, it is possible to use 70 percent of street space for private motor traffic during hours of peak traffic, but use 70 percent for pedestrians, cyclists and cafés at off-peak times (e.g. midday, nights, weekends or holidays). The partial closure of Broadway in New York and shared space projects in the Netherlands demonstrate that these concepts are both realistic and feasible. The task of sustainable neighbourhood development is to strike a balance between densification (efficient

Fig. 7

Fig. 8

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Chapter 3 — Implementation Strategies

infrastructure, the city of short routes etc.) and open space (well-being, health etc.) that suits the location and project objectives.

Green spaces

Fig. 9

Fig. 10

Green spaces have many positive effects on the various dimensions of the city as a living space. As places to meet and move, to play and relax, observe and gain social skills through spontaneous contact, they provide social functions which are particularly important for residents without access to private open space. Up to a certain size, green spaces promote communication and integration. Green spaces fulfil important ecological functions, supporting biodiversity as plant and animal habi­ tats. They influence the urban climate, lowering temperatures, raising humidity, and filtering and binding dust, all of which reduces the urban heat island effect. Green spaces also reduce transport and traffic pollution, as more urban residents make use of leisure facilities instead of “escaping to the countryside”. Urban green spaces fulfil even more functions, which overlap with other issues. In terms of water management, unsealed, planted areas, swales (retention) and appropriately landscaped areas (groundwater recharge, flood prevention) help retain, clean, infiltrate and slow down rainwater run-off. Water management retention systems integrated into green space also provide further opportunities for biodiversity, as well as expanding areas for movement and play. Finally, they help improve dry, hot and dusty urban climates. Green spaces can also contribute to biomass production. Whilst generous green areas reduce development density, they are also indispensable, especially for high-density neighbourhoods. Very large green spaces can disrupt the spatial continuity of the urban fabric, thereby forming a natural boundary between different urban neighbourhoods.

Inward rather than outward development Land is a key resource which cannot be reproduced, especially in densely populated countries like Germany. The primary goal of sustainable neighbourhood development must thus be to use the space which is still available sparingly. This can be achieved by using brownfield or under-­ developed land, such as former military sites, railway or commercial land, or by dense development patterns. Developing inner-city brownfields such as Vauban, Freiburg or Loretto, Tübingen (Figs. 7 and 8, p. 173) has several advantages over greenfield development, even if initial costs for decontamination and more planning work can be higher than ex­­ pected. This is because updating and reactivating existing roads, buildings and technical infrastructure significantly cuts construction cost. At the same time, increasing density within existing neighbourhoods allows existing energy, utility and waste disposal infrastructure, schools and kindergartens to be used more efficiently. In add­ ition to these technical aspects, brownfield development can also provide additional facilities for surrounding neighbourhoods, and balance or prevent undesirable social trends in existing urban areas.

Using existing buildings By far the largest part of European cities has already been built. The annual rate of new construction in Germany, for example, fluctuates between 1 and 2 percent of existing building stock. The ongoing transformation of highly developed countries from industrial to knowledge economies is releasing major inner-city commercial and ­industrial areas with enormous urban development potential. This must be used for the sustainable transformation of our cities. That is

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3.1 — Developing Holistic Concepts

producing primary products

Mining raw materials

manufacturing / construction

recycling / re-use

disposal

disassembly

use

Fig. 11

why it is necessary to look at existing building stock more closely. This includes existing buildings and streets, but also materials, plants or animals which define local identity, even abstract elements such as (intermediate) uses or names (Fig. 10). Examples such as Hamburg’s HafenCity or Amsterdam’s GWL-Terrein (pp. 250ff.) highlight how the existing built environment can be central to giving residents and visitors a sense of local identity. The massive, monotone, “problem” housing estates of the 1970s demonstrate how important elements of character and identity are for neighbourhood development. Where unrestored buildings are available at lower cost, this offers opportunities to develop social and cultural life, for example, by providing neighbourhood space for musicians, artists or clubs. These groups and institutions are important for urban diversity, but are often unable to afford high accommodation cost. Making good use of existing stock is therefore central to planning sustainable urban neighbourhoods.

Life-cycle analysis DIN EN ISO 14 040 describes product systems’ entire life cycle: extracting or producing raw mater­ ials, processing them, using them for the intended purpose, and finally recycling or disposing of them. For buildings, this involves systematically recording and evaluating all of the emissions and costs arising throughout the life cycle of the building as a whole (e.g. energy demand in use) and doing the same for the life cycles of individual components such as doors, windows and walls (Fig. 11). Whilst this level of analysis is complex for buildings, it becomes even more complicated when applied to neighbourhoods. These include not only buildings, but also a variety of physical components, such as streets, paths, squares, technical

infrastructure, green and open spaces for people and animals. Each of these components has a certain service life and causes different costs and emissions during construction, use, repair and dismantling. All of the individual components’ life cycles thus jointly form a project- or object-specific constellation of continuous, ongoing processes.3 The goal is to provide buildings and neighbourhoods with high-quality technical structures which are designed to be durable and easy to maintain. For example, a building might be built almost entirely from renewable resources and generate more energy than it needs, performing well in terms of life-cycle analysis and overall life-cycle cost. And yet it might be demolished after only a few years because of structural defects, very high maintenance cost, or because it no longer meets new owners’ needs once the initial commissioning owners move on. Long-term analysis of various neighbourhoods and building types reveals that some typologies are able to meet changing needs and provide flexible space for different uses even over many decades, allowing a very sparing use of resources. In Germany, good examples include neighbourhoods of 19th-century apartment blocks. These were built by wealthy merchants, craftsmen or senior officials. The apartments had generous layouts, ample room sizes, and high ceilings to provide space for households and their servants. Unlike very functionally planned modern residential buildings, these apartments are easy to convert to flat-shares, small workshops or offices. The comparison shows that matching current needs too closely can often undermine buildings’ usefulness in the long-term. This means that life-cycle-oriented planning must also be forward-looking and flexible. Thus, it is highly recommended to assess all of the effects associated with a neighbourhood and its use at an early stage, in order to develop sustainable concepts based on this analysis.  BW, SA

Fig. 9  Beach promenade, Copacabana, Rio de Janeiro (BR) 1970, Roberto Burle Marx Fig. 10  Works swimming pool, former Zollverein coke plant, Essen (DE) 2001, Dirk Paschke, Daniel Milohnic Fig. 11  Life cycle of ­buildings

3  König et al. 2009, p. 20

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Energy supply

4  Hornuf / Klöhn 2012

The development of the German energy industry has been shaped by large corporations. This has meant that decision-making about technological development was concentrated in just a few places, and that it was primarily oriented towards large-scale technology. This dominant market force also became a political force, as became clear in the debate around nuclear power plants when energy suppliers took out full-page adverts to campaign against phasing out nuclear power. The need to transport wind-generated energy from areas near Germany’s North Sea coast to inland industrial regions highlighted the problems of large-scale technology. Subject to ongoing debate, the structural need for massive capital investment ultimately required major corporations to take the lead. The German government’s attempts to get citizens to fund the transport of electricity from wind generation have proved unsuccessful. On the other hand, local energy supply concepts can offer a variety of benefits, as has been demonstrated by the many energy cooperatives established to construct wind turbines or solar plants, and individual private investment in energy-saving technology such as combined heat and power plants.

Cogeneration units Combined heat and power (CHP) plants burn biogas, natural gas or oil to generate electricity and feed resulting surplus heat into heating networks. The technical advantage is that heating and hot water supply pipes are very short, and this reduces heat loss along the line. The ecological benefit is that combined heat and power plants can save more than 60 percent of primary energy, ideally even achieving zero-emission standards by using biogas generated from domestic organic waste. In addition, the possibility of citizens tak-

ing ownership of technical infrastructure provides a degree of economic independence. CHP units can be built in various sizes, e.g. for residential complexes, groups of houses or at neighbourhood level. Crowdfunding can provide necessary funding by collecting even very small sums to assemble different amounts of capital, a strategy which is frequently used to finance business start-ups.4 In extreme cases, “neighbourhood utility companies” can be set up to join forces with other neighbourhoods to run parts of the infrastructure, recycle materials, or engage in social neighbourhood management.

Civic utility companies Smaller towns and municipalities in particular can generate benefits similar to those created by CHP plants by establishing, securing and expanding municipal utilities: it makes them more independent of market fluctuations and large corporations’ business decisions, creates safe and qualified jobs and helps develop local technical knowledge and experience. This means that value is generated, and capital formed within the town or municipality itself. It also makes it possible to use regionally available energy sources which might not be suitable for large technical business organisations, such as combinations of renewable energy sources including sun, wind, water, and waste water, biomass from urban woodlands, agricultural residues or domestic organic waste. Local utility companies also fulfil the policy principle that any decentralisation of power – including economic power – safeguards and expands democratic structures. It some cases, smaller units may fail to achieve the economies of scale offered by large plants. But sustainable development is not just about economic aspects such as saving cost, maximising profits and efficiencies – it is also about social and political aspects, such as where decisions are made, and value is generated.

3.1 — Developing Holistic Concepts

Good examples of this approach include the very successful Waldkirch Utility Company or the Elek­ trizitätswerke Schönau (EWS), both located in the Black Forest. Like many other smaller regional utilities and energy cooperatives, these projects demonstrate that businesses of this kind can combine many benefits, including efficiency, sustainability, making economic power democratic, and economically stabilising rural regions.

Decentralised supply and disposal – resilience Historically, the structure of utilities in neighbourhoods, cities and regions has been concentrated in large, central technical facilities , such as a massive waste incineration plant providing combined heat and power, few large electricity works, central composting plants, large sewage treatment plants. For decades, sustainable planning objectives have driven pleas for greater decentralisation, promoting an approach similar to the subsidiarity prin­ ciple, i.e. that as many responsibilities as possible should be transferred to smaller social units – to individuals, families, house communities, or neighbourhoods. Although this creates problems and conflicts, especially in disadvantaged neighbourhoods, it also enables social learning and at least a partial understanding of the processes which form the material basis for our social environment. In Germany, this principle has partially already been put into practice in recent years. For example, individuals or households (rather than central plants) separate waste, and developers are obliged to retain rainwater on-site. It has become clear that these examples are associated with certain problems, such as social behaviour or the space

required to accommodate a plethora of waste containers. The objectives of decentralisation can only be achieved with better technical systems and social learning (cf. Hammarby Sjöstad, pp. 244ff.). And yet decentralised and semi-central systems offer so many other advantages to make them unavoidable. For some time, the case for resilient planning has been added to the aforementioned benefits, such as shorter pipes for using waste heat from cogeneration plants, or avoiding overloaded sewer systems and sewage treatment plants through decentralised retention. Decentralised supply systems are more resilient, as they cannot all be brought to a standstill easily in the event of a catastrophe or terrorist attack.

Conditions for social and economic sustainability Free access to a good public education system funded by general taxation achieves the social and economic optimum. It is the only way to ensure that as many talents as possible are discovered and that all talented young people receive good training and support for their talents. Pupils, students and trainees are the next generation of more or less qualified skilled workers, engineers, scientists, artists and managers. They have to be well-trained and educated in the spirit of social responsibility, if society as a whole is to develop positively and offer each individual the best conditions for their path through life. This is also an essential safeguard for democratic development in a society where each individual has the right to vote and stand for election.

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and psychosomatic problems which also impact on higher-earning classes’ quality of life.5 One reason for this is that they feel threatened and withdraw into gated communities.

Evaluation and monitoring Fig. 12 Fig. 12  “wagnisART” housing in Munich (DE) 2016, Arge bogevischs buero and Shag Schindler Hable Architekten

5 cf. Picket / Wilkinson 2011

Further information

•  Anders, Stephan: Stadt als System. Methode zur ganzheitlichen Analyse von Planungskonzepten. Lemgo 2016 •  Vester, Frederic: The Art of interconnected Thinking. Ideas and Tools for Tackling Complexity. Munich 2007

Societies can only develop in socially and economically sustainable ways if the vast majority of their members feel recognised and integrated, their work is adequately paid, and their contribution within the social community – from the family to the state – is respected. Adequate pay must always be related to the level of economic development and can never be aimed at egalitarian redistribution. Major social tensions, conflict, violence and crime arise in societies, in which some people are unable to find work or to live in (relative) dignity from work, whereas others – despite or because of widespread poverty – are extremely rich thanks to concentrations of wealth, assets and the availability of real estate. Social problems and the high cost of policing, just­ ice and prisons systems grow as soon as earnings between the richest and poorest income groups begin to drift far apart. It is apparent that the subjective sense of injustice, disrespect, danger and fear in these tense societies causes psychological

Sustainable neighbourhood planning is a flexible notion. For this reason, project objectives should be discussed with all relevant stakeholders as early as possible and captured in (measurable) criteria. Regularly monitoring these goals and criteria during the planning phase can identify and remedy failures at an early stage. This kind of criteria set also helps point out and discuss conflicts of interest transparently, with all stakeholders involved. The German Sustainable Building Council (Deut­ sche Gesellschaft für nachhaltiges Bauen, DGNB) has developed an exemplary certification system for city districts. This is based on a total of 30 criteria for evaluating neighbourhoods, which cover the fields of ecology, economy, social culture and function, technology and process (see Certification and Evaluation Systems, pp. 218ff.). Despite sustainable planning approaches, neighbourhoods often develop differently after completion. The reasons for this are manifold and range from simple planning errors and changing general conditions to residents’ and visitors’ attitudes and behaviour. It is therefore advisable to establish a neighbourhood management system which regu­ larly checks compliance with the set objectives and, where there is justified doubt, works with resi­ dents, local government and planners to develop and rigorously implement remedies.  SA

3.2 — Stakeholders, Visions and Tools

3. 2

Stakeholders, Visions and Tools Ste p han Anders, Helmut Bott, Dominic C hurch, Gre gor C. Grass l, Rol f Mess ers chmidt, Andreas v on Z adow

S

ustainable neighbourhood development requires strategies to influence the interaction of all stakeholders in the public interest. Various tools can be used to implement these strategies in order to meet set sustainability targets, from planning to implementation and use. In doing so, local government stakeholders in administration and politics face numerous challenges. Examples such as Heidelberg and Ludwigsburg illustrate how these can be met to apply sustainable development strategies in practice (cf. Local Government Implementation Strategies, pp. 188ff.).

Neighbourhood development stakeholders Based on the laws of the federal and state governments, urban development in Germany is local-government-led. Whilst cities and municipalities are state-constituted local authorities, urban stakeholders include various private and public bodies and institutions, individuals and interest groups, companies and organisations, each with different outlook and weight (Fig. 1, p. 180). The physical form of the city, its buildings, technical infrastructures and open spaces arise from a complex interplay of private and public actions, reactions and interventions. Democratically legitimate urban institutions are tasked with directing urban development towards the complex objectives of sustainability.

The tasks of urban development correspond to game theory principles: they are dominated by interdependent decision-making situations in which each player’s behaviour influences the other. New urban development always takes place in the context of tendencies and tensions in wider society. More than just an economic, technical or administrative process, it is about continuously evaluating diverse interests and concerns. According to Article 1 of the German building code (BauGB) these must be identified, weighed up, and brought into a fair balance. Stakeholders’ interests and concerns can be divided into three rough categories: •• Government stakeholders: On the one hand, these include political decision makers who – in democracies – are authorised to exercise the delegated power of the people through the electoral process. On the other hand, government stakeholders also include administrators whose job is to effectively implement strat­ egies and measures specified by the political decision makers. •• Stakeholders in civic society: These include individuals, such as citizens or residents, as well as interest groups, such as citizens’ initia­ tives, associations or religious communities. •• Private sector stakeholders: These include businesses from a wide range of industries and scales which invest in local resources, or are involved in the use of local resources by operating their business model. In a market-­ oriented society, individuals or interest groups can also be viewed as private sector stakeholders, for example as landowners. Neighbourhood development is a comparatively lengthy process which involves the use of considerable resources (materials, financial resources, human labour, etc.) and affects the quality of life

179

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Chapter 3 — Implementation Strategies

Top-down

Top-down

Local authority

Private sector

Local authority

Private sector

Organisations Individuals

Agenda 21 Residents / Citizens

Residents / Citizens State

1  Agenda 21 1992, p. 285

State

Bottom-up

Abb. 2

Fig. 1  Neighbourhood development stakeholders Fig. 2  Neighbourhood devel­ opment stakeholders and ­Agenda 21

Private

Private

Bottom-up

Fig. 1

Fig. 2

of many people in the very long term. For this reason, it must backed up by a sustainable consensus among the involved stakeholders. In demo­ cratic societies, government must try to influence the interaction between stakeholders’ often conflicting interests and behaviours and work towards an optimal overall result. This requires the formulation of strategic goals and guidelines and the expert use of tools to motivate the stakeholders in question to make decisions which generate wider benefits.

Agenda 21 and the lean state

Neighbourhood development always involves changing the status quo. Thus it makes sense in terms of social justice to strive for the Pareto optimum. This is a theoretical situation first described by the Italian engineer, economist, sociologist and founder of welfare economics, Vilfredo Pareto (1848 – 1923), where it is no longer possible to improve the situation of one player without making that of another worse. In fact, this goal may never be achieved, but it works as a guiding principle to achieve the best possible result for as many people as possible. The goal can only be achieved if the parties involved are willing to reach a good compromise and step back from pushing for their individual advantage against all other interests. Urban development processes generally take considerably longer than elected representatives’ terms of office. Even individual projects can often only be implemented throughout several terms of office. Projects or strategies intended to meet long-term sustainable development goals must not be too strongly tied to individual persons or parties, because they thus run the risk of failing in the event of personnel or political changes. This risk can be reduced if the administration can engage relevant stakeholders in drawing up and identifying with long-term strategies and object­ ives to lend guidelines for urban development political and operational continuity.

In Germany, public engagement in urban development planning has been embedded in federal building law (BBauG) since 1960 and in the building code (BauGB) since 1987. Article 3 requires citizens to be informed at an early stage, possible consultation responses to be discussed in public, and planning officers’ considerations to be provided as a basis for political decision-making. Since 1992, local governments have been given a far-reaching mandate, aimed at safeguarding sustainable development in operational and demo­ cratic terms: “Because so many of the problems and solutions being addressed by Agenda 21 have their roots in local activities, the participation and cooperation of local authorities will be a determining factor in fulfilling its objectives. Local authorities construct, operate and maintain economic, social and environmental infrastructure, oversee planning processes, establish local envir­ onmental policies and regulations, and assist in implementing national and subnational environmental policies. As the level of governance closest to the people, they play a vital role in educating, mobilising and responding to the public to promote sustainable development.”1 The Agenda 21 mission is to reverse the flow of administrative processes (Figs. 1 and 2): instead of simply being informed about planning, citizens should also be able to provide input. Local governments then make a decision in the interest of the common good (topdown). At the same time, politicians and administrators are tasked with empowering citizens themselves to formulate visions, set objectives and take part in decisions (bottom-up). As from the 1990s, administrations’ previously implied authority to apply professional judgment

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3.2 — Stakeholders, Visions and Tools

and act for the public benefit was increasingly drawn into question, especially in Anglo-American countries.2 This tendency went along with the neo-liberal model of the lean state and led to closer cooperation with individuals, civil society and private economic stakeholders, for example by relying on private investment in public private partnerships (PPP, see pp. 197ff.). In principle, any one of the involved stakeholders can influence neighbourhood development and play a more or less leading role in doing so. This leads to a growing need for more varied formal and informal urban planning tools. From formal to informal planning, a variety of hybrid forms of cooperation between governments and other stakeholders are emerging (Fig. 3, p. 182).3

Visions “Urban development visions and concepts always include ideas about society and its desired condition”.4 Agenda 21 and the move towards more liberal economic models call for government’s role and its interaction with other stakeholders to be redefined. The relationship should be more partnering, less patronising in character. This requires the challenges of sustainable development to be discussed in all their complexity and incorporated into visions for neighbourhood development.

Global visions for neighbourhood development The European Union followed up on the Rio Conference by adopting successive declarations and visions for urban development policy, drafting increasingly precise objectives for sustainable

neighbourhood development. For example, the Rotterdam Urban Acquis, adopted at an informal ministerial meeting under the Dutch Presidency in 2004, identifies the following principles as key to successful urban development:5 •• “Policy should focus upon economic competi­ tiveness, social cohesion and environmental sustainability to achieve balanced development. Policies have frequently focused upon one or the other goal. The experience is that this does not work. •• Policies should recognise that liveability as well as economic success is crucial to peoples’ choice of places in which they want to live. •• Cities and neighbourhoods must become places of choice and connection rather than compulsion and exclusion. •• Cities are important as sources of identity, cultural and connection between communities and cultures. Cites are more than economic market places. They can encourage social integration, community engagement, and cultural recognition.” The described visions for sustainable neighbourhood development emphasise soft location factors (e.g. quality of life, identity) and the goal of promoting stakeholder engagement and their joint collaboration in urban development. In 2006, for example, the renewed EU strategy for sustainable development stated the desire to promote “coherence between local, regional, national and global actions” and “policy integration” to “promote integration of economic, social and environmental considerations so that they are coherent and mutually reinforce each other.”6 In 2007, the “Leipzig Charter” called for “implementation-oriented planning tools” to “coordinate the different neighbourhood, sectoral and tech­nical plans and policies, and ensure that the planned investments will help to promote a

Rio Conference

Following the UN Conference on Environment and Development (UNCED) in Rio de Janeiro in 1992, the member states of the European Union agreed a series of declarations of principles which more or less precisely spelled out the objectives and guidelines for sustainable urban development. These declarations include the Lisbon Strategy (2000), the Lille Agenda (2000), the Copenhagen Charter (2002), the Bristol Accord (2005), the ­Rotterdam Urban Acquis (2005), the Leipzig Charter (2007) and the Toledo Declaration (2010).

2  Healey 1997 3 Kühn et al. 2002, pp. 126 –152 4  Reutlinger 2006 5 Dutch Ministry of the ­Interior and Kingdom Relations 2004 6 Council of the European Union 2005

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Chapter 3 — Implementation Strategies

State

Private An aly sis

g rin ito on

Im ple m

M

Top-down

ion tat en Investor

Monitoring

Local authority Analysis me

n

rm

ti o

Fo

n ta

Obje ctiv es

I m ple

Citizens

ul a

tio

n

of

go

als

O b je

c ti v

es

F o r m u la ti o n o f g o al s

Bottom-up Fig. 3

Fig. 3  Strategy for implementing project goals in five steps. The outer cycle represents the wider management cycle in the city as a whole, whereas the inner cycle represents the management cycle for a specific project. Local government engages with citizens to formulate objectives, and subsequently monitors and analyses implementation by investors, communicating performance back to citizens.

well-balanced development of the urban area”, which should be “coordinated at local and city-­ regional level and involve citizens and other partners who can contribute substantially to shaping the future economic, social, cultural and environmental quality of each area.”7 For government stakeholders, especially local government planners, these global trends and guidelines present a growing challenge: How can they present the complex and diverse topic of sustainable development to relevant local stakeholders in a way which gets them more engaged, and secure ongoing democratic legitimacy and backing, when the societal consensus on the role of the state is shifting massively?

Adapting global visions to the location 7 Bundesministerium für Verkehr, Bau und Stadt­ entwicklung 2007, p. 3 8  Selle 2010

The greater involvement of civil society and private sector actors called for by Agenda 21 and the European urban planning policy guidelines make local stakeholders’ characteristics and interests interact closely. This means that general prin­ ciples have to be spelled out in ways which are very specific to the location: as well as responding to the setting (topography, morphology of the building structure, etc.) in terms of design, promising strategies for neighbourhood development must also address stakeholders’ social, economic and cultural characteristics.

Amongst government stakeholders, this depends on decision makers’ political views and priorities and the administration’s understanding of its own role: does it see itself in a purely authoritative role or does it consider itself as a public service provider, and does it prefer an informative, participative or cooperative culture of communication?8 In order to engage with stakeholders in civil society, it is important to understand local residents’ demographic profile, their economic situation, their level of education. Populations with a high level of education and secure financial circumstances can be easier to inform and mobil­ ise in the way envisaged by Agenda 21. Social cohesion amongst residents and the extent of their involvement in communities of interest and faith, associations, initiatives or other socio-­ cultural networks can also be decisive in formulating appropriate neighbourhood development strategies. Amongst private sector stakeholders, the local business community’s structure and performance play a key role for their willingness to commit resources to neighbourhood development. For example, a fine-grain community characterised by many medium-sized companies with strong local ties may be more willing to get actively involved than an economy dominated by global players for whom the location is interchangeable. Other parameters are also relevant for a promising neighbourhood development strategy. For

183

3.2 — Stakeholders, Visions and Tools

example, the historically established relationship between stakeholders plays an important role. Where this is characterised by harmony and continuity, a consensus might be expected to be reached more easily, making it much easier to formulate and implement planning goals. By contrast, conflicted or very unstable relationships between stakeholders might present a considerable challenge. German cities such as Freiburg, Heidelberg, Ludwigsburg and Tübingen have come up with interesting solutions to these challenges. These cities’ approaches to neighbourhood development highlight different ways to implement similar prin­ ciples.  DC

Quality assurance tools Often several decades pass before the initial project idea reaches completion and enters into use. Project objectives are continually revised and adapted to changing conditions during this time. Objectives formulated at the outset must not be lost out of sight. This is not easy, especially when objectives are first linked to specific measures and costs. Many local governments hesitate to make use of legal possibilities for additional quality assurance because they do not want to impose additional burdens on potential new residents and businesses. And yet it is hard to deliver sustainable neighbourhood developments without determined local government decision makers and residents demanding these qualities. The examples in Tübingen (Loretto and Südstadt) and Vauban in Freiburg demonstrate what can be achieved.

Fig. 5 (pp. 186/187) identifies a variety of approaches to quality assurance, from instruments of building law (e.g. development plans, urban development contracts) to agreements in civil law (e.g. sale contracts, contracts with operating compan­ ies) to voluntary acts (e.g. financial support for land purchases). A distinction is made between mandatory state building law and development plan (Bebauungs­ plan) on one hand, and urban development contracts and civil legal requirements, such as sale contracts, on the other. It is recommended that guidelines and recommendations are defined and a committee with an advisory or deciding role is set up. This is the only way to ensure that the desired development quality is actually delivered. The German building code requires climate and nature conservation to be considered in development plans, which are the key urban development planning document. Very comprehensive eco­ logical demands are often placed on green space planning, e.g. including plant lists and specifications for roof greening. Depending on the legal situation and legal interpretation, certain frameworks can be put in place with regard to energy, such as in terms of density, building orientation and avoiding shade from buildings, however it is not possible to define obligatory specific targets for compactness or increased energy standards. With regard to energy supply, the development plan can and should include clauses for appropriate roof orientation and pitch to provide the basis for actively using solar energy, and take account of pipeline easements and reserve land for an energy centre where a local heat supply is intended. However, it is not possible to dictate the actual supply type, e.g. photovoltaic, solar thermal or local heating networks. Thus it is recommended to embed measures in the development plan where possible and make recommendations with regard to further measures and supplementary instruments.9

  9 Everding 2007; www.nikis-niedersachsen.de

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Chapter 3 — Implementation Strategies

Decision-making basis

Developer

Building project Evaluation basis Basis for building commission

Basis for building commission formulates design objectives and regulations

Urban planning and development control Urban design Architecture Landscape design

Implementation by building commission

Development plan

Design manual

Interdisciplinary building commission

Energy plan Mobility plan

Fig. 4  Overview of possible approaches to ensuring ­sustainability objectives in neighbourhood development.

Basis for further work

Client and architect

Fig. 4

10  Everding 2007 11 www.nikis-niedersachsen.de 12  DGNB 2012

Article 9 of the German building code (BauGB) sets out a catalogue of conditions which can be included in development plans, but many sustain­able qualities require conditions which go further and need to be written into supplementary contracts in civil law. For example, energy standards over and above those set out in the energy saving ordinance (EnEV) can be written into, or attached in appendix to, contracts of sale to occupants, by specifying a maximum energy consumption per square metre of usable area, the requirement to connect to a local heating network, or to fit a photo­voltaic system. Certain concepts which go further than defining mixed-use areas in development plans can also be determined in this way, such as the exclusively commercial use of ground floor areas. However, local governments or project developers can only take this approach if they own the land in question, for example if it has been acquired as a land reserve policy or is being developed by fully owned subsidiary companies.10 As well as conventional points such as use, time­ scales and cost, urban development contracts between local governments and private investors can stipulate aspects important for sustainability.11 For example, contractual agreements can address neighbourhood infrastructure, e.g. by requiring energy to be supplied by a biomass-­ based local heating network, or stipulating grey water purification, supply and disposal or reuse as process water at neighbourhood level. Generally, the quality of infrastructure and access is specified in associated contractual agreements. The materials specified for surfaces, pipes and cables should meet the demands of resource-­ efficient infrastructure with regard to the use of

components which are recycled, sourced locally or within the region, or produced from renew­able raw materials.12 In addition to these points, design and sustain­ ability manuals are important tools for managing sustainability. Manuals can define design issues such as an urban design code for facade mater­ ials, colours or associated areas. But they can also include guidelines and recommendations for sustainability based on technical concepts and describe features which go beyond the conditions of development plans and sale contracts. For example, manuals can include guidance on constructing energy-efficient Passivhaus buildings, on building services and materials for healthy living, or on using modern timber construction methods. Manuals are particularly helpful to offer advice on integrating ecological features such as solar systems in roofs, surface rainwater drainage in private and public open spaces, and green facades into contemporary high-quality architecture. Yet they can also help explain neighbourhood sustainability concepts and demonstrate how they can be implemented. Finally, presenting complex issues and showcasing exemplary buildings, open spaces or infrastructure technology completed elsewhere can also help promote and market a sustainable urban neighbourhood. Local governments can also adopt manuals of this kind as supplementary planning guidance, or attach them to sale contracts, provided that they are legally binding, and that contents cannot be changed over time. Neighbourhood design and sustainability review panels are another very useful and complementary instrument. Review panels should include town

185

3.2 — Stakeholders, Visions and Tools

planners, experts, local government representatives and property owners, as well as external planners if necessary. It may also make sense to get neighbourhood residents involved, especially during the later stages of development. Development plans and handbooks should include only general guidelines which are flexible and easy to implement. As a result, the process of interpreting these guidelines and applying them to sustainability objectives and specific architectural projects takes on crucial importance. In particular, it must be possible to deviate from guidance in order to implement innovative and as yet unknown measures to achieve development goals. Thus it is an advantage if occupants and designers are offered voluntary or even compulsory advice during the development process, and if the jointly agreed quality assurance process includes mandatory consent. This can include design competitions, procedures to select invest­ ors or a design workshop with the landowner, the requirement to seek approval for buildings’ preliminary or detail design, or even monitoring during construction and later use.

Operating companies can be municipal utilities, third-party service providers, or associations and cooperatives supported or co-sponsored by neighbourhood occupants. The many energy cooperatives founded by citizens in recent years demonstrate how to apply new or rediscovered organisational models in response to sustainability challenges. As a result, the local community can take part in decision-making and in some cases even benefit financially from neighbourhood management.

Examples of monitoring sustainability measures during neighbourhood development include checking Passivhaus details for physical and structural compliance, ensuring that materials are healthy and environmentally friendly, carrying out a technical examination of energy certificates for required higher energy standards after ­completion, or even measuring actual energy consumption in use. In order to effectively ­monitor heat and electricity consumption, it is essential to provide adequate metering to compare annual consumption with predefined or generic neighbourhood requirements.13

In conclusion, it can be stated that sustainable development and infrastructure construction should be governed by urban development contracts. The development plan must then set out appropriate conditions, ideally supported by a civil-­law quality agreement with buyers, which safeguards implementation and monitoring through a neighbourhood advisory board. Experience shows that successfully implementing quality and sustainability management depends on an integrated strategy which includes several or even all the instruments described.

Utility contracts should aim to ensure the longterm neighbourhood sustainability. This can relate to energy supply, local waste water treatment, maintaining and operating community facilities, and organisation of a car pool.14

Furthermore, financial support for land purchases can offer incentives for sustainable projects and support the implementation of sustainable aspects. For example, this could include constructing Passiv­haus buildings, or supporting Baugruppe client groups, taking part in car pools, or using particularly ecological or biological materials. In practice, subsidies of this kind can be implemented by taking on the cost of energy advice, by offering a flat-rate discount on sale prices, or through a points system based on an evaluation of improvement measures.15

It should be noted that the list set out in Fig.5 (pp. 186/187) cannot be applied to every project. Each project is different and requires a specific strategy for quality assurance, which must be developed with the support of appropriate legal advice.  SA, HB, GCG, RM, AvZ

13  DGNB 2012 14 ibid. 15 ibid.

Further information

Processes for concept design •  Advice on competitions: www.byak.de/ planen-und-bauen/architektenwettbewerb.html Public law requirements •  Bunzel, Arno; Coulmas, Diana; Schmidt-­ Eichstadt, Gerd: Städtebauliche Verträge – Ein Handbuch. Berlin 2013 •  Lehr, Marc: Der Bebauungsplan. Praxishinweise für Architekten und Ingenieure. Berlin 2016 •  Schwab, Karl: Städtebauliche Verträge. Grundformen, Rechtsschutz, Muster. Munich 2017 •  Stüer, Bernhard: Der Bebauungsplan. Städtebaurecht in der Praxis. Munich 2015 Informal planning •  Stadt Heilbronn: Gestaltungshandbuch – ­Modellquartier Neckarbogen in Heilbronn, 2015; www.heilbronn.de/fileadmin/daten/stadtheilbronn/ formulare/buga/Gestaltungshandbuch_Neckar­ bogen.pdf •  Advice on Design Panels: www.akbw.de/ service/fuer-staedte-und-kommunen/gestaltungsbeirat.html •  Advice on Design Panels: Design Review. ­Principles and Practice. Design Council, CABE, Landscape Institute, RTPI, RIBA. 2013 •  Baukulturbericht: www.bundesstiftung-baukultur.de

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Chapter 3 — Implementation Strategies

Incentives and marketing

Informal design

Agreements in civil law

Agreements in public law

Concept design processes

Quality assurance tools

Uses

Tool

Objectives and opportunities

Urban design and public space

Process, people, society and culture

Open space, urban climate, protecting habitats

Competition

Raises design standards through competitive and ­collaborative processes. Especially successful for ­clearly defined design tasks, combination with consult­ ation desirable.

Generating alternative urban designs. Options appraisal.

Including stakeholders in call for entries and judging.

Generating alternative open space plans.

Consultative design

Information, consultation and inclusive decision-making raises and safeguards design standards. Extremely successful if it is authoritative and binding.

Hosting design workshops Implementing stakeholder for the general public or inclusion models, setting for invited guests only. up neighbourhood initiatives, associations, or cooperatives.

Promoting plant sponsorships, playground initiatives, urban gardening.

Development plan conditions (and environmental report)

Sets out legal requirements as comprehensively as ­possible. Well-suited for specific spatial solutions, but must offer sufficient scope for interpretation.

Defining development density (plot ratio, footprint ratio), building lines, orientation, use, open space.

Defining land use (mixed use, communal areas), urban grain, building types.

Issuing planting orders, preserving vegetation, ­limiting sealing of soils, balancing areas of intervention and conservation, creating open space ­corridors (e.g. for urban climate, habitat networks), providing space for urban gardening.

Guidance attached to development plan

Addresses aspects which cannot be included in development plans. Of limited use for quality assurance.

Referencing design and sustainability manual (e.g. design of subsidiary areas, lighting concept).

Referencing community facilities, e.g. workshops, event spaces, play houses.

Referencing plant lists (e.g. using indigenous plants)

Urban development agreement

Enables local governments to safeguard quality in ­private sector development. Very useful tool for non-­ public-sector development. Must be combined with other tools to enforce conditions in later project stages.

Requiring use of Design and Sustainability Manual, and Design and Sustain­ ability Advisory Panel.

Including housing associations and social housing. Safeguarding environmentally friendly use after sale.

Defining open space character, planting plan, neighbourhood squares.

Local government ordinance

Raises legal requirements with regard to specific ­topics, throughout the whole local government area or in defined areas within it. Suitable for general ­requirements.

Design Code.

Detailed planting lists.

Contract of sale

Enforces specific qualities which go beyond public law in detail. Very useful for safeguarding quality in detail and in depth.

Enforcing compliance with design and sustainability manual and with advisory panel advice.

Enforcing compliance with design and sustainability manuals including open and subsidiary spaces.

Entry in land registry deeds

Safeguards qualities in the long term, even after ­subsequent land sale. Very inflexible, but effective. Best suited to important, fundamental design quality issues.

Recording urban design codes for use of materials and colours.

Recording plans for open and subsidiary spaces.

Operating contract /other private sector contracts

Contractually governs arrangements after sale and development, i.e. in use. Usually tailor-made solution, offers major scope to regulate later use.

Building contract

Safeguards quality in design, construction and building systems. Can only be implemented by client role.

Safeguarding quality in terms of design, typology and environmental per­ formance.

Master plan / urban design / development ­concept

Defines overall development characteristics, going into greater depth in individual areas. Useful for ­leading by example, but not legally binding unless backed up by further contracts.

Urban design and overall design concept. Defining building types and development phases.

Design and sustainability ­manual

Sets out guidelines for design and sustainability standards. Useful when supported by an advisory panel. Not legally binding unless backed up by further contracts.

Setting out design guidelines.

Design and ­sustainability panel

Discusses all aspects relevant to design and sustain­ ability. Resource-intensive, and thus mostly used for challenging and demanding projects. Not legally binding unless backed up by further contracts.

Safeguarding design quality in detail design and delivery.

Integrating residents and users (with voting rights).

Financial support for land acquisition

Supports indirect quality assurance with little scope for enforcement. Useful for supporting quality in difficult market environments.

Treating facades in ­existing building stock.

Including building associations, social housing, families with children, ­special housing types.

Certificates and awards

Compare and evaluate sustainability qualities. Very well-suited for quality assurance, marketing, and ­documenting value retention. Resource-intensive.

Promoting functionality and design quality in ­buildings and neighbourhoods.

Implementing socio-­ cultural process quality in neighbourhoods and buildings.

Maintaining, operating and managing community facilities and organising residents associations.

Governing management and maintenance by ­resident association or third-party contractor.

Setting out development plans and neighbourhood communities.

Setting out open space and landscape frameworks. Setting out guidelines for open and subsidiary space plans.

Fig. 5  Overview of possible approaches to safeguarding sustainability goals in implementing neighbourhood development

Safeguarding quality of open and subsidiary spaces in detail design and delivery.

Promoting environmental and functional quality in buildings and neighbourhoods.

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3.2 — Stakeholders, Visions and Tools

Water, soil

Material flows, construction materials

Generating alternative water plans.

Transport

Energy

Generating alternative transport and access plans.

Generating alternative energy-efficient layouts and energy plans.

Generating alternative land use plans.

Raising awareness about reducing energy use (information).

Ensuring that processes meet needs efficiently.

Raising awareness about reducing water consumption and use technology (information)

Pollution (noise, air, light)

Economy

Securing adequate space and conduits for sustain­ able utility infrastructure.

Securing adequate waste disposal areas.

Securing access and transport (e.g. for bus or tram routes), defining number and location of parking lots.

Securing adequate space for facilities (e.g. CHP plants), influencing solar gain, compactness/ efficiency of district heating networks (plot ratio, footprint ratio, and urban grain).

Securing adequate space for noise protection, zoning uses, technical building measures.

Defining land-use mix, limiting certain uses.

Referencing sustainable rain and grey water management plans and advice for use.

Referencing resourceefficient infrastructure and construction.

Referencing shared spaces, pedestrian streets.

Referencing building ­energy standards, obligatory connection to district heating network.

Referencing noise assessment and protection measures.

Recommending fine-grain mix of use (e.g. ground floor commercial use in mixed-use areas).

Defining utility infrastructure (e.g. rainwater ­management, grey water purification, process water network).

Defining resource-efficient infrastructure (e.g. using recycling materials, waterpermeable surfaces), ­construction methods (e.g. timber), and waste disposal methods.

Offering carpools, bicycle rentals, and e-mobility charging stations.

Defining building energy standards (e.g. constructing and operating CHP plant and network).

Defining noise protection measures.

Regulating costs for ­ eveloping and operating d neighbourhood and mix of uses.

Issuing waste water orders.

Enforcing rainwater management and connection to grey water network.

Parking orders, bicycle racks.

Enforcing compliance with Safeguarding bicycle design and sustainability racks and inclusive manuals including building access. materials and building ­system catalogues.

Recording access and maintenance for surface water drainage.

Fee orders.

Safeguarding connection to district heating, compliance with building energy standard.

Regulating land cost, f­ine-grain mix of use (e.g. ground floor commercial use in mixed-use areas).

Promoting sociocultural quality in buildings and neighbourhoods.

Promoting economic ­ uality in buildings and q neighbourhoods.

Embedding access to ­ istrict heating networks d and technical facilities.

Managing, maintaining and preserving water management systems.

Managing car pools, bicycle rentals, and e-mobility charging ­stations. Implementing catalogues of healthy and environmentally friendly materials.

Water management ­frameworks.

Organising energy ­contracting including ­operating and billing. Safeguarding building energy standards.

Transport and mobility plans.

Energy use plans.

Guidelines for rainwater, grey water and process water plan.

Catalogues of healthy and environmentally friendly materials and ­building system guide­ lines.

Guidelines for design and location of parking lots, carports and bicycle racks.

Guidelines for energyefficient construction, ­integrating solar plants and building systems.

Integrating water management systems into open space concept.

Safeguarding healthy and environmentally friendly materials in detail design and delivery.

Integrating transport areas and buildings into open space concept.

Safeguarding building energy standards in detail design and delivery.

Points systems for implementing healthy and ­environmentally friendly materials and building ­systems.

Points systems for taking part in carpools.

Points systems for implementing higher building energy standards.

Promoting environmental and technical quality in buildings and neighbourhoods.

Promoting environmental, sociocultural and technical quality in buildings and neighbourhoods.

Promoting environmental and technical quality in buildings and neighbourhoods.

Promoting environmental and technical quality in buildings and neighbourhoods.

Safeguarding noise ­protection measures in buildings.

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Chapter 3 — Implementation Strategies

3.3

Local Government ­Implementation Strategies Domi nic C hurch, Manal M. F. E l-Shahat, Thors ten Erl

G Stakeholder theory

The American philosopher R. Edward Freeman dealt with ethical and moral principles in corporate management in his book “Strategic Management. A Stakeholder Approach”, which was published in 1984. In addition to shareholders, he identified various other groups with a legitimate interest in the management’s approach and described ways in which management could respond appropriately to their concerns.

1  Freeman 1984

enerating lasting demo­cratic support long-term consensus about neighbourhood development is especially challenging because neighbourhoods are generally neither formally defined nor politically constituted territories. This makes it necessary to clarify and justify which persons or groups are linked to the neighbourhood’s development and thus have a justified expectation to help shape it. In order to work this out, it may be important to look beyond the group of players (i.e. those actively involved) and include all those who might have a legitimate interest in the neighbourhood’s development and who are referred to as “stakeholders”. This term was first used by the Stanford Research Institute in 1963 and further developed as part of R. Edward Freeman’s “stakeholder theory” in the 1980s.1 Unlike the more narrowly defined “players”, stakeholders could also include residents of neighbouring areas who are not actively taking part in the neighbourhood’s development. It can be difficult to know whether the groups who get involved truly reflect the neighbourhood. In planning a new neighbourhood, this is further complicated by the fact that the most important group – its future residents – are neither present nor known. This can lead to future residents’ inter­ ests being neglected. Alternatively, local government may feel the need to give voice to a group that is invisible or non-existent as far as the exist­ ing local community is concerned, which is politically challenging. One way to avoid this dilemma is to debate the goals for developing a new neighbourhood at a city-wide level, where they can be given legitimacy and authority by territorially and politically defined democratic entities.

In order to meet this complex challenge, some cities such as Heidelberg and Ludwigsburg have developed criteria sets for sustainable urban development which allow them to regularly report progress towards their identified goals. The wide range of criteria makes it possible to comprehensively depict the field of sustainability. Moreover, formulating and agreeing goals and indicators together with the stakeholders provides an opportunity to give goals a democratic legitimacy which lasts much longer than individual politicians’ terms of office, thereby building a broad consensus to support local government planning. The City of Ludwigsburg takes a particularly effective approach: it invites groups of citizens who reflect the city’s demographic profile to take part in so-called “future conferences”, where the city’s development goals are formulated. Ludwigsburg is also exemplary because it reformed its administration and established a sustainable urban ­development unit to deal with the following issues: fundamental questions, the urban development plan, neighbourhood development, regeneration projects, economic development, EU coordination, the metropolitan region, and energy projects. As well as setting out legal frameworks, governments can also use financial incentives to influence other players in neighbourhood development. In Germany, federal and state funding can be distributed according the 1987 Building Code (Baugesetzbuch BauGB), which resulted from the merger of the 1971 Urban Development Promotion Act (Städtebauförderungsgesetz) and the 1960 Federal Building Law (Bundesbaugesetz BbauG) as well as administrative regulations, budget regu­lations and approval processes at state (Länder) level.

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3.3 — Local Government I­ mplementation Strategies

Objective Housing for all, 8,000 –10,000 additional homes, delivering affordable housing, concentrating on the affordable rental market

Indicator

2000

2003

2006

2010

2013

Difference 2010/2013

Evaluation

•  number of homes completed

346

321 (2004)

182

176 1)

630

+ 454

++

• percentage of subsidised homes 2) in completed projects

19.1

10.4

1.6

40.3

9.7

- 30.6 % Pt.

- -

• number of homes dedicated to social housing

9,766

9,570

7,205

5,766

5,415

- 351

-

• average rent per m2 according to rental map [in Euro]

7.08

7.05

7.28

7.63

8.13

0.5

-

• m2 housing space 3), which can be bought with the average annual income 4) per capita in Heidelberg

8.2

9.3

9.6 (2005)

10.5 (2008)

8.6 (2011)

- 1.9

- -

36.5

36.5

36.8

37.2

37.2

0

�

Limiting increased consumption of housing space per capita, reducing land consumption, effective land use

• housing space per capita [in m2]

Supporting environmentally friendly ­building

• approved applications for energy efficiency funding

93

107

192

237

1345

- 103

- -

• number of existing homes in low-energy and Passivhaus buildings 6)

29

95

97

128

1,125

997

++

1) including 39 student dormitories, 2) proportion of homes with price and tenancy constraints, 3) rolling three-year average (current year, previous year, following year), Source: Assessment panel; 4) available income according to macroeconomic calculation, Source: Statistisches Landesamt; 5) raised by one grade due to four-year cycle; 6) sum total, excluding funding applications withdrawn

Fig. 1

Federal and state funding objectives are derived from the federal government’s urban development policy goals, which in turn are based on the Leipzig Charter and other guiding principles (see p. 108). Since 1990, various federal governments have set up different funding programmes, each of which addresses specific problems of neighbourhood development (e.g. Stadtumbau Ost/West). Since 2000, the European Union has also offered programmes within the framework of European structural policy to promote neighbourhood development, which are also geared to global models and strategies.  DC

Case study of urban development in Heidelberg After two years of public consultation, the City of Heidelberg adopted the “Heidelberg 2010 Urban Development Plan – Guidelines and Goals” (Stadt­ entwicklungsplan, STEP) in 1997. The policy ­document includes a commitment to socially responsible, environmentally compatible and economically viable development. Based on ­Heidelberg’s 1974 Urban Development Plan, the STEP enacts the 1992 UN Rio Conference’s call to pursue sustainable development at local level. To this end, the STEP identifies eight individual target areas – urban design vision, regional cooperation, working, living, the environment, transport, and social and cultural issues – as well as special cross-cutting issues such as engaging

residents, gender equality, migration, local government collaboration on development and so on. Regular reporting on achievements was called for from the outset. The first Urban Development Plan implementation report was published in 2002, titled: “Where are we, what have we achieved?”. It describes initial results for individual target areas and distinguishes between planned, started and completed projects. The report also identifies new, additional actions required and any conflicts of objectives that have arisen. The report concludes with references to key projects, an overview of important existing or missing data and the compilation of selected decisions and projects.

Fig. 1  Example indicators in housing objectives for ­Heidelberg urban development plan Fig. 2  Bahnstadt development, Heidelberg (DE) 2012

The “Heidelberg Sustainability Report 2004” published three years later introduced an indicator-based performance review of the Heidelberg 2010 STEP Urban Development Plan. This approach using indicators and metrics was prompted by the realisation that achieving the STEP’s defined goals requires a continuous effort. It was proposed that the city should continuously measure its performance against a simple, replic­ able interim score sheet every two years. Given that some targets – such as “regional cooperation” or “urban development model” – cannot be captured with metrics, consideration was given to adjusting or extending the indicator set from the outset. The complexity of issues such as CO2 savings or the social situation is particularly difficult to capture with simple indicators, and requires detailed analyses and in-depth studies, which are regularly evaluated and communicated in independent reports. In compiling the indicators, the city used various systems already introduced in Germany, including the indicators for sustainable urban development Fig. 2

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Lord Mayor – CEO of Administration Sustainable Urban Development Unit Business support Business relations, piloting, locating business sites, town centre promotion etc. Integrated urban development Sustainable urban development, neigh­ bourhood development plans, projects funded by “Social City” programme etc. Europe and Energy Acquiring funding, EU coordination, fundamental energy issues, energy projects etc.

Department I Business, culture, administration Lord Mayor Executive department

Department II Education, sport, society First Mayor Executive department

Department III Construction, technology, environment Mayor Executive department

Lord Mayor’s office

Interdisciplinary coordination

Public transport, environmental protection officer

Determining sustainability goals   • revision • organisation, human resources   • finances   •  property portfolio   •  art, culture   •  film, media, tourism

 

       

•  civil engagement •  Safety, order •  citizens’ services •  education, family, sport

  •  citizens’ office for building   •  urban planning, surveying   • building construction and management   • civil engineering, green spaces   •  technical services

Fig. 3

Fig. 3  Organisation of city administration in Ludwigsburg after restructuring and further development Fig. 4  Ludwigsburg energy plan

2 Stadt Ludwigsburg  / zafh.net 2010

“Energy-efficient Ludwigsburg”

The International Energy Agency (IEA) in Paris selected Ludwigsburg as a demonstration project for energy-efficient cities as part of the “Annex 51” research project. The City of Ludwigsburg commissioned the Centre for Sustainable Energy Technology (zafh.net) and the Centre for Sustainable Urban Development, both at the Stuttgart Uni­ versity of Applied Sciences (HFT), to join forces with the City of Ludwigsburg’s Sustainable Urban Development Unit to carry out the “Energy-Efficient Ludwigsburg” study. Funded by the German Federal Ministry of Education and Research (BMBF), this study analyses all of the City of Ludwigsburg’s activities in the field of energy efficiency and presents recommendations for action.

developed for the “Cities of the Future” research stream within the Federal Office for Building and Regional Planning (BBR) “Experimental Housing and Urban Development (ExWoSt)” project. The Sustainability Report is based on a total of 75 indicators, 42 of which address the STEP’s target areas and Heidelberg’s particular situation (Fig. 1, p. 189).

Case study of urban development in Ludwigsburg

In order to avoid costly new research, indicators were scored against existing official statistics or surveys were used as data sources. Each indicator was scored at two points in time. These two scores helped chart development, or the progress of development against a five-step scale ranging from “significant deterioration” to “significant improvement / target met”.

In its approach to sustainable development, the City of Ludwigsburg focuses on tools and methods to support local government decision makers responsible for sustainable development, and on implementing efficient medium- to long-term energy strategies.2 Ludwigsburg’s implementation of Agenda 21 at the urban level is exemplary in terms of economic and social goals, and especially so in relation to environmental objectives. Guided by the leading global Agenda 21 objectives, the “Local Agenda Ludwigsburg” group set up in 2001 to focus on environmental goals. Regrouped as the Ludwigsburger Energieagentur e. V. (LEA) from 2007, the initiative is actively involved in the city’s development even today.

Unlike the “Heidelberg Sustainability Report 2004”, the 2007 report included an indicator-­ based evaluation of demographic change. Three years earlier, Heidelberg had still referred to a separate survey on this topic. The “STEP 2015” update in 2006 included demographic change as a new chapter in the Urban Development Plan. In the meantime, with the publication of the "Heidelberg Sustainability Report", the indicator system has established itself more and more in Heidelberg’s consciousness. Since 2005, in addition to the sustainability reports, all information and decision proposals submitted to the local council by the administration also contain a sustainability assessment, which sets out the objectives of the STEP with the resolution/project and the advantages and disadvantages of the proposal. Sustainability monitoring has become an important part of the orientation and success control of sustainable urban development for the administration, politics and citizens of the city of Heidelberg.  TE

The city government adopted an urban development strategy based on bottom-up resident participation. This strategy enabled residents, the private sector and regional stakeholders to get involved, building a broad and representative base for urban development. The city engaged in integrated debate and jointly developed a shared vision for the future in order to collaborate with all of the involved stakeholders and formulate sustainability goals addressing economic development, social balance and a healthy environment. In a unique move, Ludwigsburg restructured the city administration to create a dedicated unit for sustainable urban development. Responsible for

191

3.3 — Local Government I­ mplementation Strategies

Industrial network module Supported by the sustainability strategy working group and environment ministry of Baden-Württemberg Heat module

Power module

Transport module

Heat grid Status quo: heat consumption and ­generation, climate and environmental effects, potentials and use of renew­able energies

Power balance Status quo: power consumption and generation, climate and environmental effects, potentials and use of renewable energies

Climate balance/Transport Status quo: fuel and energy consumption in transport, climate and environmental effects, potentials, use and production of alternative fuels

Goals and scenarios Determining goals (e.g. energy efficiency, renewable energies, CO2 reduction, other environmental effects, degree of self-sufficiency etc.) Heat strategy Identity, effectiveness, implementation steps, stakeholders, cost, funding heat measures

Power strategy Identity, effectiveness, implementation steps, stakeholders, cost, funding power measures

Transport strategy Identity, effectiveness, implementation steps, stakeholders, cost, funding transport measures

Overall strategy module: energy and climate in Ludwigsburg Potential, climate and environmental protection measures, business, cost, stakeholders Fig. 4

implementing, steering and coordinating the sustainable urban development strategy, this unit oversees each of the individual innovation projects. The unit networks horizontally and cuts across disciplines to pursue sustainability in economic development, integrated urban development, European issues and energy across all sectors and levels. Created in 2008, the unit aims to improve coordination between the different political and administrative levels which influence sustainable development issues, and thus achieve better vertical networking (Fig. 3). The energy strategy includes a large number of measures and activities relating to the climate, adaptation to climate change, energy, transport, industry and land use plan. These were compiled by the Institute of Energy Economics and Rational Energy Use (IER) at the University of Stuttgart (Fig. 4).3 This wide range of activities highlights the high priority the city has given to energy policy. In addition, Ludwigsburg successfully applied to the International Energy Agency (IEA) in Paris to gain recognition as an “Energy-efficient City” demonstration project within the international “Annex 51” programme.

Sustainable urban devel­ opment plan (Stadtentwicklungskonzept SEK) Managed and monitored by the elected councillors, Ludwigsburg’s administration has been driving forward the development of the “Opportunities for Ludwigsburg” Urban Development Plan (Stadtentwicklungskonzept SEK) since 2004. Residents and representatives of the business community are important stakeholders in this process. A local business conference called the

“Business Day” was launched to promote close ties and cooperation between the city administration and local businesses, taking place since 2004. The first city-wide “Future Conference” (Zukunftskonferenz, ZuKo) in 2005 focussed on engaging with residents. Their participation had already been tested at the 2000 and 2002 neighbourhood conferences in Ludwigsburg-Eglos­ heim, which had been part of the national “Social City”( Soziale Stadt) programme.4 This participation provided input for the ongoing integrated urban development, with further workshops for residents hosted at regular intervals. Parallel to this, other activities such as opinion polls and a “summer of dialogue” also took place during 2005. After the second ZuKo future conference in 2006, a network was set up including administration, elected city councillors, and expert committees.5 This implemented the various visions and guiding principles contained within the development strategies, and dealt specifically with eleven thematically diverse topics. These picked up on the guiding principles and goals of sustainable development and reflected a desire to address real quality of life in all aspects of each of Ludwigsburg’s neighbourhoods. Ludwigsburg’s SEK Urban Development Plan has a strong social dimension, because it links a political programme with a programme for administrative action (master plan) and a close relationship with residents and social groups. The SEK views urban space as a social space, and aims to help connect the city’s people, which it views as its key stakeholders, across social, ethnic and gener­ ational boundaries. In 2014, the city of Ludwigsburg received the “German Sustainability Award” for the government, administration, and residents’ exemplary

Eleven SEK topics “Opportunities for Ludwigsburg” •  attractive housing •  cultural life •  business and work •  vibrant neighbourhoods •  lively inner city •  generations and nations living together •  green in the city • mobility •  education and care •  varied sports offer •  energy supply

3 Stadt Ludwigsburg  / zafh.net 2010 4 ibid. 5  Spec et al. 2010

192

Chapter 3 — Implementation Strategies

Fig. 5

and integrated approach to urban development, looking back on 10 years of successful collabor­ ation on the Urban Development Plan. The award celebrated the administration’s programme of work as well as the support it gained from vast numbers of dedicated residents and broad sections of the city government. In 2015, Ludwigsburg set up a welcoming programme to deal with population change and the large number of refugees. On 26 March 2015, the German Association for Housing and Urban Development (Bundesverband für Wohnen und Stadtentwicklung, vhw) hosted a number of group debates on “a culture of welcome” to help prepare the fifth ZuKo future conference in 2015.6 Under the heading of integration and diversity, the results of these group discussions were later further developed together with refugees and so-called KiFa mentors (KiFa – children and family education) at the ZuKo future conference. In addition to the eleven main themes, the topic of inclusion was discussed at two tables focussing on welcome culture.7 Migrants and refugees were recognised as members of a new resident group, and members of these target groups were regularly involved in workshops focusing on the development process taking place in 2015 and 2016. 6 Stadt Ludwigsburg 2015, p. 67 7  ibid., p. 16f.

Amongst other topics, the sixth ZuKo future conference in 2018 explored possibilities for the city of Ludwigsburg to contribute to sustainable devel-

opment, even at the global scale. The seventeen United Nations Sustainable Development Goals (SDG) were one of four focal points. As in previous years, outcomes were subsequently processed and documented in order to further develop the SEK Urban Development Plan. The Federal Ministry of Education and Research (BMBF) also funds the “ZukunftsWerkStadt” (Future workshop city) programme in Ludwigsburg. As part of this programme, the city has worked with the German Association for Housing and Urban Development vhw to generate greater participation and help spread information and responsibility throughout all community groups, including new immigrants. The programme aims to work with residents, retailers and industry to jointly develop digitalisation concepts which address their needs and demands and which can be readily implemented. The digital agenda was also a topic at the 2018 future conference, highlighting Ludwigsburg’s journey towards a Smart City.

Integrated energy plan Cities’ energy efficiency is determined by aspects such as urban planning, traffic systems, land use, urban density and urban context and user demand. Ludwigsburg’s SEK addresses these issues within the Energy Supply topic and area of work. The main objective is to balance energy consumption through greater energy efficiency

193

2014 Award

5th ZuKo

German sustainability prize

Topic: Welcome culture etc. Future Workshop / digital agenda

6th ZuKo

4th ZuKo Topic: Citizen-led urban development

Topics: Global sustainability objectives, sustainable transport

2015

3rd ZuKo Topic: Civic engagement

1. Neighbourhood conference SEK adopted

2nd ZuKo

1st ZuKo

1. Building block: New administrative structure 1. Business day Sustainable urban development dept. SEK “Opportunities for Ludwigsburg”

(Business – Administration – Citizens)

“Social City 2000 – 2008”

10 years of sustainable urban development

2018 Agenda 2030

SEK Ludwigsburg + STEP – 5 pilot neighbourhoods 2007 Agenda 21

2005

2000

Citylevel

2009

Eglosheim neighbourhood

2012

2004

2006

3.3 — Local Government I­ mplementation Strategies

Citizens’ workshops

Fig. 5  Wood-fired heating plant in Ludwigsburg Fig. 6  Participation process in Ludwigsburg

Fig. 6

and using renewable energy sources and resources. To this end, a city-wide energy strategy coordinates individual measures and approaches to achieve the best possible overall effect. The municipal utility company (Stadtwerke Ludwigsburg-Kornwestheim, SWLB) is developing an innovative plan for the sustainable, efficient energy use. The energy plan is about more than simply energy, it addresses quality of life and future-proof habitats. A local wood-fired power plant provides Ludwigsburg with heat and electricity from biomass. The largest of its kind in the state of Baden-Württemberg (Fig. 5), this is a flagship for environmentally friendly energy supply. In 2010, it was able to meet 70 percent of Ludwigsburg’s district heating demand.8 By April 2015, SWLB was saving a total of around 41,000 tonnes of carbon dioxide (CO2) a year. The city is currently engaging with SWLB, residents, and interest groups such as business representatives and public institutions, in order to assess the renewable energy potential for the city’s energy strategy. In providing geothermal district heating to the Grünbühl – Sonnenberg neighbourhood, SWLB has become active in another import­ ant energy segment. Another important field of SWLB’s work includes sustainable mobility. In 2014, it set up three electricity charging stations in Ludwigsburg and Kornwestheim. By the end of 2016, this was extended to 18 charging stations to provide electric vehicles with environmentally friendly power.

Neighbourhood development plan (STEP) Sustainable urban development prioritises brownfields over greenfield development areas. The city of Ludwigsburg adopts this approach by implementing integrated district development plans to convert former barracks and redevelop innercity housing estates. These adapt the SEK guidelines and strategic objectives to individual neighbourhoods and include a detailed Neighbourhood Development Plan (Stadtteilentwicklungs­ plan, STEP) addressing the eleven SEK topics. The STEPs also define specific goals and measures based on the SEK master plans. In 2006, Ludwigsburg started producing STEPs for four selected pilot neighbourhoods: City ­centre, Eglosheim, Grünbühl-Sonnenberg (Fig. 7) and Karlshöhe. At the same time, Ludwigsburg ­succeeded in obtaining federal and state government subsidies as part of the “Districts with Special Development Needs – Social City” regeneration programme. The Grünbühl, Hirschberg and Schlößlesfeld neighbourhoods had been built very quickly and cost-effectively after the war and were given a high priority because the city had identified an urgent need for improvements to energy efficiency. In the city centre, specific goals included reducing CO2 emissions. Since 2004, the city dedicated around € 50 m of federal and state subsidies to around 100 projects and measures.9 In the following years, further STEPs were developed for districts in the eastern and western

8 Stadt Ludwigsburg/ zafh.net 2010 9 Stadt Ludwigsburg  / zafh.net 2010

Further information

•  Bunzel, Arno; Coulmas, Diana; Schmidt-Eich­ staedt, Gerd: Städtebauliche Verträge. Ein Handbuch. Stadt – Forschung – Praxis. Berlin 2007 •  Birk, Hans-Jörg: Städtebauliche Verträge. Inhalt und Leistungsstörungen. Stuttgart 2013 •  Stadt Heidelberg: Heidelberger Nachhaltigkeitsbericht 2014. Indikatorengestützte Erfolgskontrol­ l­e des Stadtentwicklungsplans Heidelberg 2015. Reihe Schriften zur Stadtentwicklung. ­Heidelberg 2015 • www.ludwigsburg.de/,Lde/start/stadt_buerger/ stadtentwicklung.html • www.heidelberg.de/hd,Lde/HD/entwickeln.html

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Chapter 3 — Implementation Strategies

Fig. 7

Reporting and evaluation (Indicators)

Implementation in SEK masterplans

Integrated sustainability management

Adopting guidelines and objectives in thematic fields

Checking local situation

Refining strategic objectives

Fig. 7  STEP development plan Grünbühl-Sonnenberg, Ludwigsburg Fig. 8  Urban Development Plan management cycle

Fig. 8

areas, including Weststadt, Oßweil, Oststadt, Poppenweiler, and Neckarweihingen. The city is currently running further workshops to engage stakeholders in specifying STEPs. In 2015, the state of Baden-Württemberg awarded Ludwigsburg a prize for the “Social City Grünbühl-Sonnenberg/ Karlshöhe” project.

Management cycle Since 2002, the Eglosheim neighbourhood has served as a pilot project, with intensive public consultation to formulate the objectives for its future development. Since 2003, the local sustainability process is controlled by a management

cycle developed within the European “Managing Urban Europe” (MUE) programme. In September 2009, Ludwigsburg’s city administration adopted a five-step management cycle adapted from this model to secure and manage the further development of the Urban Development Concept (SEK) and the Neighbourhood Development Plans (STEPs) (Fig. 8). Managing sustainable urban development is regarded as a task which cuts across administration and politics, for which community engagement is an essential pre­ requisite. The final report evaluates results to review their contribution to achieving objectives set out in the catalogue of indicators. It also includes a feedback function to control or ­readjust measures or projects in detail.  MES

3.4 — Project-specific Implementation Strategies

3. 4

Project-specific Implementation Strategies D o minic Church

A

broad range of structures and models can be used to develop urban neighbourhoods. For public sector stakeholders, the challenge is to identify the approach which is most suitable and most effective for the project in question. Ideally, the choice of the development model is based an objective analysis of local circumstances. Each model has advantages and disadvantages, and inevitably, each benefits one or the other stakeholder group. This means that the approach to developing any given project is always also a political issue.

Organisational types and structures In Germany, local governments often set up single-­ purpose associations (Zweckverbände) to cooperate with other municipalities, either voluntarily or by order of the federal state. Usually, associations of this kind provide utilities, such as water or public transport. In neighbourhood development, local governments frequently set up Urban Development Companies (UDCs) which operate as companies with limited liability (GmbH), and appoint a board of directors according to the German commercial

code (Handelsgesetzbuch). Control of the board of directors enables local governments to supervise the company’s executive management and ensure that neighbourhood development meets the defined objectives. This type of organisation also allows a diverse group of public bodies to join forces for neighbourhood development, such as is often necessary for former military bases which cut across different local government areas. Urban Development Companies are subject to private law and can be more flexible and dynamic than local governments because they do not have to process decisions through local government approval procedures. The downside to this is that local government may be less effective in supervising neighbourhood development, and that project development targets may fall out of step with development objectives for the wider urban area. This can raise questions of democratic legitimacy, because public funding is used. The approach can be justified as long as the bene­ fits of greater agility outweigh the risks of weaker local government control. HafenCity Hamburg GmbH is an example of an Urban Development Company which is fully owned (100 %) by the City of Hamburg (Fig.1, p. 196). Development Companies can also be partly owned by private businesses, for example through Public Private Partnerships (PPP). The 100 % private sector development model is more common in the Anglo-American world. This sees private developers provide both infrastructure and buildings, and market both as a combined package. In the best-case scenario, this allows for efficient delivery of a coherent overall concept. However, the model can put infrastructure at risk

195

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Chapter 3 — Implementation Strategies

if developers fail to remain financially viable throughout the economic cycle. One example of this is the Carillion group, which led phase one of the redevelopment of the former Battersea Power Station (€ 453 m) in London. Carillion filed for bankruptcy in January 2018 after accumulating debts of around € 1.47 bn. The bankruptcy put the completion of various public buildings, such as the Midland Metropolitan Hospital (€ 396 m) and the Royal Liverpool University Hospital (€ 380 m) at risk. At the point of bankruptcy, Carillion was involved in a wide range of PPP projects, including 50 prisons, providing 50,000 homes for the mili­ tary, 11,500 hospital beds, 218 school catering services as well as parts of the HS2 high-speed rail link from London to Manchester and Leeds.1

Fig. 1

Fig. 1  Magellan Terraces, HafenCity Hamburg (DE) Fig. 2  School built within PPP framework, HafenCity Hamburg (DE) 2009, Spengler Wiescholek Architekten

1 www.bbc.com/news/business42744949 (accessed: 21.01.2018) 2  CABE 2004 3 www.moeckernkiez.de/ genossenschaft (accessed: 03.08.2018)

Unlike the public sector, which has a duty to the public good, the objective of private sector business is to achieve as high a yield as possible for its owners. As a result, delivery of public facilities such as schools, crèches and playgrounds etc. may take a back seat behind profitability, arriving only after housing has been fully completed or being completed to a lower quality to safeguard overall profitability. Britain’s Commission for Architecture and the Built Environment (CABE) has studied and documented quality issues in neighbourhoods built by private sector developers in some detail.2 Another model is for private individuals to group together to form a registered cooperative company in order to develop a neighbourhood. A cooperative company of this kind can be described as a business-oriented association, focused on fulfilling the needs of its members –such as housing. Housing cooperatives are very common in Germany, Switzerland and Austria. The model can be applied to the neighbourhood level. Berlin’s Möckernkiez is one current example. The mixed-use neighbourhood provides 450 homes on a 3-ha former railway site (pp. 246ff.). It was designed and built, and is now managed by a cooperative (Möckernkiez Genossenschaft für selbstverwaltetes, soziales und ökologisches Wohnen eG). The cooperative’s

constitution includes a commitment to support its members by providing good, safe and socially responsible housing. One of the advantages of this type of neighbourhood development is that assets remain in cooperative ownership and can serve its objectives in the long term.3 The Baugruppe is another model for neighbourhood development. The cities of Freiburg and Tübingen both use this model, each in slightly different ways. The basic principle is that a number of interested individuals join forces to fund the design and construction of a building with several homes which subsequently become conventional condominiums. In Freiburg, this model for neighbourhood development was born when squatters occupied a vacant building on a former military site, forming the “Forum Vauban” residents’ association in 1994. The association pushed for a comprehensive consultation process, which resulted in drawing up environmentally sustainable goals for developing a new urban neighbourhood. A large proportion of homes were built according to the Baugruppe model. In Tübingen, the city bought a former military site in 1991 and instructed the city planning department to use the Baugruppe model to develop what became known as the “French Quarter”. The development plan allowed a range of design freedoms not usually seen in Germany, such as a ­variety of building heights. This liberal design framework made the neighbourhood attractive for people wanting to shape their own neighbourhood. The city has since further refined this approach, using it in other neighbourhoods such as the Mühlenviertel and the Alte Weberei. One aim of the Baugruppe model is to tie future residents into neighbourhood development and thus contribute to a stronger sense of community and identity. Thinking about the possibility of transferring the approach chosen in Freiburg and Tübingen to other locations raises the question whether its success is linked to the particular character of the

197

3.4 — Project-specific Implementation Strategies

local population. The social scientist Katharina Manderscheid researched this issue in Tübingen,4 analysing the French Quarter’s demographic profile and comparing it to the neighbouring Stuttgarter Straße area. Manderscheid found a higher proportion of families with a high income and a relatively high level of academic achievement living in the French Quarter. She also examined the extent to which residents were integrated into social networks locally and in the city as a whole, and the extent of their engagement in urban development processes. Manderscheid concluded that the French Quarter’s mainly affluent and well-educated residents were more frequently able to create physical and social spaces within their neighbourhood and thus tended to identify with their neighbourhood more closely.5 Whilst the Baugruppe process supported by the city planning department clearly created a high-quality neighbourhood, Manderscheid’s research poses the questions whether the process benefits affluent and well-educated residents more than others. This in turn queries whether the allocation of planning department resources can be justified if – just as in conventional approaches – this especially benefits the affluent and well-­ educated. The issue is further accentuated when homes designed and built with the substantial support of the city government are placed on the open market and sold to profit, generating major financial benefits. The Baugruppe mechanism meets the objective of affordable housing only once, whilst open market mechanisms later take over again. Further research on the Baugruppe has been published by Gerd Kuhn, Tilman Harlander, and Hannes Müller.6, 7 Kuhn and Harlander see the federal state of Baden-Württemberg taking a pioneering role in developing, supporting and shaping the Baugruppe approach from the outset, and making it an established force in south-western Germany. They see the Baugruppe and other development models converging to spawn sponsoring models (in Esslingen am Neckar, see Wilfried Wallbrecht8)

or “developer-fostered building groups” (in Tübingen, see Markus Staedt9). Kuhn and Harlander identify three motives for taking the Baugruppe approach: Economically, the Baugruppe reduces total cost by around 15 – 25 percent (Hubert Burdenski10). Socially, the Baugruppe paves the way for a wide range of models for consultative design and communal living. Finally, it helps deliver alternative and innovative concepts for housing and construction, e.g. in terms of environmental sustainability.

  4  Manderscheid 2004   5  ibid., p. 289   6  Kuhn / Harlander 2010   7  Müller 2015   8 Kuhn / Harlander 2010, p. 56   9  ibid., p. 146 10  ibid., p. 129 11  Müller 2015, p. 402 12  ibid., pp. 129ff. 13  ibid., p. 403

Müller shares the view that economic, environmental and social factors account for the popularity of the Baugruppe model. He sees it as a promising concept for implementing a fine-grain, decentral, locally-based sustainability strategy.11 Müller also touches on the homogeneous demographic profile of many Baugruppe projects, frequently focused on young families with average to high incomes.12 Nonetheless, he sees the Baugruppe as a model with growth potential, especially because of its economic benefits. Müller envisages obliging local government to ensure that land disposal processes provide opportunities for Baugruppe development models.13

Public-Private Partnerships Public-Private Partnerships (PPP) provide a framework for public sector bodies to let private enterprise fund and deliver measures or services. In many projects, private businesses fund both the construction of assets and their subsequent ­management, with the public sector entering into fixed-term rental or leasehold contracts for 20 – 30 years. The model’s appeal lies in the fact that it allows the public sector to make use of items or services without the need for major up-front investments. Fig. 2

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There is no need to provide public finance for conventional funding and construction. This makes PPP particularly attractive for public bodies with limited funds, who are unwilling or unable to take on debt. 14 European Investment Bank, data.eib.org/epec (accessed: 20.01.2018) 15 Bundesministerium der Finanzen 2007 16 European Investment Bank, data.eib.org/epec (accessed: 20.01.2018) 17 Krüger / Ugarte Chacon 2006 18  Mühlenkamp 2010 19 Konferenz der Präsidentinnen und Präsidenten der Rechnungshöfe des Bundes und der Länder, 3/4 May 2006, Munich 20 Rechnungshöfe des Bundes und der Länder 2011 21 ibid.

Around 1,750 PPPs with a total value of more than € 355 bn were commissioned in the EU between 1990 and 201614, 122 (7 percent) with a total value of € 15.2 bn (4.5 percent) of which were in Germany. In December 2007, the German federal ministry of finance (BMF) set a target of raising the share of PPPs in public investments in the transport sector from 4 percent towards an international benchmark of 15 percent.15 Throughout the EU around 56 percent of PPPs commissioned between 1990 and 2016 related to transport projects.16 Over time, the range of PPP projects has grown to include other public sector projects, such as crèches, schools, universities and prisons. Not all PPPs are equally successful: The part-­ privatisation of the Berlin Waterworks was particularly heavily criticised, after a private holding took on 49.9 percent of its ownership in 1999. Criticism focused on contractual clauses which allowed the holding to influence the appointment of the supervisory board, and issue directions to the executive management. The part-privatisation was further discredited when it was followed by consumer price increases. These were seen as being linked to 28-year yield guarantees offered to owners in 1999.17 This and other cases have made PPP procurement controversial. The debate calls into question whether PPP funding is primarily a means of increasing economic efficiency or whether it serves to conceal public sector spending.18 In 2006, German national and federal state audit offices adopted the principle that public bodies should not choose PPP models for projects they could not fund conventionally, reasoning that subsequent PPP payments were a future burden on the public purse just like interest and redemption payments. The audit offices further stated that the

viability of each PPP project should be examined in detail throughout the entire contract period and life cycle .19 In September 2011 the German national and federal state audit offices published a report on the cost effectiveness of PPPs in which they evaluated 30 projects with a total volume of € 3.2 bn. They concluded that the principles formulated in 2006 were not being given enough attention.20 The audit offices further warned that PPP should not be used to circumvent constraints on taking on new debt, and criticised that services were withdrawn from market competition for long durations by committing to private partners for 30-year periods. In summing up, the audit offices described PPPs as a value-neutral procurement alternative to conventional construction and funding models, but demanded that the advantages over conventional public sector procurement should be object­ ively and transparently demonstrated on a case-by case-basis.21

Neighbourhood development There are two basic models for PPP in neighbourhood development. In the first model, private businesses or investors deliver urban infrastructure, buildings and spaces on a one-off basis. The second PPP model sees private enterprise commissioned to provide or operate services for several years. One of the possibilities to tie in private businesses or investors on a one-off basis is to include them in an urban development company which is developing a neighbourhood. This extends a conventional neighbourhood development vehicle to include private enterprise as well as public bodies as shareholders of the limited company. In most cases, the public sector retains the majority share in order to secure project control. The EGP Gesellschaft für urbane Projekt­ entwicklung GmbH in Trier is an example of this type, with both the city and private businesses holding a share.

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3.4 — Project-specific Implementation Strategies

Infrastructure and services The collection and sorting of waste around Berlin’s Potsdamer Platz is one example of private enterprise getting engaged in neighbourhood management (see pp. 228ff.). Waste from businesses and private households in the neighbourhood is collected in a central facility beneath Potsdamer Platz. The company operating the service has installed plants to sort and quantify materials by type and prepare each material flow for subsequent transport. The machinery in use is provided by the company and will remain in its ownership even after the end of the contract. Employees collecting, sorting and removing the refuse are employed by the private company rather than by the City of Berlin.

Business Improvement Districts Urban or Business Improvement Districts (BID) present a further opportunity for private enterprise to take on a role in a neighbourhood’s development. The concept was first conceived for Bloor Village West in Toronto, Canada in 1970. Businesses located within a certain area club together to fund improvements to make it more attractive. These improvements are aimed at increasing the amount of time and money passers-by spend there. To set up a BID, a group of landowners must group together to ask local government to issue an order requiring all of the landowners within a given area to take a financial share in planned measures. A hybrid model, both voluntary initiative and state-imposed levy, the BID is sometimes also described as “voluntary self-taxation”.22 In Germany, it is up to federal states to lay out the framework for setting up BIDs. This has not yet been implemented by all of the federal states. The

frameworks which do exist require a minimum number of landowners to agree to the funding and the planned measures, as well as local government support for creating a BID. The City of Hamburg has taken a leading role in setting up BIDs in Germany. A first example, the BID Neuer Wall (Fig.3) was set up in 2005 and plans to spend € 13 m on marketing and public realm design in three phases up to 2020.23 Neuer Wall is one of Hamburg’s most exclusive shopping areas. It would be difficult for the city government to justify spending public money on improvements in this area, rather than in socially disadvantaged neighbourhoods. In such cases, BIDs provide landowners with an opportunity to shore up the value of their real estate to mutual benefit. Landowners can invest in their direct vicinity, where public funds are not available or where local government has to set other spending priorities.

Fig. 3

Fig. 3  BID Project Neuer Wall, Hamburg (DE)

Disadvantages to the BID model include the likelihood of landowners passing added costs on in rents and thereby increasing the financial burden on tenants. In individual cases, this may pose a threat to the survival of smaller or financially less profitable businesses. This can contribute to a profound change in the structure of local retail. From local government’s point of view, BID members make a voluntary additional contribution to neighbourhood development, but BIDs circumvent the democratic process for allocating tax-based funding according to neighbourhood or city-wide priorities. In summary, it can be said that local government planning must focus on the long-term public good in formulating strategic approaches to neighbourhood development which justify the use of public funding. This requires a process of carefully balancing the interests of the different stakeholders. Continually, and with increasing intensity, public sector stakeholders are required to engage in dialogue with other stakeholders in order to ensure that their approach is appropriate and democratically endorsed.

22  Kreutz / Krüger 2011 23 www.hamburg.de/ bid-projekte/4353324/ bid-projekt-neuer-wall/ (accessed 21.01.2018)

C H A P TE R 4

Tools

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4.1 — Computer-aided Design Tools

4 .1

Computer-aided Design Tools Ma r t in Al tmann, Ste p han Anders

S

ome of the numerous available computer-aided planning tools are presented in more detail in this chapter. Basically, the tools differ depending on their intended use, in terms of the functionality and the design scale for which they were developed (Fig. 1, p. 202 ). We will focus first on design and delivery tools, and then move on to simulation, visualisation and decision-making tools as from page 206.

Computer-aided design (CAD) Computer-aided design (CAD1) is now established in almost every architecture and planning practice and is an integral part of everyday working life. CAD offers various specialist extensions for urban planning use, e.g. in implementing labelling standards, automatically generating keys, capturing areas, and calculating urban development data such as footprint ratio, plot ratio, or cubic volume per square metre.2 Today’s CAD programmes also offer various interfaces for teamwork and for exporting drawing data to software for budgeting, scheduling and structural engineering software. Usefulness for planning neighbourhoods: Pure CAD programmes have one major disadvantage in that they do not allow drawings to be linked to relevant calculations, specifications and costs. This means that every minor change must be tracked in all documents, which is very laborious.

This in turn makes planning complex, expensive and prone to errors. On the other hand, CAD programmes – combined with graphics software – can be used to test designs and generate visualisations quickly. This makes them particularly suitable for the early design stages.

Building Information Modelling (BIM) BIM stores building geometries and available building data such as cost, emissions, delivery schedules and components’ tender specifications in a central model. The information is always up to date and can be called up by all members of the planning team at any time (Fig. 2, p. 202 ). Changes to one parameter thus directly impact on quantities, costs and dates. In future, BIM technology will also offer the potential to automatically generate optimum parametric 3D models in terms of cost, emissions and thermal comfort. BIM is set to develop towards mapping building’s diverse sustainability requirements, such as energy efficiency, comfort, biodiversity and accessibility in virtual building models. The “BIM-based Integral Planning” project at KIT in Karlsruhe is one example of this. The project aims to develop normalised interfaces to connect LCA tools with BIM m ­ odels. This should make it possible to automatically generate Life Cycle Assessments (LCA) from BIM models. BIM models may be able to help simulate and evaluate other sustainability requirements automatically in future.

1 Bucerius et al. 2005, Vol. 2, p. 530 2  Pflüger 2000, p. 41

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Chapter 4 — Tools

Project management software

Architecture Geo-information systems (GIS)

Social Science

Structural engineering

3D-GIS Client

Building information modelling (BIM)

BIM

Energy technology

Computer Aided Design (CAD)

Building

Neighbourhood

City / Region

Fig. 1

Fig. 2

3  Döllner 2007, pp. 2ff. 4  ESRI 2009

Fig. 3

Fig. 4

Facility management

There are also initial approaches to using digital models to manage schedules and budgets at the neighbourhood level. For example, the need for social infrastructure and subsidised housing can be allocated in terms of space and time, based on development density. Data on planning, schedules and profitability can be connected by direct import/export. Results can be visualised in 2D and 3D. Usefulness for planning neighbourhoods: BIM technology is designed for the design of buildings and of limited use in neighbourhood design. Hopefully, tailored software solutions will soon be developed for urban planning, combining the advantages of BIM with geographic information system (GIS) data at the appropriate scale.

Geographic Information Systems (GIS) Geographic Information Systems (GIS) are computer-aided tools to capture, store, analyse and visualise spatial data. GIS allows digital maps such as road, city or hiking maps to be combined,

Lighting design Construction management

cross-referenced and analysed with other data sets such as names, geometries, uses or soil types. For example, GIS can help local governments manage brownfields, businesses identify ideal locations for new distribution centres, or researchers analyse the relationship between land fragmentation and biodiversity. Aside from presenting information in two dimensions, three-dimensional information (3D GIS, 3D urban models) and open source and online GIS (e.g. Google Earth, Bing Maps) are becoming more significant for urban planning. 3D city models are regarded as the key to making the immense daily urban data streams accessible for a wide range of uses. For example, scientists at the University of Potsdam are working on bundling complex geodata from various sources and visualising it for specific tasks.3 In future, these kinds of complex 3D city models, and the information they contain will need to be made more manageable and easier to use for urban design. The idea of “geodesign” is to unite geographical information with active urban design.4 This allows planners to simulate different options during the design process in order to identify the optimum design. In addition to traditional design uses, GIS systems allow for the generation and structured transfer of data which developers use to control overall project timescales and budgets. Relevant marketing data or qualitative information such as

203

4.1 — Computer-aided Design Tools

Fig. 5

Fig. 6

target groups, procedures, prices, social infrastructure and timescales can be depicted in maps and reporting systems in order to provide a basis for committees’ and politicians’ decision-­making processes. So-called GIS connectors can map database interfaces. Managers and consultants already use this function to control urban developments in a transparent way. Uses: GIS has established itself in many fields thanks to its universal applicability. These include: •• Local governments / surveying and land regis­ try (real estate, utility and transport grids, supply and disposal infrastructure, green space design, construction materials, e-government portals)5 •• Urban, regional, traffic, landscape planning, and civil engineering (e.g. environmental impact assessments, detailed geodata, spatial decision support tools6, analysing spatial structures, planning major events, constructing traffic routes, improving motorway or pipeline routes)

Fig. 7

•• Information, communication and consult­ ation (e.g. presenting urban development plans, Solaratlas Berlin (Fig. 4), inter­active landscape design7, visualising urban development) •• Protecting nature and the environment (e.g. nature conservation and environmental information systems, hazardous substances, geoecology) •• Managing safety, civil protection (e.g. evacu­ ation plans, early hurricane detection)8 •• Research (e.g. archaeology, information systems for sustainable land use9, embedding knowledge in 3D city models10, visualising data in emotional city mapping, mapping patterns of movement in urban space, mobile phone maps) •• Geomarketing / location-based services (e.g. location-based advertising/information, locating friends by mobile phone, mobile work time sheets) •• Forestry and agriculture •• Criminology (e.g. crime maps) •• Aerospace and space exploration

Fig. 1  Computer-aided tools and their uses Fig. 2  Connections between project players in BIM Fig. 3  UrbanSim software Fig. 4  Solaratlas Berlin, 3D-GIS application Fig. 5  3D model of San ­Francisco (US) generated with the Autodesk InfraWorks software 2014 Fig. 6  CommunityViz ­software Fig. 7  Plug-In Grasshopper – Generative modelling for Rhino 3D

 5  Heins / Kirchner 2009, p. 1  6  Herzig 2007  7  Oppermann 2008, p. 1  8  Khemlani 2005  9  Flacke 2004 10  Falquet /Métral 2005, p. 23

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Chapter 4 — Tools

Fig. 8  CityCAD software Fig. 9  Kaisersrot project: automated modelling and improvements for solar gain, Grünhof building, Zurich (CH) Fig. 8

CityCAD

The parametric CityCAD software allows the holis­ tic analysis of urban designs in early planning stages. To this end, specific cost, energy or water demand values are assigned to each neighbour­ hood building block (e.g. buildings, streets, paths or trees), which can then be visualised (Fig. 8). Designers can thus directly see the effects of their design moves on selected indicators and improve the design accordingly. Usefulness for planning neighbourhoods: Even if CityCAD can only provide approximate results, which do not take more complex inter­ actions into account, the software provides an interesting functionality for urban design, because it fills the gap between BIM for buildings and GIS for urban and regional planning.

•• Tourism and real estate management •• Advising investors, location planning, spatial market analyses, economic development •• Managing development projects’ timescales and budgets (construction phasing strategies, marketing strategies, reporting, interfaces to economic planning) •• Navigation / logistics (e.g. optimising routes) •• Telecommunications, satellite image moni­ toring Usefulness for planning neighbourhoods: Within the complex topic of sustainable urban and neighbourhood planning, GIS systems’ varied uses make them an important tool for the ana­ lysis of existing structures and the design of new neighbourhoods. However, developing GIS into neighbourhood data models offers the greatest potential.

Kaisersrot projects

The so-called “Kaisersrot” projects pursued by Ludger Hovestadt and his team at ETH Zurich demonstrate the potential uses of parametric plan­ ning and optimisation tools. The spectrum of projects ranges from improving floor plans in terms of natural lighting (Fig. 9), improving exhibition layouts and structures, virtu­ ally reallocating building land, engaging residents in consultation processes, to the automated gener­ ation of initial urban development designs based on existing topography, user demands and soil conditions.

11  Randolph et al. 2010 12  Döllner 2007

Parametric planning tools Compared to CAD or GIS systems, parametric planning tools offer the advantage that 3D models automatically adapt to change to design-relevant variables. Combined with modern simulation tools, parametric planning tools can help improve existing 3D models, e.g. with regard to solar gain or use requirements (Fig. 9). This could form the basis for neighbourhood information models similar to BIM models at the building level. It could also include data on roads, green

Fig. 9

and open spaces, traffic and other infrastructure. There are so-called CIM (City Information Modelling) research approaches which supplement GIS technology with additional planning information (3D GIS, GeoDesign), but these initial approaches are still far from operative use as a planning tool such as BIM is for buildings. CIM was used in the Urban IT Project at the University of New South Wales in Australia11 and in research by the Hasso Plattner Institute at the University of Potsdam, in order to visualise complex 3D CAD, BIM and GIS system geodata in a 3D city model.12 Example uses for parametric design tools include: •• Creating 3D urban models according to specific rules, such as those already used in the film industry •• Visualising abstract urban design rules •• Improving urban development models, e.g. in terms of land use or mutual shading between buildings •• Integrating and visualising residents’ wishes Tools/software: In addition to urban design programmes, software is also available to programme specific solutions. Examples include: •• CityCAD (www.holisticcity.co.uk) •• Modelur (www.modelur.com) •• CityEngine (www.esri.com/software/city­ engine) •• Rhino Grasshopper (www.grasshopper3d.com) •• Processing (www.processing.org) Usefulness for planning neighbourhoods: Parametric planning tools are currently mainly used in research and occasionally applied to ambitious architectural projects. Nevertheless,

205

4.1 — Computer-aided Design Tools

they represent a promising possibility to improve urban design in terms of sustainability when they are combined with modern simulation tools. 3D city models can also help explain the effects of changes to planning laws, such as the maximum permissible plot ratio or minimum boundary distances to a broad public.  SA

Project management software The most important uses for project management (PM) software in urban development and construction are large, complex and long-term projects. In addition to monitoring budgets and timescales, PM software offers the opportunity to support, coordinate, and document decisions throughout all project stages – even when the individuals involved change. Many applications include forecasting and risk assessment modules in order to help prevent unclear responsibilities, escalating cost and delays. Professional software programs are supported by databases and servers to provide clear structures and data security. Data can be accessed at any time and can be allocated project-based access rights. Systems often feature an interface to business-specific systems. Project management programmes include: •• MS Project (www.microsoft.com) •• Project Communication Management – PKM (www.conclude.com) •• Oracle Primavera (www.oracle.com)

Usefulness for planning neighbourhoods: Neighbourhood and urban development project needs vary greatly depending on the developer and the project scale. Developers who deliver buildings as well as the neighbourhood as a whole need to coordinate, control and monitor all of the involved trades over a long period of time. Professional software facilitates complete documentation. In addition to the actual construction task, overall planning processes help deliver infrastructure and fulfil planning requirements and building regulations. Thus, the number of intersections with relevant planners and authorities constantly varies throughout successive project stages. In each case, software tools help control and minimise risk in terms of economic, legal and time objectives. Comprehensive project analysis and clear project organisation help select the necessary tools.  MA

Summary Designers have far fewer software solutions at their disposal for neighbourhoods than for building or for urban and regional planning. Some programmes are too detailed whilst others are too inaccurate to be used for neighbourhood planning. The further development of tools for the neighbourhood level would be helpful. In particular, BIM and parametric tools are promising technologies which enable experts from different areas to work together on a 3D model at the same time in an integrated way, saving time and money in finding well thought-out and sustainable solutions.  SA

Further information

•  Eastman, Chuck et al.: BIM Handbook. A Guide to Building Information Modeling for Owners, ­Managers, Designers, Engineers and Contractors. Hoboken NJ 2011 •  Garber, Richard (ed): Closing the Gap. Informa­ tion Models in Contemporary Design Practice. Architectural Design. New York 2009 •  Krygiel, Eddy, Nics Bradley: Green BIM. Success­ ful Sustainable Design with Building Information Modelling. Chichester 2008 •  Eisenberg, Bernd; Brombach, Karoline: Geoinfor­ mationssysteme in der Stadt- und Landschafts­ planung. In: Lehrbausteine Städtebau. Basiswissen für Entwurf und Planung. Bott, Helmut; Jessen, Johann; Pesch, Franz (eds). Städtebau-Institut Stuttgart, 2010, pp. 353–366 •  Höffken, Stefan: Google Earth in der Stadt­ planung. Die Anwendungsmöglichkeiten von ­Virtual Globes in der Stadtplanung am Beispiel von Google Earth. Institut für Stadt- und Regional­ planung, TU Berlin, 2009 •  Wilson, John Peter: The Handbook of Geo­ graphic Information Science. Malden MA 2008 •  Liebchen, Jens H.: Bau-Projekt-Management Grundlagen und Vorgehensweisen. Wiesbaden 2010 • www.entwurfsforschung.de • www.kaisersrot.com

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4.2

Simulation Ste p han Anders, Jürgen Baumüller, Sigrid Busch, Gre gor C . Gra s s l, Jürgen Laukemper, Antonel la Sgobba, Bas t ian Witts tock

S

imulation is the practice of using models to imitate real process­ es. The quality of simulation results strongly depends on the underlying model (Fig. 2). This does not necessarily mean that more complex models provide better results, but it is import­ ant to select the current system-relevant param­ eters and calibrate the system properly. 1 Ehorn-Kluttig et al. 2011

When describing complex systems, the com­ puting power required for simulation increases exponentially the more complex the model is. Therefore, most models are limited to simulating only a partial aspect of the real world (energy, traffic, noise, urban climate, etc.). Although there are the first software solutions for the building sector that simulate various aspects in parallel, these can only be used to a limited extent at the neighbourhood level. For the planning of sustainable neighbourhoods, a suitable simulation tool must be selected, depend­ ing on the problem, which quickly leads to reliable results and can therefore be used effectively in the respective planning process (Fig. 1).  SA

Simulating energy Various tools are available for simulating optimum energy performance in new and refurbished cities and neighbourhoods. However, the currently avail­ able energy simulation programmes hardly do full justice to the complexity of the topic. Generally, they very selectively address individual energy issues, such as buildings’ heating demand (Fig. 3), passive and active solar gains, or simulating grids or systems.1 This can be fixed by combining vari­

ous planning programmes have or using research programmes. The following three points must always be clar­ ified in advance: •• Scope of energy flows •• Energy effect boundaries •• Simulation level The first issue to address is to identify which neighbourhood energy flows should be consid­ ered. Depending on the type of neighbourhood, a distinction is often made between heating, cooling and electricity demand to be defined in detail. For example, production-dependent process cooling may be required in industrial areas. Electricity demand is gaining significance, and it is necessary to specify precisely whether items such as e-mobility, infrastructure facilities or street lighting are taken into account. The next step is to identify boundaries for simu­ lating neighbourhood impacts, defining gener­ ation, distribution and consumption or demand, in spatial terms. Demand must always relate to the defined neighbourhood boundaries. How­ ever, generation facilities such as wind turbines are taken into account where they relate directly to the neighbourhood, even if they are located outside it. Networks must be simulated in close coordination with the prospective operator. Local heating networks are relatively easy to simulate, but many external conditions gain relevance when they are connected to large higher-level networks. This may only allow a simplified analysis. Finally, the level of simulation must be defined. This requires a model of the urban neighbour­ hood and a variety of parameters, usually meas­ urement data collected hourly throughout a one-year period. The model should include building volumes, topography and landscaping. Parameters must include weather data records

207

4.2 — Simulation

Integrated simulation LEGEP, ECOTECT Analysis, TAS Energy simulation TRNSYS, EnergyPlus

SolCity, GOSOL

ECORegion, MESAP PlaNet, TIMES LOKAL, PERSEUS, POLIS, deeco

Life-Cycle Analysis SimaPro, SBS, GaBi, BASIS, GEMIS, KEApolis, LEGEP, eLCA

Material Flow Analysis UMBERTO, GaBi

Pedestrian simulation PTV Viswalk

Traffic simulation PTV VISSIM, IRPUD, MATSim, Aimsun, Corsim

Noise simulation EASE

SoundPlan, CadnaA

IMMI, FLULA

Urban climate ENVImet, ­MetPhoMod

CFD Simulation, Fluidyn PANAIR, MISKAM Spatial contexts UCL Deothmap, depthmapX, AJAX, Confeego Buildings

Neighbourhoods

Cities / Regions

Fig. 1

and relevant building data. User profiles capture different groups’ habits in terms of energy, such as when they are present. Traffic data or production process data can be just as informative. To date, there is no single software to map both the simulation level and the extents of the neigh­ bourhood’s energy flows. As a result, various soft­ ware tools are combined to simulate a neigh­ bourhood comprehensively. This makes is very important to define objectives very clearly. An accurate simulation must combine the underlying parameters (e.g. outside temperature) with the rele­vant geometry (e.g. building with windows) and the corresponding physical properties (e.g. heat loss through the wall and heat input through solar radiation, heat storage through components, etc.) in as much detail as possible (measured hourly), and map the results as data sets or graphs, usually over a period of one year. Simulations which accurately calculate only two of these three points (parameters, geometry or physical prop­ erties), for example by using overall grid length instead of exact geometry to simulate local heat networks, are described as simplified simulations. Simulations which use a simple factor to capture two of the three above-mentioned properties are described as extremely simplified simulations. Where all three properties are simplified, it must be pointed out that the neighbourhood simulation only addresses the relevant aspect on the basis of key data without simulation. Neighbourhood energy simulations should be geared to meet individual project demands and should be carried out at an early stage. As no rec­ ognised standards are currently in place, scope, boundaries and level of analysis must be coordin­ ated precisely in advance of the simulation. The simulation takes into account the individual pro­ ject geometry, the site-related project framework data and the exact physics of the components used. Detailed climate and weather data, and

Fig. 1  Simulation tools according to their field of use Fig. 2  From real systems to models as a basis for ­simulation and subsequent evaluation Fig. 3  GOSOL software for simulating neighbourhood heating demand

computer-supported 3D urban development models have now become standard, so that simu­ lation can today generate a major knowledge gain with reasonable effort.  GCG

Material flow analysis and life-­ cycle analysis Simulation tools are applied to neighbourhood planning based on tried and tested method­ical analyses. Material Flow Analysis (MFA) is a method for investigating and representing mate­ rial movements within a value chain. Generally, this analysis takes all of the relationships between supply, trade, processing and storage of one indi­ vidual material into account (Fig. 4, p. 208).2 Other closely related methods to examine and describe various material flows3 are Substance Flow Analysis – SFA, which focuses on individual substances or chemical elements, or material intensity per service unit (MIPS).4

Real system Abstraction

Model

Calculation Improvement

Evaluation Fig. 2

The Life-Cycle Assessment (LCA) method ana­ lyses material and energy flows in order to iden­ tify products’ environmental impacts throughout their life cycle (see Material Flows, pp. 108ff.). For example, using energy from fossil sources generates emissions with a range of environmen­ tal impacts (e.g. greenhouse effect, ground-level ozone, acidification of soils, over-fertilisation of surface waters, etc.). Each of these emissions is thus related to the product in question, or to the function it fulfils.5 Life-Cycle Assessment helps support decision-­ making, e.g. by comparing the environmental Fig. 3

Analysis

Simulation

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Chapter 4 — Tools

demand

design development

waste / emissions

waste / emissions

raw material

recycling

secondary materials production

re-use / recycling raw material

waste / emissions

raw material

used products

recycled products

products

waste

collection

raw material

waste / emissions

raw material collection / sorting

use phase / addressing demand waste

raw material

waste treatment

raw material raw material

waste

land fill / disposal emissions

Fig. 4

impact of two products with the same function, or by highlighting ecological weak points in a product life cycle.6 2  Ilg/Lindner 2011 3  Brunner 2003 4  Schmidt-Bleek 1994 5  DIN EN 15 978 6  DIN EN ISO 14 040 7  BMVBS 2013 8  Ebert 2010 9 European Commission: Single Market for Green Products Initiative. ­Environment Directorate General of the European Commission. http://ec. europa.eu/environment/ eussd/smgp/index.htm (date: 01.02.2018)

Areas of use: Various industries use both material flow ana­lysis and life-cycle assessment to different extents. For example, MFA can show how a certain resource is distributed throughout an urban area and help identify resource shortages and development trends. Life-Cycle Assessment, on the other hand, presents the environmental impacts of an entire process and helps identify which materials or process steps contribute to an environmental impact (e.g. global warming potential) – and to what extent. In the construction sector, Life-Cycle Assessments are well established practice for construction prod­ ucts and buildings – especially for Environmen­ tal Product Declarations (EPD)7 and sustainable building certification.8 The European Construc­ tion Products Regulation (CPR) introduced in 2013 provides the basis for placing construction products on the European internal market. The CPR also refers to the Environmental Product Declaration as an instrument for CE labelling con­ struction products. As a consequence, harmonised European product standards will be extended to include specifications for the preparation of life-cycle assessment calculations in the course of their regular revision. Various circular economy initiatives, such as the European Commission’s Product Environmental Footprint (PEF) initiative are also making increasing use of the Life-Cycle Assessment method. Standardised rules, data and instruments are being developed within the European Commission’s “Single Market for Green Products Initiative” in order to enable all consumer goods on the European market to be evaluated in terms of LCA.9 Material Flow Analysis (MFA) tools/software:

•• UMBERTO (www.umberto.de) •• GaBi (www.gabi-software.com) Life-Cycle Analysis (LCA) tools/software: •• GaBi •• SimaPro (www.simapro.de) •• SBS (www.sbs-onlinetool.com; Buildings and structures only) •• LEGEP (www.legep.de; buildings only) •• eLCA (www.bauteileditor.de, buildings only) Usefulness for planning neighbourhoods: It is difficult to provide universally applicable mod­ els because of the many industries involved in neighbourhood planning, and the multitude of tools and simulations which need to meet spe­ cific demands in use. In future, the assessment and evaluation of neighbourhoods will require simulation models and tools which help make accurate predictions and provide planning support for complex topics. The supply of resources to neighbourhoods and illustrating the flow of materials and substances involved will be decisive for neighbourhood planning. In Germany, Life-Cycle Analysis will become more important for evaluating individual neighbourhood functions thanks to European Union and national government climate protec­ tion strategies. At the same time, illustrating and evaluating substance and material flows is set to provide the foundation for implementing resource protection strategies in a qualified way. Aside from initial applications in the context of neighbourhood certification, MFA and LCA are not yet common practice in current urban neighbour­ hood planning. But even today, these methods can significantly contribute to making environmental quality and the input and whereabouts of resources transparent. It is to be expected that further devel­ opment will deliver tools and instruments which are easier to use, especially for neighbourhood planning.  BW

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Simulating traffic Traffic simulation programmes are indispensable for planning and developing large neighbour­ hoods. They need the following information: •• a matrix of origin and destinations and descrip­ tion of uses, whereby expected traffic volume is much easier to estimate in residential areas than in other areas such as commercial areas (limited predictability of delivery traffic and production type) •• networks for various transport modes •• location and amount of the parking lots •• currently preferred means of transport in existing areas •• anticipated public transport offer Simulations can demonstrate: •• the choice of transport mode, i.e. the share of each mode of transport (modal split); the modal split is controlled by pressure on park­ ing spaces •• the routes on offer (tracks, lanes, cycle paths, traffic lights) and public transport offer (quan­ tity, frequency) •• the traffic load on individual traffic routes (choice of route) throughout the day or dur­ ing peak hours •• how traffic is distributed over a given area The main area of inaccuracy lies in predicting new neighbourhoods’ development. It is therefore necessary to use scenarios to determine different impacts or react to results in areas marginal to indi­ vidual modes of transport (e.g. if two-lane roads need to be expanded to four lanes, or if predicted passenger numbers are at the threshold of eco­ nomic viability for rail rather than bus transport). Transport simulation tools/software:

•• •• •• ••

MATSim (Multi-Agent Transport Simulation) VISSIM (multi-modal transport simulation) Aimsun Corsim

Current simulation programmes have only limited ability to map parameters which ease the transition from one mode of transport to the other, such as the real-time effects of traffic guidance systems. However, future programmes should be able to reflect other systems such as car sharing, car2go or control systems in real time, even if these cur­ rently play only a minor role in comparison to other parameters. Transport simulation programmes can also test measures to regulate traffic, especially individual traffic. For example, these can simulate the effects of planned new traffic lights and traffic restrictions, such as road closures, speed restrictions or various levels of parking space provision. Simulation shows how traffic spreads across other areas intended to remain free of through traffic, unless for example the roads are categorised. This allows measures and effects to be examined effectively within neighbourhood planning.  JL

Fig. 4  Material flow analysis to present product life-cycle issues Fig. 5  Multimodal transport simulation with VISSIM software

Fig. 5

Simulating noise Since the mid-1980s, various digital tools available on the market have enabled users to draw on exist­ ing data bases to calculate, analyse and display the distribution, reflection and absorption of sound from specific sources. This allows designs to be improved in terms of noise distribution and impact – even for urban development planning. Simulation results can be displayed from the building to the urban scale, such as in noise maps according to EU environmental guidelines.

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Software

Area of use Noise simulation

Area of use Distribution of air pollution

SoundPlan

•  Noise from trade and industry •  Noise from road traffic •  Noise from rail traffic •  Calculating air traffic noise

Software module “SoundPlan Luft”

CadnaA

•  Noise from trade and industry •  Noise from road traffic •  Noise from rail traffic • Calculating air traffic noise (with added module “Option FLG”) 

Added module “Option APL”

IMMI

•  Noise from trade and industry •  Noise from road traffic •  Noise from rail traffic • Calculating air traffic noise (with added module “IMMI-Fluglärm”)

Added module “IMMI Luftschadstoffe” (Air pollutants)

FLULA 2

Calculating air traffic noise only

Fig. 7

Fig. 6

Examples of noise simulation software are shown in Fig. 7. Some of the software solutions are suit­ able for mapping noise according to EU Directive 2002/49/EC and thus provide an important basis for design measures to reduce noise. During the urban design process, these programmes can also help improve building layout, plan active measures for better noise protection such as noise barriers and walls, and suggest passive noise pro­ tection measures where necessary (see Action Area Emissions, pp. 146ff.). Noise is simulated on the basis of a digital model of a city or urban neighbourhood, imported into the respective programme or generated directly in the programme. Noise emission data must already be known, and can then be linked to the model’s elements: •• Road traffic (average daily traffic) / proportion of heavy goods vehicles / maximum speed /  road surface •• Rail traffic (number of trains / train class and type)

Fig. 8

10  Helbig et al. 1999 11 VRS 2008

Data from industrial estates, sports facilities or car parks can also be entered. Based on this data, noise maps can be generated by interpolating sound levels at calculation points on a predefined grid. Additional receiver points can be placed at building level to identify noise input at a specific point, such as the facade, in detail. This allows any change in the design, or any added active noise protection measure to be visualised and assessed in terms of its effects, both on the noise map in general and on a specific point of impact (Figs. 6 and 8).  AS, SB

Simulating urban climate The city’s specific surface climate must be mod­ elled in order to simulate the urban climate.10 This involves simulating thermal mass, the bal­ ance of radiation, heat produced from human sources, and the unevenness of the urban struc­ ture. Medium-scale and micro-scale models are distinguished according to their resolution. For example, medium-scale models consider settle­ ment structures only parametrically (rather than considering individual houses in detail), whereas micro-scale models require details of building structures. Digital models of elevations and land use are important basics for medium-scale models. Increasingly, results are further processed using geographical information systems (GIS, see p. 202f.). Key results include city-wide maps depicting air temperature, wind speed, cold air flows, bioclimatic loads, air pollution, synthetic wind roses etc. at around 50 m resolution. This modelling also allows statements to be made about future development, which is important for adapting cities to climate change.11 Results are often summarised in climate atlases or climate analysis maps, and developed for planning advice maps. Available models can be applied to a wide variety of urban development and planning issues. Unlike medium-scale diagnostic models, microscale models with resolutions of around one meter (Fig. 10) need predictive approaches. This

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Fig. 9

requires the solution of complex motion equations (Navier-Stokes equations), which lead to long computing times at high resolution. Although this limits these models’ spatial scale, they never­ theless play an important role in neighbourhood planning.  JB

Space Syntax method Space Syntax is a method for the analysis of spatial relationships. These can include the accessibility or centrality of streets, patterns of movement in urban space, the integration or segregation of urban spaces, the visibility of spaces, or building plot sizes etc. Developed by Bill Hillier and Julienne Hanson at UCL’s Bartlett School in London during the 1970s, the method has since been used worldwide for spatial issues at the scale of the individual building, the city and the nation. Compared to other simulations, Space Syntax can be performed with little effort, does not require in-depth expert knowledge or large computing capacities, and it is available free of charge. This makes space syntax attractive for many software applications. Areas of use: The Space Syntax method can help analyse urban places and simulate visitor flows in order to identify the most frequented points and draw conclusions for planning. Moreover, the analysis

of urban paths and networks helps identify loca­ tions which are particularly easy to reach from others (Fig. 9). For example, it is possible to find attractive and well-attended retail locations. Space Syntax can also be used to analyse which wall surfaces are particularly visible from other locations within a building or neighbourhood. This can provide the basis for signage concepts or adverts. Space Syntax can be used in the following pro­ grammes: •• UCL Depthmap (original) •• depthmapX •• AJAX •• Confeego (plug-in for MapInfo Professional GIS)

Fig. 6  24-hour noise map for road transport in Stuttgart (DE), weighted for daytime, evening, and night-time ­levels Fig. 7  Examples of noise simulation software Fig. 8  Noise simulation for a student neighbourhood design project using CadnaA software Fig. 9  Space Syntax analysis of accessibility for Munich (DE) Fig. 10  Micro-scaled urban climate analysis of Frankfurt am Main (DE) using EnviMet software

Usefulness for planning neighbourhoods: The method is not uncontroversial in scientific discourse because it massively simplifies com­ plex contexts, but it can make an important contribution to the more sustainable design of cities and neighbourhoods, especially during the early design stages when other simulation tools are simply too complicated, or the data is insufficient. Due to the fact that Space Syntax simulation neglects a large number of issues however, its results must be critically examined and debated.  SA

Fig. 10

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Integrated simulation Further information

•  Beckenbach, Frank; Urban, Arnd I. (eds): ­Methoden der Stoffstromanalyse. Konzepte, ­agentenbasierte Modellierung und Ökobilanz. ­Marburg 2011 •  Katzschner, Lutz; Campe, Sabrina; Kupski, Sebastian: Innenraumentwicklung in Frankfurt am Main unter Berücksichtigung stadtklimatischer Effekte. Maßnahmen zur Minderung der Wärme­ belastung in verdichteten Räumen. Fachbereich Architektur, Stadtplanung, Landschaftsplanung, Universität Kassel, 2011 •  Klöpffer, Walter; Grahl, Birgit: Ökobilanz (LCA). Ein Leitfaden für Ausbildung und Beruf. Weinheim 2009 •  Schnabel, Werner; Lohse, Dieter: Grundlagen der Straßenverkehrstechnik und Verkehrsplanung. Bd. 2: Verkehrsplanung. Berlin 1997 •  Steierwald, Gerd; Künne, Hans-D.; Vogt, Walter: Stadtverkehrsplanung. Grundlagen – Methoden – Ziele. Heidelberg 2005 •  VDI-Richtlinie 3787, Blatt 2: Umweltmeteoro­ logie. Methoden zur human-biometeorologischen Bewertung von Klima und Lufthygiene für die Stadt- und Regionalplanung. Teil I: Klima • www.staedtebauliche-klimafibel.de • www.citygml.org

In future, more and more integrated simulation tools will be required to do justice to the com­ plexity of planning sustainable neighbourhoods. These allow interactions between buildings such as mutual shading, or long distance pipeline losses in power grids, or technical supply and disposal infrastructure to be analysed holistically. Single-­ purpose neighbourhood simulation tools geared towards solar optimisation lead to more contro­ versial, monotonous urban development, such as purely south-oriented compact terraced buildings. Tools/software: Product development of an integral 3D simula­ tion model to combine all of the essential areas such as energy, mobility, material flows, noise and urban climate is still in its infancy and can be compared with BIM models for buildings. The variety of neighbourhood planning tasks leads to a corresponding range of required functions. Future-proof simulation tools should meet the following four basic requirements: •• Sustainability, i.e. the holistic, integral approach to energy, water, transport, etc. •• City, i.e. mapping interactions between indi­ vidual buildings in spatial terms •• Information which is detailed and linked to specific locations (e.g. climate data sets, U-values for components, traffic volumes etc.) •• Model of the specific urban design in 3D

Tools meeting these requirements are called SCIM tools. The restructuring of energy infrastructure is making the issue of electricity demand more important. It is becoming apparent that energy simulation programmes available to date essen­ tially only take the solar thermal energy balance into account, whereas integrated simulation programmes can also include energy production in buildings and traffic flows with e-mobility as a possible use for renewable energy. Data processing is becoming easier and easier thanks to geoinformation systems and the use of 3D building data (CityGML; Fig. 14). Combining databases, data sets, designs and 3D models with new simulation tools helps further develop cur­ rent simulation programmes. Data can be used for subsequent monitoring. To date, work on such complex models has only been carried out by experts using software they have developed themselves. It is only a matter of time before major providers make new tools available. Examples of integrated simulation tools: 12 •• Ecotect Analysis (Autodesk) •• Thermal Analysis Software – TAS (Environ­ mental Design Solutions Limited) •• Dymola-Modelica: open, object-orientated model language, often a basis for SCIM approaches (Dassault Systems) •• EnergyPlus: combines DOE-2 and BLAST building simulation programmes (supported by US Department of Energy) •• Virtual Environment Pro (VE-Pro): includes interface for individual LEED real estate certification requirements (Integrated

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4.2 — Simulation

Fig. 11  Electric vehicle as a virtual power plant Fig. 12  Analysis of solar radiation on building facade using Autodesk ECOTECT Fig. 13  Simulation visual­ isation for solar gain in neighbourhood buildings Fig. 14  Levels of detail for CityGML data Fig. 12

­Envir­onmental Solutions Limited) •• Transient System Simulation (TRNSYS): well-established in German market, can be further developed for SCIM simulations (Uni­ versity of Wisconsin in Madison) The simulation tools listed above share the char­ acteristic that they are much closer to reality than usual data-based planning approaches. This makes it possible to react to problems at an early design stage. To date, excellent CO2-neutral and energy self-sufficient neighbourhoods have generally been calculated on an annual balance sheet. But even these neighbourhoods cannot do without connection to the public grid, since renewable electricity from sun and wind is generated with a time delay to demand, and there is currently no realistic storage option. Converting to a renewable energy infrastructure makes it all the more import­ ant to use simulations to identify peaks early on in order to help plan compensating measures such as using storage technologies or integrating electric mobility (Fig. 11). Beyond the technical component of planning, simulations are an important tool to create quality of stay. Wind speed, temperature, radiation con­ ditions and humidity are important factors influ­ encing perceived temperature and thus influence people’s well-being in neighbourhoods. In addition to assessing these thermal or bio-­ climatic conditions 13, further comfort issues such as noise or traffic volume must also be simulated very precisely during the design stage in order to avoid surprises when building work is completed and neighbourhoods are occupied.  GCG

Fig. 13

LoD 1:  City models using topography with buildings as cubes with flat roofs.

Summary Using simulation tools in urban planning practice usually requires comprehensive external know­ ledge. Integrated simulation tools, which take several issues into account and which are easy to use alongside the planning process, would be helpful for neighbourhood planning in future, because they can provide information relevant to early design stages and thus prevent costly and undesirable development.  SA

LoD 2:  Including precise roof shapes

LoD 3:  Including differentiated facades with openings and closed surfaces (simply applying facade elevations does not match LoD 3) Fig. 14 12  Münzner 2012 13 Guideline values in VDI-Richtlinie 3787 Blatt 2

CityGML

CityGML (City Geography Markup Language) is a standard file format for representing, storing and exchanging virtual 3D models of cities and land­ scapes. It makes it possible to describe items such as the terrain, buildings, water and traffic areas, vegetation, urban furniture and land use in a uni­ form way. In addition to visualising 3D models, CityGML can be used for a wide variety of tasks such as environmental simulations, identifying energy demand, urban facility management or pedestrian wayfinding. Urban 3D models present different levels of detail (LoD grades 1- 3). LoD 1 models (simple cubes) are now available almost everywhere. LoD 2 ­models (cubes with actual roof shapes) are also widespread, whereas LoD 3 models featuring exact facades can only be found for individual buildings.

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4 .3

Visualisation Ste p han Anders, Rolf Mes s ers chmidt

I

n this context, visualisation refers to the practice of using two- and three-dimensional images to make often abstract parameters visible and illustrate them in order to evaluate and improve planning. The fields of modelling, simulating and visualising are closely related and difficult to distinguish from each other because each visualisation is based on a simulation, which in turn is based on a planning model. In the following, we will present computer aided tools with a focus on visualisation which have the potential to set new standards in planning and controlling sustainable cities and neighbourhoods.  SA

Graphic overlay tools Graphically overlapping different thematic maps to represent a specific spatial situation (overlay mapping) is a common method for gaining new insights at a higher level of aggregation (Fig. 2). Maps are selected on the basis of the thematic focus in question. For example, one question with respect to environmental planning could be which populations of species are intersected by a road route.1

1  Scholles 2008, p. 324 2  ibid. pp. 330ff. 3  Battle 2001 4  Gaffron 2008; Daab 1996 5  Messerschmidt 1999/2003 6  Daab 1996 7  Scholles 2008

Areas of use: Areas of use range from identifying “residual areas” to superimposing noise maps on current land-use plans. Intersections can also identify deviations from objectives.2 Using these tools can help prepare qualified sectoral sustainability concepts and contribute to

improving the spatial distribution of structurally defining elements (e.g. placing neighbourhood garages, green areas as climate zones or decentralised grey water treatment areas). Above all however, integrating these plans with classic urban design aims can lead to a holistic, multilayered and sustainably oriented overall concept which supports the development of a functioning neighbourhood “metabolism”.3 Method: First, graphic structures are developed for individual sustainability plans and projected on to the planning area independently from one another and from the urban design plan concept. They can then be evaluated and improved by criteria and key indicators.4 Interdependencies and mutual influences between the information presented naturally lead to it being modified (retaining initial key criteria) before being fed back into the resulting design. Visually, individual concepts can be presented as abstract structural graphics, or they can be embedded into a master plan.5 The interaction between individual concepts and the sustainability of the plan as a whole can be evaluated by using information compression techniques to aggregate different indicators according to linking rules in order to support the decision-making process.6 Tools / software: Using light boxes or slides to superimpose analogue spatial information has been replaced by the layer structures of today’s CAD and GIS systems. Technically, there are no limits to computer-aided superimposition – but interpreting the information is a different issue. For this reason, superimposed information should always answer a specific question in a targeted way.7

215

4.3 — Visualisation

Fig. 1  Developing structures by overlaying various struc­ tures and scenarios in Karls­ ruhe Südost (NetzWerkZeug) Fig. 2  Intersecting maps for interpretation Fig. 3  Noise simulation using an interactive VR tool for urban planning Fig. 1

Usefulness for planning neighbourhoods: Graphic overlapping tools support the neighbourhood planning process, help improve the communication of results and ensure that all relevant planning parameters are taken into account in an integrated neighbourhood plan. The inherent complexity of neighbourhood planning can be better managed by first reducing it to develop individual plans, before overlaying them to reconstitute it in an integrated and transparent way.  RM, SA

Virtual and ­augmented reality Virtual reality (VR) refers to representing real­ ity in a computer-generated environment in real time. This technology was originally developed for the military and is now used for various purposes. These include flight simulators, computer-­ aided design and construction methods, and production planning and virtual worlds for computer games. The use of VR goggles and other VR technologies such as CAVEs (cave automatic virtual environments) has become increasingly affordable in recent years. It has now also reached the construction industry, where VR technologies are mostly used to represent the spatial effects and materials. VR technologies are also used for the interactive simulation of pollutant and noise distribution in urban areas (Fig. 3).8 The technology will become increasingly important in the future because of the complex issues involved in planning sustainable neighbourhoods, and the demand for new models of engagement. Unlike VR, Augmented Reality (AR) focuses on

enhancing the existing world with additional information. AR provides the possibility to visualise a planned object (building, street, plant etc.) in the real environment or in a model of its surroundings. AR users can view the object from different perspectives using a mobile device, such as a smartphone, tablet PC, or AR goggles etc. The possibility of selecting different planning options and comparing them to each other helps lay ­people to experience and evaluate a planned object’s impact. Moreover, AR goggles provide building workers with the possibility of visualising information from a 3D model – such as wall positions and cable routing – by superimposing it on the built object, on site. It is also feasible for architects or master craftspeople to demonstrate something to workers on site without being there themselves. This lends AR technology great potential, especially with respect to informing and engaging residents.

Ground B A

Vegetation 1

2

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1– B 2– B

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8  Schubert 2004

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Fig. 4  “In the Air”, visualising invisible microparticles in the air, Medialab-Prado Fig. 5  Potential urban heat effect (Urban Heat Island) in Singapore, developed by combining energy demand and local wind speed in realtime, Screenshot (MIT Senseable City Lab Fig. 6  City Cockpit, Siemens Fig. 7  Control centre, Rio de Janeiro (BR) Fig. 4

 9  Jander et al. 2010, p. 22 10  Spudich 2012 11 www.intheair.es 12 www.valuelab.ethz.ch

Fig. 5

Fig. 6

Data analysis, real-time ­simulation and visualisation Cities generate vast amounts of unstructured data every second: statistical data from public administration, data from traffic and infrastructure, measurement data from sensors, data from GPS devices and mobile phones, text and video data, data from financial transactions, and so on. This data volume is expected to double every one and a half years.9 Companies and renowned research institutes hope that real-time data ana­ lysis, simulation and visualisation will provide them with important information immediately. Carlo Ratti, Director of the SENSEable City Lab at the Massachusetts Institute of Technology (MIT), explained an example of this in a 2012 interview: “The analysis of data volumes [...] [can] help control social processes. Traffic information, for example, which results from movement data from numerous mobile phones: For instance when major events in cities come to an end, people turn on their cell phones and make phone calls or use data services. This makes it possible to send more taxis and public transport to such hotspots.”10 Ratti and his team also developed a project to estimate Singapore’s potential urban heat effect

by analysing real-time energy sector data and local wind speed (Fig. 5). The Medialab-Prado “In the Air” project in Madrid is another example of using real-time data for analysis.11 In this study, micro-components in the air (such as gases, particles and pollen) invisible to humans were measured and visualised in real time, and their interactions with other urban parameters analysed (Fig. 4). Researchers at ETH Zurich initiated the Value Lab, an interdisciplinary platform for sustainable urban planning.12 This is a laboratory which is equipped with five large touchscreens to enable parallel simulation and visualisation of urban planning options. The idea is that an interdisciplinary planning team can work together to develop different planning options during a workshop, simulating and discussing their effects on traffic, urban climate and so on. The laboratory also provides the possibility of video conferencing for simultaneous collaboration with experts from all over the world. In addition to these research projects, the first practical uses of real-time data analysis and visualisation are already in place. Examples include two technologies of particular interest for managing sustainable urban development: The first tool to mention is the City Cockpit developed by Siemens, which is currently being tested in Singapore (Fig. 6). This is a system which bundles information from various administrative systems in the city, visualises it in a clear way depending on the topic in question, and enables better and faster decisions. The application is also

217

4.3 — Visualisation

Fig. 7

expected to improve communication between residents and administration. For example, any resident who finds a damaged park bench or a poorly cleaned public toilet and reports this to the city council via smartphone will receive a response within 24 hours to explain how the issue is being dealt with.13 The control centre developed by IBM and installed and tested in Rio de Janeiro in preparation for the 2014 FIFA World Cup and the 2016 Olympic Games goes one step further (Fig. 7). Data from the city government, from sensors, surveillance cameras, weather services and police radio converge in a central control centre for real-time analysis. The system uses this data to produce overview maps indicating current problem hotspots in the city (traffic accidents, overcrowded underground stations etc.) and enabling decision makers to act in a targeted way. The City of Rio de Janeiro hoped that this technology would ensure the smooth running of the two major events and an efficient distribution of emergency forces.14 Value / usefulness for planning neighbourhoods: City Cockpit in Singapore bundles and visualises data already available in the city. The Rio de Janeiro example also includes some sensitive personal data and is therefore questionable under data protection law. Nevertheless, these examples show that there is vast potential in ana­ lysing and visualising urban data. A fully networked city would open up the possibility of getting residents more actively engaged in decision-­ making processes, e.g. via smartphone and the Internet, in order to share more responsibility.

Summary Drawing overlapping methods are already an integral part of planning practice, but technologies for virtual and augmented reality are often still breaking new ground. These technologies offer great potential for the desired greater resi­ dent engagement. Especially in existing cities, companies and research institutions have high hopes for analysing and visualising data generated in the city in real time in order to use and control urban systems more efficiently. In today’s increasingly image-conscious and networked world, the use of visualisation methods and technologies will continue to increase, because it offers the possibility to communicate even complex interrelationships to all planning partici­ pants in a way which is easy to understand, thus functioning as a kind of universally applicable language.  SA

13  Bartsch 2011, pp. 94ff. 14  Singer 2012

Further information

•  Gaffron, Philine; Huismans, Gé; Skala, Franz (eds): Ecocity Book 2. How To Make It Happen. Hamburg/Utrecht/Vienna 2008 •  Höhl, Wolfgang: Interaktive Ambiente mit OpenSource-Software. 3D-Walk-Throughs und Aug­ mented Reality für Architekten mit Blender 2.43, DART 3.0 und ARToolKit 2.72. Vienna 2009 •  Lee, David; Robinson, Prudence (Ed.): Copen­ hagen 2 – SENSEable City Guide. Cambridge, MA 2011 •  Messerschmidt, Rolf: NetzWerkZeug. Thesis ­project. Städtebau-Institut. University of Stuttgart 1999. www.netzwerkzeug.de •  SENSEable City Lab: http://senseable.mit.edu •  Future Cities Laboratory: www.fcl.ethz.ch •  Value Lab: www.valuelab.ethz.ch •  Medialab Prado: www.medialab-prado.es •  Sidewalk Lab: www.sidewalklabs.com

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4.4

Certification and ­Evaluation Systems Ste p han Anders

Tight public budgets result in calls to measure and quantify impacts in ever more sectors of society. Somewhat belatedly, this trend has also reached the construction industry 1, resulting in a plethora of certification systems for buildings and even entire cities, each with its own specific focus. This chapter is devoted to current devel­ opments relating to the certification of urban neighbourhoods.

Evaluating cities as a whole

  1 Pahl-Weber et al. 2009, p. 12   2 Infante-Barona 2002, p. 91   3  Fuhrich 2004   4 Economist Intelligence Unit 2011   5 Federal office of the European Energy Award 2011   6  Stulz 2010   7  CASBEE 2012   8 Bauriedl et al. 2008, p. 179   9 U.S. Green Building Council 2009 10 Desai 2010; BRE Global 2008 11 Pahl-Weber et al. 2009, p. 8 12  DGNB 2012

Recent years have seen the development of vari­ ous indicator systems for sustainable operations in cities and municipalities.2 For example, the ExWoSt “Städte der Zukunft” (Future cities) research compiled a set of indicators to help local governments monitor the success of sustainable urban development in practice (Fig. 2).3 Inter­ nationally, ISO 37120 “Sustainable development of communities” addresses efforts to evaluate urban sustainability. At the same time industry is taking more interest in sustainable cities and their evaluation. For example, Siemens AG developed the “German Green City Index” and applied it to a range of major German cities.4 Another example is the “Morgenstadt City Index” developed by Fraun­ hofer IAO, which includes 28 indicators intended to measure cities’ future viability. It should be noted that businesses such as Siemens, IBM or Deutsche Telekom are primarily interested in establishing themselves as market leaders in their respective technology sectors and selling

their products and services such as traffic man­ agement systems, energy management systems and smart grid technologies (intelligent power grids) to cities and municipalities. Some initiatives seek to certify as well as sim­ ply evaluate sustainable urban development. Examples include the European Energy Award5, ­presented to cities or municipalities which have made special efforts for energy efficiency and protecting the climate. International develop­ ments such as the Swiss 2000-watt society 6 or Japan’s “CASBEE for Cities” 7 certification system highlight the growing importance of indicators for urban competition.8 All of these certification and evaluation systems for entire cities are very complex and include only rough, open access data (e.g. from statistical offices). This makes it difficult to transfer these systems to neighbourhood planning level.

Evaluating urban neighbourhoods Compared to systems for buildings, the number of different certification systems for neighbour­ hoods is currently still manageable. Existing systems such as the LEED for Neighborhood Development (LEED-ND)9, One Planet Commu­ nities or BREEAM Communities,10 are entering the market from the Anglo-American region (Fig. 1)11. The German Sustainable Building Council system for neighbourhoods (DGNB), which leads the German market,12 is described in more detail below.

219

4.4 — Certification and Evaluation Systems

One Planet Communities [GB, 11] BREEAM Communities [GB, 43] DGNB-Quartiere [DE, 51]

HQE – Aménagement [FR, 24]

LEED-ND [US, 190]

CASBEE-UD [JP, 4]

SMEO-Quartiere [CH, 18] 2000-Wattsociety [CH, 22] Estidama Community [AE, 6] BCA Green Mark for Districts [SG] GreenStar Communities [AU, 35]

Fig. 1 Objectives

Standard indicators

Additional indicators

Efficient land use

  1. Settlement and transport area

13. Settlement growth within existing ­development and on greenfield sites

  2. Intensity of land use

14. Redevelopment of infill sites

  3. Protected areas   4. Redevelopment of brownfield sites Urban-compatible transport

  5. Kilometres travelled by rail and bus

15. Total length of bicycle routes

  6. Car density

16. Car use in urban area (modal split)

Fig. 1  Distribution of neighbourhood certification systems (Blue countries have certified neighbourhoods. System of origin, version, number of certified projects, as per 04/2018) Fig. 2  Overview of indicators from ExWoSt “Städte der Zukunft” (Future Cities) research

17. are of settlement accessed by public transport 18. Traffic safety (victims of accidents) Preventive environmental protection Socially responsible housing Promoting business and safeguarding locational competitiveness

  7. Residual waste

19. CO2 emissions

  8. Drinking water consumption

20. Energy consumption

  9. Moves to surrounding areas

21. Basic provision

10. Housing benefits

22. Burglaries

11. Unemployment rate

23. Space demand per work place

12. Number of commuters

24. Local business profile

Fig. 2

However, certification systems for city dis­ tricts based on very different approaches are also being used and developed in other parts of the world,13 these are compiled in a table on pages 220/221. In terms of certified projects, the US certification system LEED-ND, which has been in place since 2009, is currently the global market leader with 190 projects. The DGNB Urban Districts system (market version) established since 2012 follows in second place with 51 neighbourhoods. Intro­ duced in 2009, the United Kingdom’s BREEAM Communities System introduced in 2009 ranks third with 43 (pre-) certified neighbourhoods. It is remarkable that the longest-standing system, Japan’s “CASBEE for Urban development” sys­

tem, has only (pre-) certified four neighbourhoods since 2006. The One Planet Communities approach is particu­ larly interesting. This is not really a certification system, but rather a planning tool which aims to monitor neighbourhoods continuously throughout their entire life cycle. At the beginning of the plan­ ning process, an action plan is drawn up together with members of the One Planet Communities programme. An independent committee reviews performance at annual intervals and initiates plan­ ning measures to remedy problems if they arise. Developing the action plan incurs a one-off cost. The organisation charges further fees for annual reviews, technical advice and other services, such as publicising projects.

13  Anders 2012

ExWoSt

The German federal government’s “Experimental Housing and Urban Development” (ExWoSt) research programme promotes innovative design solutions and measures for key issues of urban development and housing policy.

220

Chapter 4 — Tools

DGNB – Districts

BREEAM – Communities

HQE – Aménagement

Organisation

U.S. Green Building Council (USGBC)

German Sustainable Building Council (DGNB e. V.)

British Research Establishment (BRE)

Association pour la Haute Qualité Environnementale (HQE), Cerway (international system)

Information

Headquarters in Washington (US) NPO, NGO Established 1993 www.usgbc.org

Headquarters in Stuttgart (DE) NPO, NGO Established 2007 www.dgnb.de

Headquarters in Watford (GB) Private sector Established 1921 www.bre.co.uk

Headquarters in Paris (FR) NPO, NGO Established 1992 www.behqe.com

System type

International certification system New build and refurbishment Launched 2009

International certification system New build and refurbishment Launched 2011

International certification system, New build and refurbishment Launched 2008

International certification system New build and refurbishment Launched 2011

System range

One system for various types of neighbourhood

One system for mixed use, housing and commercial ­neighbourhoods

One system for mixed use neighbourhoods (HQE Aménagement)

Boundaries to other systems

Focus on neighbourhood location and use

Holistic assessment Focus on environmental and social aspects

Focus on environmental and social aspects

Total / completed / inter­ national neighbourhoods Project locations

190 / X / 61

Urban districts, commercial districts, industrial sites, event locations, resorts and vertical cities Holistic assessment (environmental, economic, social), life cycle assessment (LCC, LCA), target-orientated, additional schemes for commercial neighbourhoods and industrial locations 51 / 16 / 14

43 / 16 / 19

24 / 6 / 1

United Kingdom, other countries

France, New Caledonia

Well-known projects

Dockside Green (Victoria, CA), Twinbrook Station (Rockville, Maryland, US), Emeryville ­Marketplace (California, US)

Germany, Denmark, China, Luxembourg, Austria, Poland, Switzerland, Spain, Mongolia Maidar EcoCity+ (MN), Urban Tech Republic (Berlin, DE), Belval (LU), Potsdamer Platz (Berlin, DE), Carlsberg (Copenhagen, DK)

MediaCityUK (Manchester, GB), Qinlong Mountain International Eco-City (CN), Urridaholt, Gardabaer (IS)

ZAC Pompidou (Bois-Colombes, FR), Ecoquartier de Monconseil (TOURS, FR)

Certificate levels

Platinum, Gold, Silver, Certified

Platinum, Gold, Silver

Minimum requirements

  1. Smart location   2. Imperilled species and Ecological Communities   3. Wetlands and waterbody ­conservation   4. Agricultural land conservation   5. Floodplain avoidance   6. Walkable streets   7. Compact development   8. Connected to open ­community   9. Certified green building 10. Minimum building energy ­performance 11. Indoor water use reduction 12. Construction activity pollution prevention 1. Review: Buildings max. 50 % complete (optional) 2. Development Plan: buildings max. 75 % percent complete 3. Development Built Project: build­ings and infrastructure 100 % percent complete

1. Min. 2 ha area 2. Public access 3.10 – 90 % housing 4. Agreement of all owners 5. Further minimum thresholds within criteria for protecting nature and the climate, ­location, infrastructure, ­public transport and en­gagement.

Outstanding, Excellent, Very Good, Good, Pass Specific minimum requirements for climate & energy, community & governance, identity, ecology and biodiversity, and transport. Resources, economy, and build­ ings

Outstanding, Excellent, Very Good, Good, Adequate n /a

Publications

Details

Use

Distinguishing features

Organisation

System

LEED – Neighborhood ­Development (ND)

Certification phases

USA, Canada, China, Malaysia, other countries

1. Pre-certificate: urban design 2. Infrastructure certificate: min. 25 percent infrastructure 3. Neighbourhood certificate: min. 75 percent buildings and open spaces completed Phase 1: € 4,500 Phase 2: € 12,000 Phase 3: € 17,000 (for DGNB Members, fee depends on project size)

1. Pre-assessment (optional) 2. Certificate (interim): Initial design complete, Approval not necessary 3.Certificate (final): detail design complete

1. Initial audit (Audit initial) 2. Annual reaudits (Audits de suivi une base annuelle) 3. Certificate (Audit final)

1. Registration: € 567 2. Fees: Interim (Step 1): € 3,175 Final (Step 2): € 2,834 (Exchange rate £ 1 = € 1.13)

n/a

Certification fees for 10 ha neighbourhood (excl. tax)

1. Registration fee: € 1,215 2. Optional review: € 1,823 3. Phase 2 /3: € 14,580/8,100 up to 20 ha + € 284 for each ­additional ha, individual fixed price as from 320 ha (for USGBC Members, exchange rate US $ 1 = € 0,81)

Publications

LEED for Neighborhood Development Reference Guide

DGNB criteria for districts, Version 2016

BREEAM Communities, Technical a démarche HQE Guidance Manual, Version 1.2 ­Aménagement

Online documents

www.usgbc.org

www.dgnb-system.de

www.breeam.com/communitiesmanual

Fig. 3  Comparison of systems to evaluate sustainability in urban neighbourhoods (as per 08/2018)

www.behqe.com/schemesand-documents

221

4.4 — Certification and Evaluation Systems

CASBEE – Estidama Pearl Com­ Urban Development (UD) munity Rating System

GreenStar Communities

SMEO – Quartiere

2000-Watt-Areal

One Planet Communities

Japan Green Building Council (JaGBC), Japan Sustainable Building ­Consortium (JSBC) Headquarters in Tokyo (JP) NPO, NGO Established 2006 www.ibec.or.jp/CASBEE/ english International certification system New build and ­refurbishment Launched 2006

Abu Dhabi Urban Planning Council

Green Building Council Australia (GBCA)

ARE Federal Office for Spatial Development (CH)

SFOE Swiss Federal Office of Energy (CH)

Bioregional

Headquarters in Abu Dhabi (UAE), Government ­organisation, Established 2007 http://upc.gov.ae

Headquarters in Sydney (AU), NPO, NGO, Established 2002 www.gbca.org.au

Headquarters in Berne (CH), Government organisation – 2000watt.ch

National certification system, New build and ­refurbishment Launched 2010

National certification ­system, New build and ­refurbishment Launched 2012

Headquarters in Berne (CH) Government ­organisation – www.smeo.ch National planning tool New build and ­refurbishment Launched 2011

CASBEE for Urban ­Development, CASBEE for Cities

–

–

–

–

Headquarters in Wallington (GB) NPO, NGO Founded 1992 www.bioregional.com/­ oneplanetliving International planning method (Preparing and ­evaluating “Action Plan”) New build, refurbishment, and existing buildings Launched 2009 Can be applied to various uses

Holistic assessment

Tailored to regional climate, legislation and culture, government accredited, ­integrated development ­process.

Tailored to regional ­climate, legislation and culture.

Online planning tool.

Holistic assessment, focus on environmental (energy) and social factors (community). Life cycle assessment.

Monitoring neighbourhoods for 20 year period, including lifestyle assessment, no economic assessment.

4 / 2 / 0

6 / X / 0

35 / k. A. / 0

18 / k. A. / 0

22 / 5 / 0

11 / 7 / 4

Japan

Abu Dhabi (AE)

Australia

Switzerland (north, west)

Switzerland

The Loop (Canberra), Barangaroo South (NSW), Ginniderry (ACT), Curtin University Masterplan (WA), Aura (QLD), University of Melbourne Parkville Campus (VIC) 4 – 6 stars

EUROPAN 9 – Gros Seuc (Delémont, CH)

Hunziker-Area (Zurich), Kalkbreite (Zurich), Greencity (Zurich), Erlenmatt West (Basel), Opération les Vernets (Geneva)

United Kingdom, USA, ­Portugal, France, Canada, Australia, Luxembourg BedZED (London, GB), Les Villages Nature (Paris, FR)

none

none

1. At least 1,000, no more than 30,000 residents 2. Integrated development process 3. Natural systems 4. Liveable communities 5. Low water consumption 6. Renewable energy 7. Resource efficient ­materials

1. At least 4 buildings, no maximum 2. Mixed use

none

Minimum requirements None (each project is • minimum area ca. 1 ha assessed individually) • Plenipotentiary landowner Qualitative requirements Minimum 50 percent score in: 1. Management system 2. Communication, cooperation, ­participation 3. Land use and urban design 4. Infrastructure and access 5. Buildings 6. Mobility Quantitative requirements: ­Construction, operation and mobility meets targets on trajectory towards 2000-Watt society.

1. Pre-certificate 2. Certificate 3. Post occupancy ­Evaluation

1. Pre-certificate: Framework plan 2. Certificate: Construction 3. Post occupancy ­evaluation: 2 years after completion

1. Initial certificate 2. Recertification (every 5 years)

–

1. Auditing and certifying 2. Re-certifying (every 2 years during development / every 4 years in use)

1.One Planet Action Plan (Developed with BioRegional representatives) 2. Expert evaluation 3. Annual review of action plan and its implementa­ tion

€ 23,800 – € 35,200 for projects In Japan (¥ 2.3 – 3.4 m)

n/a

€ 29,300 (for GBCA Members, Exchange rate AUS $ 1 = € 0.65)

none

Fees for annual monitoring, promotion and technical advice

CASBEE for Urban Development (2014 edition)

The Pearl Rating System for Estidama – Community Rating System Design & Construction , Version 1.0 www.estidama.org/pearlrating-system-v10/pearl-community-rating-system.aspx

Submission Guideline (Shop)

–

For initial certificates • € 8,010 for 2000-Watt Area with up to 100’000 m2 floor area • € 10,680 as from 100,000 m2 For re-certification • € 6,675 for 2000-Watt Area with up to 100,000 m2 floor area • € 8,010 as from 100,000 m2 (Exchange rate CHF 1 =   0,89) • 2000-Watt-Area Mein Lebensraum von morgen • 2000-Watt-Area certificate

One Planet Communities: A Real Life Guide to Sustain­ able Living

www.greenstar­ communities.org.au

www.nachhaltige­ quartiere-bysmeo.ch

www.2000watt.ch/fuerareale/2000-watt-areale

www.bioregional.com/oneplanetliving

Koshigaya City Saitama, Al Bateen Park, Al Sila’a Koshigaya Lake Town (JP) Residential, Al Ghareba Housing, Military Officers Accommodation, Al Shahama Residence, Al Raha ­Gardens (AE) Excellent, Very Good, Good, Fairly Poor, Poor n/a

www.ibec.or.jp/CASBEE/ english/download.htm

1 – 5 pearls

International process-oriented certification system New build, use and refurbishment Launched 2012

Action Plan (yes /no)

222

Fig. 4  Comparison and focal areas of DGNB, LEED and BREEAM neighbourhood certification systems, weight­ ed by topic (LEED and BREEAM criteria are assign­ ed to DGNB topics) Fig. 5  Weighting of quality sections within the DGNB Scheme for Urban Districts Fig. 6  Certificates according to the DGNB Scheme for Urban Districts Fig. 7  Overview of criteria for DGNB Scheme “New Urban Districts Version 2016”, rounded percentages

[%]

Chapter 4 — Tools

Social Technical

Environmental Economic

35

Process Special issues

30

25

20

15

10

5

0

The ten One Planet ­principles 1. Zero carbon 2. Zero waste 3. Sustainable transport 4. Sustainable materials 5. Local and sustainable food 6. Sustainable water 7. Land use and wildlife 8. Culture and heritage 9. Equity and local economy 10. Health and happiness

Further information

•  Danish Building Research Institute: Guide to Sustainable Building Certifications. Copenhagen 2018 (available online) •  German Sustainable Building Council (DGNB e.V.): Mehrwert zertifizierter Gebäude. Stuttgart 2018 (available online) •  Mösle, Peter et al.: Green Building, Guidebook for Sustainable Architecture. Berlin 2010 •  Mösle, Peter et al.: Praxishandbuch Green ­Building: Recht, Technik, Architektur. Berlin 2017 •  Ebert, Thilo; Eßig, Natalie; Hauser, Gerd: ­Zertifizierungssysteme für Gebäude. Nachhaltigkeit bewerten, internationaler Systemvergleich, Zertifizierung und Ökonomie. Munich 2010 •  RICS Deutschland Ltd. (03/2015): Going for Green - Sustainable Building Certification ­Statistics Europe 2015, rics.org/sustainability •  www.transformativetools.org (Overview of ­certification systems for cities, neighbourhoods and infrastructure) • http://ec.europa.eu/environment/eussd/ buildings.htm (Level(s) – European evaluation framework for sustainable buildings) • www.dataforcities.org • www.worldgbc.org

DGNB

LEED

BREEAM

Fig. 4

DGNB system for Evaluation sustainable urban and weighting districts The system for sustainable urban districts devel­ oped by the DGNB takes a holistic view of eco­ logical, economic and social aspects. This makes it the only system to pay special attention to the economic dimension of sustainability. In looking at the entire life cycle, all emissions and costs associated with the neighbourhood development are systematically recorded and evaluated – from extracting raw materials through production and processing to recycling of individual components. The evaluation is linked to specific targets, such as undercutting the legal requirements for build­ ings’ primary energy by 30 percent. This allows solutions to be individually tailored to the project, rather than specifying standard system solutions, thereby promoting design innovation. Alongside the certification system for mixed-use urban dis­ tricts, adapted systems are now also available for commercial districts, industrial sites, event locations, resorts and vertical cities.

Neighbourhood development takes a long time, during which owners often change. For this rea­ son, DGNB added a certificate for infrastructure (phase 2) to the pre-certificate for the urban design stage (phase 1). The final certificate for urban districts (phase 3) is awarded when the project has reached 75 percent completion (Fig. 6). The weighting of topics for urban neighbourhoods corresponds to the DGNB building system and is based on a balance of ecological, economic, socio­ cultural and functional quality (Fig. 5).

Objectives and criteria The overriding goals of the DGNB scheme for urban districts are to protect the environment and natural resources, to enhance comfort and well-being for neighbourhood residents and to minimise cost throughout the entire life cycle. To this end, a neighbourhood-based criteria set picks up the main features of the DGNB system, whereby the content of the criteria has been com­ prehensively overhauled. The system pays special attention to Life-Cycle Analysis and Life-Cycle Cost analysis. Further criteria address the urban

223

4.4 — Certification and Evaluation Systems

Environmental quality 22.5 %

Economic quality 22.5 %

Sociocultural and functional quality 22.5 %

Technical quality 22.5 %

Process quality 10 % Fig. 5

climate, biodiversity, transport infrastructure or rain water management. The criteria and their weighting in the overall system for urban districts are depicted in Fig. 7.

Summary Even if certification for cities or neighbourhoods still meets with criticism from some experts, objective criteria offer an opportunity to evaluate projects at each stage of development and com­ municate quality transparently. The certification process forces all participants to define binding, common goals when the project is conceived, and evaluate progress at regular intervals. Criteria and process thereby also serve as a planning and control tool to evaluate the effects of planning decisions on project sustainability. At the same time, certification systems offer the opportunity to compare projects nationally and internationally, which is of particular interest to investors and large corporations. The cost of certification is low compared to overall neighbourhood development cost – and yet it offers clear advantages. Of course, the certification pro­ cess cannot take all the credit for energy savings or improved quality of life in public space, but it can ensure that all of the relevant issues are taken into account at an early stage, and that intelligent plans are developed to address them. In economic terms, certified projects can achieve higher returns than non-certified projects.

Pre-certificate

Certificate (Phase 2)

Certificate (Phase 3)

Design

Access / Infrastructure

Neighbourhood

Urban design

min. 25 % infrastructure, or planning framework and urban design contracts

min. 75 % buildings and public space

valid for 3 years

valid for 5 years

unlimited validity

Fig. 6

Number

Criteria /Indicator

ENV

Environmental Quality

ENV 1.1 ENV 1.4 ENV 1.5 ENV 1.6 ENV 1.7 ENV 2.1

Life-cycle impact assessment Biodiversity Urban climate Environmental risks Groundwater and soil protection Life-cycle assessment – Resource ­consumption Water cycle Land use

ENV 2.2 ENV 2.3 ECO

Economic quality

ECO 1.1 ECO 1.2 ECO 2.1 ECO 2.2 ECO 2.4

Life-cycle cost Local economic impact Resilience and adaptability Land-use efficiency Value stability

SOC

Sociocultural and functional quality

SOC 1.1 SOC 1.6 SOC 1.9 SOC 2.1 SOC 3.1 SOC 3.2 SOC 3.3

Thermal comfort in open spaces Open space Noise, exhaust and light emissions Barrier-free design Urban design Social and functional mix Social and commercial infrastructure

TEC

Technical quality

TEC 2.1 TEC 1.2 TEC 1.4 TEC 3.1

Energy infrastructure Resource management Smart Infrastructure Mobility infrastructure – motorised ­transportation Mobility infrastructure – pedestrians and cyclists

TEC 3.2 PRO

Process quality

PRO 1.2 PRO 1.7 PRO 1.8 PRO 1.9 PRO 3.5

Integrated design Consultation Project management Governance Monitoring

Fig. 7

Weighting

Share of total result in % 22.5

3 2 3 1 2 3

3.4 2.3 3.4 1.1 2.3 3.4

3 3

3.4 3.4 22.5

3 2 2 3 1

6.1 4.1 4.1 6.1 2.0 22,5

1 3 3 2 2 3 2

1.4 4.2 4.2 2.8 2.8 4.2 2.8 22.5

2 1 1 2

5.6 2.8 2.8 5.6

2

5.6 10.0

3 2 3 2 2

2.7 1.8 1.8 1.8 1.8

C H A P TE R 5

Case Studies

Introduction

T

he preceding chapters outline challenges, action areas and implementation strategies for sustainable urban and neighbourhood planning. Depending on the location and specific context, indi­ vidual approaches need to be developed to address and balance environmental, economic criteria. As a rule, rural neighbourhoods cannot offer the same level of transport connect­ ivity or social infrastructure as metropolitan, inner-city neighbourhoods. On the other hand, rural neighbourhoods offer other potential, such as providing residents with generous green and open spaces which benefit biodiversity and the microclimate. There can thus be no “one-size-fits-all” sustainable neighbourhood. For this reason, the case studies deliberately feature very different neighbourhoods – examples of top-down development, such as the Dockside Green project in Victoria, Canada; as well as bottom-up development, such as Amster­ dam’s NDSM shipyard; from extremely densely populated areas such as Berlin’s Potsdamer Platz to rural projects such as the ecoQuartier in Pfaffen­ hofen; and low-tech projects such as Ethiopia’s NEST (New Ethiopian Sustainable Town) project. We will present a total of 14 case studies, each of which is sustainable in its own way. Our selec­ tion is drawn from a comprehensive study of 140 sustainable neighbourhoods conducted as part of the “Sustainable neighbourhood planning – projects, strategies, approaches” seminar during the 2012/2013 winter semester at the Stuttgart University Urban Development Institute. More detailed information on the case studies exam­ ined during the seminar follows as from page 262. The case studies demonstrate how neighbour­ hoods can be developed in innovative and sustain­ able ways even now. However, it is also apparent

that most projects concentrate on only one aspect of sustainability and that none fully and compre­ hensively lives up to our holistic understanding of sustainability. Whilst many other aspects are also important for a neighbourhood’s success, the 14 case studies deliberately focus on individual aspects which have been particularly well-imple­ mented within each project. Each neighbourhood’s strengths and weaknesses are presented in a network diagram. This is based on the topics set out in the chapter “Challenges & Action Areas” and a qualitative evaluation (1 = average, 2 = above average, 3 = best practice). The following table (p. 227) lists the seven most important parameters exerting a key influence over contents, planning and development strat­ egies, as well as construction processes in neigh­ bourhood development. The issues listed in each category are drawn from current literature and have been further developed to allow an inter­ national comparison. The featured neighbourhoods are intended to provide suggestions as to how individual projects can address global sustainability issues within their respective project parameters. The case stud­ ies aim to show how project planners can adopt holistic approaches to meet the specific challenges presented by their project.

Chapter 5 —  Case Studies

Projects documented (pp. 228 – 261) in the case study section Further projects (pp. 262 – 265) Fig. 1  Location of neighbourhoods analysed

NDSM-Werft

Berlin TXL - The Urban Tech Republic, Berlin

Viertel Zwei, Vienna

Barangaroo

GWL-Terrein

NEST – New Ethiopian -Sustainable Town

Möckernkiez

Hammarby Sjöstad

Neckarbogen

Dockside Green

Bo01 – Western -Harbour

ecoQuartier

Carlsberg

Potsdamer Platz

Overview

‡

‡

‡

‡

‡

‡

Climate zone Tropical

‡

Subtropical

‡

Temperate

‡

‡

‡

‡

‡

‡

‡

‡

‡

City type by population Rural village (population < 20,000)

‡

Small town (population 20,000 – 49,999)

‡ ‡

Medium-sized town (population 50,000 – 499,999) Major city (population 500,000 – 9,999,999)

‡

‡

‡

‡

‡

‡

‡

‡

Location within urban area Stand-alone outside urban area

‡

Satellite connected to urban area Peripheral location

‡

‡

Urban location

‡ ‡

Inner-city location

‡

‡

‡

‡

‡

‡

‡

‡

‡

Previous land use Nature (incl. forest)

‡

Agricultural

‡

Brownfield (mining, distribution, transport etc.) Urban brownfield (incl. existing buildings)

‡

‡

‡

Infill regeneration (existing high-density urban development)

‡

‡

‡

‡

‡ ‡

‡

‡

‡

‡

‡

Built environment New buildings

‡

New and some existing buildings

‡

‡

‡

‡

‡

‡

Mainly existing buildings

‡ ‡

‡

‡

‡ ‡

Existing regeneration area with few new buildings

‡

Land use Housing

¥

¥

‡

‡

‡

‡

‡

‡

‡

‡

¥

‡

Commercial

‡

¥

¥

¥

¥

¥

¥

¥

¥

¥

¥

¥

‡

‡

Leisure / Special use

‡

¥

¥

¥

¥

‡

‡

¥

¥

‡

‡

‡

‡

Project scale Neighbourhoods District

‡ ‡

New town ‡ primary use

‡

‡

‡

‡

‡ ‡

 ¥ secondary use

‡

228

Chapter 5 —  Case Studies

B E R LI N , G E R M A N Y

Potsdamer Platz Key data Project type

New urban centre in historical location

Key access

Alte Potsdamer Straße, Eichhornstraße, Linkstraße, Potsdamer Platz, ­Reichpietschufer, B  96

Urban design

13 ha

Gross Floor Area (GFA)

Approx. 500,000 m2 (above ground)

Plot Ratio

2.8

Users

1,000 residents, 10,000 jobs, up to 100,000 visitors on a daily basis

Team

Hilmer & Sattler (coordinating plan), Renzo Piano and Kohlbecker (urban design), Kollhoff, Lauber & Wöhr, Rafael Moneo, Richard Rogers, Arata ­Isozaki (architects), Drees & Sommer (project management), DS Plan (envir­ onmental management), Atelier Dreiseitl (landscape design and integrated water management), Daimler AG (client), SEB Asset Management (owner) 1994 –1998

Website

www.potsdamerplatz.de

Key developer’s site before plot reconfiguration negotiations 1989

1991 Hilmer + Sattler design: plan coordinating developers, shifting plot boundaries

3

Processes, sociocultural issues

2

Size

Construction

Economy

1

Emissions

Piano and Kohlbecker competition design, 1992: key developer con­ cept, boundaries shifted once again

Open space, urban climate

Soil, water

Energy

Mobility

Material flows

Improved Piano and Kohlbecker plan 1993: user-oriented block ­layout, plot adaptations

At the beginning of the 20th century, Potsdamer Platz in Berlin was considered one of the largest and most important transport hubs in Europe. With the destruction of the Second World War and the subsequent division of the city, Potsdamer Platz and the Leipziger Platz to the east became peripheral zones of both West and East Berlin. The fall of communism was swiftly followed by calls for the area to be dedicated to a new use. A major German corporation bought the site and joined forces with other businesses and the State of Berlin to develop the Potsdamer Platz and Leipziger Platz area. As from 1994, a revised master plan governed the creation of Berlin’s so-called new centre. The professional community met the project with heated debate from the outset. Even the outcome of the 1991 competition was controversial, when jury members disagreed about its urban design plan. The winning design dedicated only a small share of the overall building volume to housing. This was subject to particular criticism, because mixed use was even then generally accepted as essential for sustainable urban planning. However, water management,

229

Potsdamer Platz

Construction site Potsdamer Platz

the energy concept and the waste disposal and recycling system proved to be groundbreaking for a high-density neighbourhood of this kind. Sustainable design was a defined project objective right from the start. The aim was to develop an environmentally friendly energy supply and a resource-efficient use of water and soil, combined with climate-friendly construction methods and healthy and environmentally friendly building materials. Key features include extensive roof greening, an overall rainwater use plan, and an energy supply system which was unique at that time and which included a neighbourhood heating and cooling centre to supply various buildings. The innovative energy concept reduces energy consumption and costs, as well as climate-damaging CO2 emissions. This was achieved thanks to the best possible thermal insulation and the use of passive solar energy. High-rise buildings have naturally ventilated dual shell facades. Small ventilation systems and cooled ceilings for temperature control help create a near-natural indoor climate in certain areas. Heat recovery helps achieve further savings.

Even during its construction, attention was paid to low energy consumption and appropriate construction logistics. At that time, there was virtually no storage space for building materials anywhere near Potsdamer Platz. Access to what was Europe’s lar­gest construction site was very challenging because of the lack of adequate infrastructure, and this led to fears of a transport chaos. In response, the city and developers formed a company authorised to issue instructions and regulate the complete building traffic specifically for this project. All of the logistics were provided ecologically by rail and ship, providing quick delivery of building mater­ ials from a marshalling yard near the Kreuzberg Gleisdreieck via the Anhalt freight station. This helped avoid around 42,000 heavy goods vehicle kilometres per day during construction, equating to 160 tonnes of CO2 per year. It was also necessary to link individual construction companies and integrate their respective computer programs and file formats for deadlines and construction plans. A bespoke CAD program was specially developed to ensure that all parties involved in the project were able to access the same data.

Landwehrkanal Potsdam freight station Logistics centre

Loading bay Barge

Gleisdreieck Anhalt freight station

Road access

Rail access

Opposing page: above  Sketches for developing the project area below  Master plan This page: left  This was Europe’s biggest building site: aerial views during construction right (from top to bottom) ­Delivery by barge; Construction work in the water, Construction site logistics diagram: Delivering mater­ ials via the Landwehr canal and the Gleisdreieck marshalling yard

230

Chapter 5 —  Case Studies

delivery

cleaning containers in hygiene station

chip card registration

and colle

ction

separating waste

supply and weighing waste infrastructure centre compacting cardboard etc. interim storage with waste press hazardous waste and reducing data protection material weight by dehydration

above left Underground waste disposal  below left  Underground goods delivery terminal  above right  Waste disposal: underground refuse collec­ tion by electric vehicles, delivery via the B96 tunnel below left  Pedestrians at the Potsdamer Platz traffic junction  below right  Water as a design element to experience

Logistics

Water

Traffic

The entire Potsdamer Platz is connected via a ­complex, three-storey underground transport system, which is its supply and disposal centre. Deliveries for the commercial areas are made via a terminal on the third basement. From there, electric cars or lift trucks transport the delivered goods to the respective recipients on underground supply routes with a length of 5 km in total. This keeps the area above ground free of disruptive delivery traffic. In addition, this access supports advanced waste disposal logistics to separate a total of 13 different waste types from each other. Aside from glass, paper and packaging, these include foils, treated and untreated timber, food waste, cooking oil and polystyrene. Before further disposal, so-called waste checks are carried out to ensure that waste streams have been carefully separated so that only sorted recyclable materials leave the site.

Even today, the rainwater management system at Potsdamer Platz is one of the largest in Europe. This system consciously uses rainwater in buildings and outside in order to help permanently reduce drinking water consumption and make a positive contribution to the urban climate. The system aims to collect surface water from all sealed surfaces, especially the roofs. This water runs through various purification processes, including planted purification biospheres such as the reed-planted neighbourhood lake, before it finally reaches one of five underground cisterns. There it is stored until it is transferred to the buildings for use in open spaces or as grey water to flush toilets. On average, this can save around 20 million litres of drinking water per year. Aside from these ecological aspects, water is also used as a design element which can be experienced along a total length of 1.7 km. Smaller watercourses are designed as central recreation areas and cool the neighbourhood climate by approx. 3 °C in summer.

Europe’s first traffic light system was installed at Potsdamer Platz in 1924. Today, a replica highlights the square’s former importance as a traffic junction. Today, Potsdamer Platz once again offers excellent transport connections including an ICE train station, S-Bahn, underground trains and bus stops as well as being close to federal highway number 1. The excellent public transport offer helps achieve a modal split of around 80/20, i.e. 80 percent of road users are non-motorised whereas 20 percent remain motorised. Underground transport facilities, non-motorised private transport (pedestrians and cyclists), and numerous new means of transport contribute to this result. Charging stations for electric cars, car sharing etc. offer users an attractive, individual and flexible transport service. This is environmentally friendly, but it also helps avoid time wasted in traffic jams and – most importantly – contributes to social and cultural life. Shifting motor traffic, including delivery and logistics, rail and main roads underground, frees up streets and squares

231

Potsdamer Platz

rain water collection on green roof

Landwehr canal

urban water bodies

use for flushing toilets and irrigation

replenishing artificial water bodies

emergency overflow

retaining variable amounts of water storage in cisterns

purification through bio-habitat vegetation

sealant

pump

drainage (gravel)

to provide recreational areas and open spaces for urban life once again. Even in the 1990s, great importance was attached to the focal points described above. However, there were different opinions about the urban design: the exact reconstruction of Berlin’s old street profiles was not modern enough for some, whereas others viewed the high-rise buildings as too modern. This tension highlights the difficulty of finding the right design path. At Potsdamer Platz, the designers tried to unite and deliver tradition, ­progress, ecology and economy. Almost 20 years after planning started, the German Sustainable Building Council (DGNB) awarded the neighbourhood a Silver Certificate for new buildings in 2011. Thus it still meets today’s sustainability standards. Some buildings have now even been awarded a DGNB Gold Certificate for existing buildings. Potsdamer Platz highlights that parameters, such as organisational structures, professional plan-

filter substrate

ning and advice, and construction logistics for all phases of development, are hugely significant for successfully implementing and delivering innovative and sustainable projects of this kind. At the time, sustainability advisors were given a ring-fenced budget of 3 percent for sustainability measures. Even today, this would help make many projects sustainable.

left  Water management plan: Rainwater collected in cisterns feeds the water sup­ ply, Planted biospheres bio­ logically purify the water. right  Reed-planted purifica­ tion biospheres

Further information

•  Daimler Chrysler Immobilien – DCI (pub.): ­Potsdamer Platz Project. Berlin 2002 •  Drees & Sommer (pub.): Potsdamer Platz. ­General Management. Stuttgart 2004

232

Chapter 5 — Case Studies

C O PE N H AG E N , D E N M A R K

Carlsberg City District Key data Project type

Former brewery site regenerated with interim uses

Key access

Carlsberg Vej

Size

33 ha

Gross floor area (GFA)

567,000 m2 total (50 % housing, 35 % office and retail, 15 % education, culture and sport), 110,000 m2 existing building stock

Urban design

Economy

Plot ratio

1.7

Users

7,000 – 8,000 residents (3,100 dwellings), 10,000 jobs, 10,000 students, ca. 200,000 visitors per annum, 1–2 hotels, 30 – 40 restaurants

Team

Entasis (masterplan/urban design), Vogt Landschaftsarchitekten Zurich (landscape design), Henning Larsen Architects, Tegnestuen Vandkusten, Ladner Meier Arkitekten, C. F. Möller Architects (architects)

Construction

Interim use since 2008, completion planned for 2024

Website

www.carlsbergbyen.dk

3

Processes, sociocultural issues

2 1

Emissions

Open space, urban climate

Soil, water

Energy

Mobility

Material flows

This page: left Master plan below Bird’s eye visualisation Opposing page: left Street space allocation right (from top to bottom) Various interim uses: Dansehallerne; beach bar; pedestrians on Ny Carlsberg Vej

The Danish brewery group Carlsberg left its Copenhagen premises at the end of 2006 to produce in Fredericia, which is more centrally located on the Danish mainland. The business leaves behind a 33-hectare site in the middle of Copenhagen with many listed 19th- and early 20th-century factory buildings, some of which are currently in temporary use. The area is to be transformed into a mixed-use urban neighbourhood with a distinctive sense of place within the next 15 – 20 years. The “Our city” master plan focuses on multifunctional open space and social sustainability. The neighbourhood was pre-certified by the German Sustainable Building Council (DGNB) in 2013, in recognition of its quality and innovative design approaches.

Public realm / process The master plan envisages 3,000 apartments as well as office and retail space. The fact that the neighbourhood was activated before construction began sets the development strategy for this area apart from strategies for other areas. Varied public space offers lured Copenhageners to Carlsberg, even before construction of new buildings began. The network of streets, gardens, squares and existing buildings provides space for various uses such as flea markets and art exhibitions. Located in a former mineral water factory, the 9,000 m 2 “Dansehallerne” centre for modern dance enjoys great popularity. The Ny Carlsberg Glyptothek is an important art museum in the city, attracting many visitors.

The planners want to observe which activities are particularly popular, generating dynamics to inspire further plans. The developers are hoping to attract a vibrant mix of residents from different social groups, generations and backgrounds. The idea is that, as the different cultures meet, interactions between residents should generate a lively neighbourhood. The design aims for a dense development with interesting interiors and attractive open spaces. To this end, buildings will be individually designed and ground floors will be dedicated to a mix of uses including cinemas, studios, cafés and shops. Upper floors are dedicated to apartments and offices. The intense mix of uses aims to ensure that residents can live, work, shop and

233

Carlsberg City District

P

P

P P P P

P P

P

P

P P

P P P

short access streets, 40 kph speed limit

short access streets, 40 kph speed limit connecting streets. 30 kph speed limit shared space, traffic-calmed areas, 15 kph vehicle-accessible spaces, 15 kph one-way-street access to parking P underground parking

experience culture within the neighbourhood. The building layout is based on the classic Copenhagen block, with additional buildings set within courtyards and towers placed at corner points. Architecturally, new buildings should be carefully integrated in order to preserve the location’s special identity. Most of the traffic area is based on shared space principles with everybody using the same space and having to respect each other. There are no dedicated paths, signs or other regulations. Several underground car parks aim to keep vehicle traffic as far away from the area as possible. Short routes around the perimeter provide access. The location in the middle of the city and good public transport access enable most of the resi-

connecting streets. 30 kph speed limit

shared space, traffic-calmed areas, 15 kph

dents to use environmentally friendly means of transport. The aim is to achieve a varied mix of residents by offering apartments for rent and to buy within individual buildings. Between 8 and 10 percent of apartments are rented at very favourable rates. In return, tenants of these apartments are offered the opportunity to work, for example as caretakers, and improve their financial situation in the long term. The idea is that these tenants might one day be able to buy an apartment and join the community of owners, making low-cost apartments available to new tenants.

Further information

• http://www.bauwelt.de/themen/bw_200724_ Carlsberg-Areal_Kopenhagen-2101154.html • https://en.wikipedia.org/wiki/Carlsberg_(district)

23�

Chapter 5 — Case Studies

PFA F F E N H O F E N A N D E R I LM , G E R M A N Y

ecoQuartier Pfaffenhofen Key data Project type

Suburban fringe project providing residential, employment and agricultural use

Key access

Ludwig Hirschberger Allee

Size

217,000 m2 gross development land including 50,200 m2 net housing area, 32,300 m2 trading area, 27,600 m2 village area

Gross floor area (GFA)

Approx. 63,000 m2 (total)

Plot ratio

Approx. 0.65 in residential area, approx. 0.85 in employment area (estimates)

Users

Approx. 200 dwellings, approx. 20 employment units, kindergarten, sheltered housing, care home, hotel

Team

Eble Messerschmidt Partner (Urban design, overall concept and some architecture), Ramboll Studio Dreiseitl (landscape design and water circulation system), Areal – Gesellschaft für nachhaltige Wasserwirtschaft mbH (Terra Preta concept and material flow management), Architekt Kleinschmidt (Ecological construction consultancy and some architecture), ecoQuartier GmbH & Co. KG (landowner, developer, access and infrastructure)

Construction

Access and infrastructure completed 2012–2014, buildings completed in 2014

Website

www.ecoquartier.de

Urban design

Economy

2

Mobility

V

EP

V

Taldorf

Whg 2 Zimmer

n

Whg 4 Zimmer

Whg 4 Zimmer

1

1

Whg 4 Zimmer

2

3

Kinder Spielplatz

Ökologisches Wohngebiet

Bergdorf

Solardorf

Processes, sociocultural issues Open space, urban climate

Soil, water

Energy

Energiezentrale

Pfo am rten Pla hau tz s

1

Emissions

Gewerbegebiet

Kramerbräu Hof

3

Material flows

23�

Ecoquartier Pfaffenhofen

Opposing page: Layout plan This page: above Simulated aerial view, 3D housing area model (view from north) below (from left to right) Detached houses in solar village; planet house in the solar village (both Eble Messerschmidt Partner); Terraced houses in valley village (LMT3 Architekten)

The private-sector ecoQuartier in Pfaffenhofen aims to demonstrate how sustainable urban development can meet high standards in terms of protecting resources and the climate.

ability features which go further than the requirements of planning and building law, both in buildings and at the neighbourhood level.

Its planners want to make an important contribution to the future economic development of Pfaffenhofen, a town located in the Hallertau hop cultivation area north of Munich, and promote new housing types and sustainable lifestyle choices. Based on the existing Kramerbräuhof ’s wide ranging agricultural activities in biomass production and research, the development sets out to provide connected live and work spaces in the surrounding area. The project aims to generate synergies between agriculture and environmentally-friendly housing and industry. Ecological building techniques and innovative supply and disposal systems are intended to make this a demonstration project for sustainable rural development.

Rural location

The fact that the developer owns all of the development land helps implement design and sustain-

The ecoQuartier Pfaffenhofen aims to exploit and fuse specific local opportunities in order to create a holistic sustainability plan. Starting with the existing Kramerbräuhof, the development structures the site to create a village area, a trading estate and a residential area including so-called valley, mountain and solar villages. Developed by architects and specialist planners in an integrated process, the urban design derives from the site topography. Developers, individual clients and building groups worked together to develop a wide range of residential typologies. Neighbourhood facilities, such as a community house or a camping site, were also developed in a process of engagement with neighbourhood residents. A kindergarten has already been completed, whilst a conference hotel with seminar facilities is

still under construction. Tailored marketing and a targeted placement strategy aim to attract environmentally sustainable businesses to the trading estate. The objective is to attract businesses with ecological know-how and to establish links with institutions for awareness-raising, training and further education, and to provide a hotel to create a centre of excellence in sustainable design and construction. The ambitious energy plan aims to achieve massive CO2 savings. Heating and hot water is generated from regenerative energy sources. To this end, a local heating network connected to a biomass CHP plant will supply most of the residential buildings (after an initial start-up phase). The operation is heat-controlled, i.e. device output is driven by heat demand. At the same time, the plan is to generate electricity within the neighbourhood, and – at a later stage – to make use of waste heat from the pyrolysis plant, which will be part of a terra-preta plant to produce charcoal through a thermochemical process. Individual homes not connected to the local heating network must also generate energy

23�

central drinking water supply

Chapter 5 — Case Studies

private household, businesses rain water (roof and surface run-off)

retaining landscaping, evaporation

emergency overflow (10-year rain event)

Versickerung grey water

plant-based water treatment facility, biological purification

emergency overflow

UV

tap water

evaporation

control unit

disinfection, UV radiation

infiltration process water storage

purifed black water black water standard connection to sewage system

Terra-Preta plant

use and sale of Terra Preta

optional Terra Preta plant

3

1

2

Rainwater run-off Retension area and soakaway (variable humidity) Permanent retention area Underground gravel trenches providing rainwater buffering

from renewable sources, such as wood chip stoves or heat pumps. Heating systems using fossil fuels are banned. In the solar village, all roofs must be equipped with photovoltaic systems to supplement electricity generated in the CHP plant and provide a significant share of the neighbourhood’s electricity from renewable sources. Planners also required buildings to meet a higher energy standard, in excess of statutory requirements. Residential buildings primary energy demand must not exceed 70 kWh/m2a, whilst specific transmission heat losses must be at least 15 percent below ENEV 2009 values. In addition, the plan is to construct a large number of buildings to an even higher energy standard, and some buildings meeting the Passivhaus standard. This corresponds to the Kreditanstalt für Wiederaufbau (KfW) 55 and 40 efficiency house funding conditions. As well as energy consumption in use, special attention must be given to primary energy content and protecting resources during the construction of infrastructure and buildings. For example, this includes the use of CO 2-improved and life

cycle-oriented construction methods, such as glulam timber board stacks and other biogenic construction techniques. An obligatory project-based catalogue lists environmentally friendly materials and systems which must be used to make sure that buildings are high-quality, healthy and comfortable. Neighbourhood open spaces must remain near the natural condition, and ground sealing kept to a minimum. The design and planting scheme, and the transition to open landscape takes its lead from the agricultural landscape. Buildings, public spaces and experiential paths are laid out according to geomantic expertise. This provides an opportunity to experience nature in a wide variety of low-maintenance open spaces. Visible, surface-level water treatment helps understand the natural rainwater cycle, and creates an atmospheric and characterful water landscape. The project includes the renaturalisation of the Schindelhauser brook running along the site’s northern edge, thereby also implementing flood protection measures.

1 Plant-based water treatment facility 2 Process water reservoir 3 Terra-preta plant (optional) Grey water system Process water supply system

The open-space design accounts for nature conservation and landscape management, including compensatory measures to balance any disruption to nature and landscape within the development site. An obligatory open and subsidiary space plan safeguards the delivery of high-quality open space in terms of ecology and design. The project aims to reduce drinking water consumption by at least 50 percent by innovatively managing the entire water cycle and making use of rainwater and grey water. It also aims to treat grey water and black water on-site with no waste water leaving the site via the sewage system. More than half of the water consumed is used for irrigation and flushing toilets etc. (rather than for drinking, bathing and showering) and can be substituted by process water. To this end, most of the grey water is purified in a plant-based treatment facility and disinfected by ultraviolet radiation before joining rainwater to be fed back into the process water cycle. During the initial project stage, black water is fed into the conventional sewage system. In a later project phase, a terra-preta plant is planned to treat black water on site in order to

237

Ecoquartier Pfaffenhofen

4 1 Opposing page: above  Integrated water ­concept: schematic water cycle including optional ­terra-preta plant below left  Rainwater ­system below right  Grey and ­process water system This page: above  Visualisation of solar and mountain village with water landscape below  Biomass cycle including terra-preta plant

make the area nearly free of waste water for offsite treatment. The plan is also to use waste water to generate energy and return nutrients to the agricultural material cycle. The terra-preta plant is to become a central elem­ ent of the overall plan, transforming organic black and grey water components and organic households and agricultural residues to produce exceptionally fertile black earth. This can be used to activate soils or to organically fertilise surrounding agricultural areas. Treatment stages are designed to allow all of the valuable ingredients in waste water to be used, for example to produce biomass. This, in turn, can be used directly to produce terra-preta. The plan to include greenhouses for cultivating useful plants is a particularly interesting option with regard to a zero-emission mater­ial flow management strategy, and results in a sustainable land-use system with CO2 storage potential. The exact plant operation model has not been defined yet. The comprehensive approach to sustainability is rounded off with further plans such as the pursuit

3

2

of a holistic ecological food cycle, the development of an environmental education centre, and transport measures such as car sharing. The plan is to establish one or more utility companies to operate technical infrastructure. Quality assurance tools such as a typological building pattern book, a design handbook and an ecological and design quality agreement will support the implementation of the above mentioned features. The planning team provides support to ensure that these requirements are met, with the overall urban development management actively supporting the individual architectural projects and certifying them according to the so-called ecoQuartier building standard. An integrated planning approach has helped develop a tailored approach to neighbourhood development which responds to this rural location’s specific local and regional opportunities. The project demonstrates how synergies between innovative concepts can implement a holistic

1 Terra Preta plant 2 agroforestry system integratingg shrubs and trees in agriculture 3 organic supermarket 4 gardeners shop kitchen waste and black water compost and cutting from housing and commercial area agricultural waste regional biomass local food supply ground activating, organic fertilizer biomass from agroforestry

approach to sustainability and achieve a good environmental balance. The project also demonstrates how an agricultural business with a key supply and disposal function, such as the Kramerbräuhof, can be successfully integrated into a rural neighbourhood. As a result, this concept for the suburban fringe benefits residents and businesses as well as the agricultural business itself.

238

Chapter 5 — Case Studies

M A LM Ö, SW E D E N

Bo01 – Western Harbour Key data Project type

Sustainable regeneration of harbour and industrial site

Key access

Stora Varvsgatan

Size

25 ha

Gross floor area (GFA)

ca. 110,000 m2

Plot ratio

0.5

Users

2,343 residents, 1,400 dwellings (2013)

Team

City of Malmö, Bo01 project office with Klas Tham

Construction

1997 – 2001

Website

www.malmo.se/Nice-to-know-about-Malmo/Sustainable-Malmo-/ Sustainable-Urban-Development/Western-Harbour.html

Urban design

3

Economy

2 1

Emissions

Processes, sociocultural issues Open space, urban climate

Soil, water

Energy

Mobility

Material flows

This page: Master plan Opposing page: above Aerial photograph below (from left to right) Beach promenade; design integrating rainwater retention basins; neighbourhood viewed from the water

Malmö’s economy, which used to be dominated by industry, has changed considerably in recent decades. The economy of Sweden’s third-largest city is now based on smaller companies in the service, trade and IT sectors. In 2001, the city hosted the International Building Exhibition (IBA) Bo01, in a former dockland and industrial area. The Swedish word “bo” means “ to live”. Today, the area is the first development phase of the overall urban development project called Västra Hamnen (Western Harbour). As is typical for urban brownfields, the soil is heavily contaminated, and decontamination poses a major challenge. However, the area also offers potential such as its proximity to the city centre and its waterside location. The Bo01 neighbourhood covers an area of 25 ha and offers space for 1,400 apartments and 2,343 residents. The entire Western Harbour area extends over 160 ha, of which 76.5 ha are due to be developed. In 20 years, around 10,000 people should be able to live in the area which currently has about 4,300 residents. At 26 dwellings per hectare, density is relatively high. The project was initiated by the City of Malmö, which has attached particular importance to

environmental policy for decades. The Bo01 project office founded in 1997 to plan the International Building Exhibition (IBA) seized the opportunity to build a sustainable model neighbourhood to benefit Malmö and other cities. The project office worked with the construction companies involved to develop a quality assurance programme to specify requirements and ecological objectives. For example, these guidelines define architectural quality, materials and energy standards for buildings, as well as the characteristics of the technical infrastructure. Bo01 is a pilot project for implementing new approaches and technologies. The quarter thrives on contrast. Landowners are obliged to commission different architects to design individual buildings. This creates a neighbourhood with a colourful mix of different forms and colours. In terms of energy, buildings respond to sustainability requirements with different approaches ranging from low-tech to high-tech. Great importance is attached to recyclability and to avoiding noxious substances in choosing building materials. Designers and contractors are provided with a dedicated catalogue of building materials.

Open space The waterside location lends the site a distinctive, special quality. Facing the Öresund to the west, a spacious beach promenade invites cyclists and passers-by to linger, whilst tall buildings around the neighbourhood’s perimeter shield inner areas from the wind. There, the varied high-quality parks, courtyards, streets, paths and squares lend the neighbourhood its special character. Green spaces closely resemble nature in order to be able to offer as many different habitats as possible for different animal and plant species and thus establish or ensure long-term biodiversity. In addition, colonies of rare species and bird hatcheries have been introduced. Rainwater runs through the neighbourhood in open channels before seeping into the ground or, in the event of heavy rainfall, running into canals. This offers residents a high recreational value as well as providing environmental benefits. The majority of buildings feature green roofs and facade greening, which further improve the microclimate. Commissioning different landscape planners for all the major open spaces – some through competitions – made an essential contribution to

239

Bo01 – Western Harbour

ensuring a varied, high quality design. Individual building developers were required to implement at least 10 out of a list of 35 measures to increase biodiversity on-site or within buildings.

energy consumption. Organic waste is converted into biogas, which is used to heat apartments and drive vehicles. A vacuum pipe system transports waste directly to the biogas plant.

Energy

Mobility

In order to achieve the project goal of 100 percent local and renewable energy supply, a major share of heating demand is covered by heat pumps using groundwater as a heat source during winter months. In addition, 10 percent of the neighbourhood’s heating demand is met by 1,400 m2 of solar collectors distributed over ten roofs. The electricity for heat pumps and for apartments is generated by 120 m2 of rooftop photovoltaic panels and a wind power plant in the nearby Norra Hamnen (Northern Harbour). In order to keep building’s energy consumption low, each home can consume up to a maximum of 105 kWh/m2 per annum – including household electricity consumption. This is around 40 % lower than the Swedish average for energy consumption. A meter in each home shows current

In order to promote environmentally friendly means of transport, neighbourhood parking facilities were deliberately kept low, whilst providing excellent public transport links and attractive footpaths and cycle paths. On average, only 0.7 parking spaces are available per apartment. One of the consequences of this is that the electric vehicles provided at specially designated parking spaces are very popular. There is a bus stop no more than 300 m from every apartment, served by biofuel buses every 7 minutes during peak hours. Whilst 60 percent of residents use footpaths and cycle paths or public transport in the city of Malmö as a whole, this rises to 80 percent in the Western Harbour area.1

Further information

• www.urbangreenbluegrids.com/projects/bo01city-of-tomorrow-malmo-sweden/ • www.energy-cities.eu/resources/cities-actions/ sustainable-neighbourhood-bo01-city-oftomorrow-malm~1073 • www.collegepublishing.us/jgb/samples/JGB_ V8N3_a02_Austin.pdf 1 Foletta 2011, p. 92

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Chapter 5 —  Case Studies

V I C TO R I A , CA N A DA

Dockside Green Key data Project type

Sustainable regeneration of harbour brownfield

Key access

Harbour Road, Tyee Road

Size

6.1 ha

Gross floor area (GFA)

120,100 m2 (planned)

Plot ratio

2.0

Users

2,500 residents (planned)

Team

Perkins + Will, DYS Architecture, Warner James (urban design, architecture), Edibella Organic Landscapes, Small & Rossell, Mammoth Landscaping, PWL Partnerships and Shibusa Ponds (landscape design)

Construction

Dockside Wharf (Project phase 1) completed 2010, further phases currently under construction, completion planned 2027

Website

www.docksidegreen.com

The Dockside Green neighbourhood is located on a 6.1 ha former dockland site located around 1 km from the centre of the city of Victoria in south-western Canada. The environmentally friendly, resource-efficient sustainable urban neighbourhood is planned to offer residents a high quality of life. “Dockside Green” is based on principles of the “New Urbanism” movement, founded in the USA to combat urban sprawl and anonymous neighbourhoods.1 The neighbourhood comprises two rows of building plots. The eastern row facing the Upper Harbour accommodates two- to three-storey commercial buildings arranged in rows parallel to the street. The western, inland row faces the road which connects to the city centre, and accommodates residential buildings up to a height of to 30 m. A green corridor and canal runs between the two rows of buildings and will connect to a large public space in the south once the neighbourhood is completed. The master plan envisages building heights increasing continuously towards the south. Grouped around a circular public space, office towers up to 40 m in height and a large shopping

Urban design

Economy

3 2 1

Emissions

Processes, sociocultural issues Open space, urban climate

Soil, water

Energy

Mobility

Material flows

centre conclude the neighbourhood at the southern end. Further plans include more retail space, a fitness centre and a crèche. The developer was also contractually obliged to build a sustainability centre to inform residents and visitors about the neighbourhood’s sustainable features, and to support it with a donation.2

ture deserves special mention. Both the waste water treatment and biomass power plants are prominently located within the neighbourhood, rather than being hidden at its edge. Conspicuous signage and diagrams make residents and ­passers-by aware of their resource consumption and encourage them to keep it under control.

Phase one, Dockside Wharf, was completed in 20103 and comprises four residential buildings, a total of nine townhouses, three commercial buildings as well as a waste water treatment and biomass power plants. The buildings accommodating residential and retail uses are oriented east-west and sit on top of an underground parking garage. In order to achieve a social mix, 10 % of all apartments are dedicated to affordable housing specifically for low-income earners. Housing cost in these apartments should amount to no more than 30 percent of annual gross income, and thus be affordable for residents with household incomes of around € 30,000.4 In addition to this, a three-­ storey building has gained planning approval to provide apartments with less than 40 m2. The structural integration of the supply infrastruc-

In order to reduce individual motor traffic, the neighbourhood places special emphasis on high-quality footpaths and cycle paths as well as public transport connections to the city centre. Car sharing is available throughout the entire neighbourhood. The neighbourhood’s waterside location makes it accessible by small boats or kayaks. A connection to Victoria’s ferry network is also planned. An annual sustainability report including appropriate resident satisfaction measures reviews progress towards the targets set for the neighbourhood, e.g. in reducing water consumption or using the car-sharing system. 5

241

Dockside Green

building within neighbourhood possible surplus for other neighbourhoods

green roof

garden irrigation

flushing toilet heating

water treatment plant membrane / filter

disinfection, UV radiation

biomass plant

collection receptacle for treated water infiltration channel

draning

septic tank

Opposing page: left  Master plan right  Neighbourhood viewed from the water This page: left  Schematic representation of neighbourhood rainwater use right  Water conduits and “rain gardens”

Open space, water, material flows The park-like green strip and watercourse, and the lush greenery along streets and between the buildings lend the neighbourhood an attractive recreational quality. It boasts a comprehensive water circulation system with a central water treatment plant at its heart. The 100 % recycled water is returned to the individual buildings, where it is used for flushing toilets and irrigating private green areas. If there is a surplus, the water can also be sold to surrounding industrial enterprises. The neighbourhood thereby contributes to intensive water reuse, even beyond its boundaries.6 In order to reduce water consumption to a min­ imum, buildings are fitted with highly efficient sanitary facilities. Together with the aforementioned water treatment, these aim to reduce drinking water consumption by 55– 60 percent.7 Due to its location on the Pacific coast, Victoria is often hit by storms and heavy rainfall. Conduits feed precipitation which cannot be absorbed by

sedimentation basin

“rain gardens” channel system

waste water (grey / black water) Dockside Green and other neighbourhoods rainwater grey / black water treated water heat

green roofs and plants into the water treatment circuit. This filters out coarse dirt and lets it be absorbed by bacteria. Water is then infiltrated into the “rain gardens”, an open canal system. Dockside Green is currently the first project worldwide to be awarded the LEED Platinum certificate for sustainable neighbourhood development. The early involvement of the project developer and the cooperation of all parties involved (developers, planners and authorities) was a key contributor to implementing its ambitious ecological and technological objectives. The innovative green neighbourhood has so far been able to thrive on the real estate market – unlike many other major projects in the Victoria region, which had to be abandoned in the course of the economic crisis.

Further information

•  General Electric: ZeeWeed MBR Water Reuse Process, Dockside Green. Flash animation ­explaining General Electrics water treatment ­system, 2007 •  Hart, Sara: Dockside Green. A Platinum Setting: This 15-acre, mixed-use, harborfront development in Victoria, B.C., will set records for sustainability at the neighborhood scale. In: GreenSource 03/2010. • www.terrain.org/unsprawl/25 • www.theatlantic.com/international/ archive/2011/08/is-this-the-worlds-greenestneighborhood/244121/ 1  Pätz 2012 2 City of Victoria & Dockside Green Limited 2009, pp. 1– 3 3 Dockside Green/Vancity 2011 4 City of Victoria & Dockside Green Limited 2009, p. 1 5 Dockside Green / Vancity 2011 6 General Electric; Pirie 2010 7 www.docksidegreen.com

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Chapter 5 — Case Studies

H E I LB R O N N , G E R M A N Y

Neckarbogen Key data Urban design

Project type

Exemplary connection between town and river

Key access

Güterbahnhofstraße (current name)

Size

ca. 52 ha; 17 ha excluding BUGA exhibition areas

Gross floor area (GFA)

135,000 m2

Plot ratio

0.8

Users

1,500 (planned)

Team

Steidle-Architekten, t 17-Landschaftsarchitekten (urban design master plan, competition), Sinai (BUGA open space plan, competition), Drees & Sommer (consultancy, sustainability), City of Heilbronn (planning office)

Construction

2010: council approval for urban design masterplan 2019: completion of BUGA open spaces and first building plot

Website

www.buga2019.de

Economy

3 2 1

Emissions

Processes, sociocultural issues Open space, urban climate

Soil, water

Energy

Mobility

Material flows

BUGA site Urban neighbourhood

Along with the railway station area, the site is located between the canal docks and the Stadtneckar river facing Heilbronn’s old town centre. In the 19th and 20th centuries, the site was dominated by docks and railway tracks. Since these have now moved on, the site is currently being developed in a sustainable, future-proof process according to the German Sustainable Building Council (DGNB) certification scheme for new urban districts. The development will extend the city centre north-west along a tributary to the Neckar river (Neckarbogen), which flows through the city. After carrying out a feasibility study, the city made a successful bid to host the 2019 national horticultural show (Bundesgartenschau BUGA) in this area and subsequently engaged with residents to launch an ideas competition. The city council approved the urban development framework plan in 2010. Some spaces are designed to remain open permanently, whereas others are due to be built on after the BUGA exhibition. Accordingly, some BUGA flower beds match the building layout for later development. One building plot will be completed for the BUGA. Aiming to be CO2-neutral in use, the building sets out to achieve a low overall energy use, reduce drink-

243

Neckarbogen

Opposing page: left Master plan right Aerial photograph, 2010 This page: above Aerial visualisation of the new urban neighbourhood within the urban context below left Holistic neighbourhood concept including varied housing offer and mix of uses below right Neighbourhood microclimate: section through embankment and lake

housing day care cente

Aktiv-Plus-Haus

living by the Neckar backwater

supervised childrens gardening

apartment housing

courtyard workshop

supported housing

building cooperative “lakeside living” city lake

cafe bistro laundrette

new embankment and small copse: major water evaporation and cold air generation

Neckar backwater micro-housing

neighbourhood community space

temporary living cafe bar

bicycle shop

dockland and industrial area

lawn: minor water evaporation and cold air generation

access road

lake: medium water evaporation and cold air generation

new urban district

Neckar canal

mobility point

ing water consumption and recycle all waste and grey water. The entrance to the site will be marked by what is due to be the tallest timber building in Germany with ten storeys and a height of 34 m, currently under construction. As part of a research project, autonomous vehicles will drive through the new urban neighbourhood during the BUGA. Planners are also aiming to create high-quality outdoor space. The Karlshafen and Floßhafen harbour basins, which had been filled in after World War II, have been reopened in order to create generous open spaces. The design of the area around the urban lake (previously the Floßhafen) has an urban character. Thanks to the triangular site, with the lake inside and adjacent green areas around its edges, each of the three building plots connects to high-quality outdoor space on two sides and thus benefits from high-quality urban space. The former Karlshafen is being reconfigured as a lake linking the BUGA site to the southern city. Its shoreline and embankment shield the “Stadtsee” from the active city harbour on the Neckar canal. The newly designed river basin, which runs through the city as an ecological corridor, is

becoming the city of Heilbronn’s actively used leisure area. Around 70 percent of sealed surfaces have been opened up. This partial renaturation helps reduce outside air temperatures by up to 1.5 °C, and also helps avoid flooding after heavy rainfall thanks to easier infiltration. Trees on the embankment between the neighbourhood and the Neckar canal improve air quality by generating cold air through evaporation and shading building’s external surfaces. Buildings are oriented towards prevailing winds in order to channel fresh air through the neighbourhood. Following the BUGA, open spaces will be adapted for neighbourhood use. However, they will remain important far beyond neighbourhood boundaries and fulfil an overriding role within the wider urban fabric. The project shows how neighbourhood development can be integrated with major projects such as the BUGA from an early stage to generate win-win benefits. It also testifies to the great importance of open space – and green space in particular – within the urban setting.

Further information

• http://bundesgartenschau.de/buga-iga/ kommende-gartenschauen/insel-im-fluss-diebuga2019-und-der-neckarbogen/?PHPSESSID =23cb49df12b5d345f9eafce8521ad5a1 • https://www.heilbronn.de/bauen-wohnen/ bundesgartenschau-2019-stadtausstellungneckarbogen/stadtausstellung-neckarbogen.html • www.heilbronn.de/umwelt_klima/nachhaltigkeit/ nachhaltigkeit_stadtentwicklung/

244

Chapter 5 —  Case Studies

S TO C K H O LM , SW E D E N

Hammarby Sjöstad Key data Urban design

Project type

Sustainable regeneration of dockland and industrial brownfield

Key access

Hammarby Allé

Size

150 ha + 50 ha water area

Gross floor area (GFA)

ca. 1,200,000 m2

Plot ratio

ca. 0.8

Users

25,000 residents, 11,000 dwellings, 10,000 jobs planned for completion in 2016

Team

Stockholm urban planning office in cooperation with White Architects, Nyréns architects and Erséus architects

Economy

Construction

1999 – 2016 www.hammarbysjostad.se

Processes, sociocultural issues

2 1

Emissions

Website

3

Open space, urban climate

Soil, water

Energy

Mobility

Material flows

combined heat and power plant

indoor waste collection points public waste collection points

electricity and neighbourhood heating

flammable waste

Further information

•  Brick, Karolina: Report summary – Follow up of environmental impact in Hammarby Sjöstad: Sickla Udde, Sickla Kaj, Lugnet and Proppen, Grontmij AB, Stockholm 2008 •  Ceeney, Lynne: Sustainable Developments in Sweden: Lessons for Ecotowns (Br 507), 2010 •  Foletta, Nicole; Field, Simon: Europe’s Vibrant New Low Car(bon) Communities. 2011 •  Fränne, Lars: Hammarby Sjöstad – a unique ­environmental project in Stockholm; Booklet, GlashusEtt. Stockholm 2007 www.hammarbysjostad.se •  GlashusEtt, Development Office: Hammarby Sjöstad – a new city district with emphasis on water and ecology; Alfaprint, Bumling AB, Stockholm 2011 •  Vernay, Anne-Lorene et al.: Systems Integration: Condition for Success. The Case of Hammarby ­Sjostad and Eva-Lanxmeer; ICONDA®Bibliographic, 2011. http://www.irbnet.de/daten/iconda/ CIB22082.pdf • www.urbangreenbluegrids.com/projects/hammarby-sjostad-stockholm-sweden • www.futurecommunities.net/case-studies/ hammarby-sjostad-stockholm-sweden-1995-2015 • https://webarchive.nationalarchives.gov. uk/20110118150127/http://www.cabe.org.uk/ case-studies/hammarby-sjostad

Hammarby Sjöstad (Hammarby lake-city) is about 3 km from the centre of the Swedish capital. Stockholm was Europe’s first environmental capital in 2010 and has reduced CO2 emissions by 25 percent since 1990.1 The dockland and industrial brownfield was designated as a mixed-use development area in 1993 in response to major population and urban growth. Hammarby subsequently became Stockholm’s largest urban development project, reaching completion in 2016. The master plan sets out the quality of urban space and integrates environmentally friendly technologies with the aim of reducing the ecological footprint by 50 percent in comparison to other districts in Stockholm.2 Individual building plots were given to the developer who demonstrated the most innovative design approach. This practice targeted investors wishing to implement experimental and environmentally friendly technologies or concepts in the neighbourhood. Canals provide 180 boat moorings and serve as local recreation areas. They also act as a buffer for rainwater and storm surge water, slowing its discharge into Hammarby Lake. The mobility plan focuses on a dense network of footpaths and cycle routes connecting to sur-

underground conduits

rounding areas. A new tram line and two new bus routes connect Hammarby Sjöstad with other parts of the city. All-year municipal ferry services provide further water-bound public transport options. A pool includes 46 electric cars for residents to rent in order to reach destinations beyond the public transport network. These measures make a major contribution to the fact that only around 20 percent of residents use private cars today.3

Energy, material flows and water Hammarby Sjöstad features a purpose-built integral energy and material flow system, which is now being copied by other cities. The core idea is to recreate a zero-waste natural cycle within the neighbourhood. For example, a system of vacuum pipes collects combustible waste which is used to generate neighbourhood heat and electricity in a CHP plant. Biogas produced as a by-product from waste water treatment is used to operate buses and cars in the neighbourhood, and to generate heat, cooling and electricity 4.

245

Hammarby Sjöstad

Energy Biofuel Sewage sludge Combined heat and power plant (CHP) Remote heating and power Flammable waste

Biofuel

Fields

Compost plant

Soil Recycling

Waste

Solar, Wind, and Water energy plant Environmentally-friendly electricity generation

Organic waste

New packaging Paper, glass, and tin waste etc.

Buildings Building rainwater run-off Drinking water

Hazardous waste Electronic waste Specialised ­disposal

District ­heating and cooling

Drinking water treatment

Precipitation Sealed surfaces

Purified waste water

Biogas

Public busses and cars Waste water

Hammarby Heat plant

Meer Sea

Biogas

Sewage ­treatment plant

Canal Hammarby Lake Sedimentation Water

As a by-product from biogas production, sewage sludge is dried and used as agricultural fertiliser. Above ground, collection points for paper, metal, glass and plastic waste are located on each building block. Non-flammable components are ­collected and fed into the recycling cycle. ­Hazardous waste such as paints or batteries are collected centrally for appropriate disposal. The energy and material flow model also creates a natural neighbourhood water cycle. Water for domestic cooking, drinking and washing is drawn from the water treatment plant fed by the nearby Lake Mälaren. Heat energy stored in grey and black water is extracted and used to support the local heating system before sewage is cleaned in an experimental sewage treatment plant and naturally infiltrated. The design of the open space includes open conduits to channel rainfall from sealed areas through the neighbourhood into Hammarby Lake. Many roof areas are greened, which contributes to mitigating flood peaks and improving the neighbourhood’s microclimate and bio­diversity. Water draining from roofs during

heavy rainfall is stored in cisterns and used to irrigate gardens and flush toilets. In addition to using rainwater, individual buildings include various grey and black water recycling systems to reduce drinking water demand to 100 litres per person per day, which is 50 percent lower than the average for the entire city of Stockholm. Residents themselves and their consumer choices make a significant contribution to this sustainable, resource-efficient neighbourhood. The neighbourhood environmental information centre, GlashusEtt, hosts events to explain the concept of the neighbourhood to residents and raise their awareness of a sustainable lifestyle.

Purified waste water

1  Foletta 2011, p. 42 2  Sandelin 2008 3  Foletta 2011, p. 43 4  Fränne 2007, p. 7 5  ibid., p. 24

Opposing page:   left  Master plan right  Underground waste conduit system This page: above  Integrated energy and material flow system for energy, waste and water below left  One of many mooring points below centre Waterside ­leisure opportunities below right Rainwater ­infiltration integrated into the open space concept

24�

Chapter 5 — Case Studies

B E R LI N , G E R M A N Y

Möckernkiez Key data Project type

Model for a cooperatively planned urban neighbourhood

Key access

Yorckstraße / Möckernstraße

Size

27,100 m

Gross floor area (GFA)

65,000 m2

Plot ratio

1.7

Users

330 residents / ha, 850 users (planned)

Team

Baufrösche Architekten und Stadtplaner (master plan), Baumschlager Eberle Berlin, Rolf Disch Solar-Architektur, roedig.schop Architekten, Schulte-Frohlinde Architekten (architects), Drees & Sommer (project management, sustainability), Möckernkiez Genossenschaft für selbstverwaltetes, soziales und ökologisches Wohnen eG (owners)

Urban design

Economy

2

2

2008 initiative founded, Construction started end of 2013, Completion from June 2016 to August 2018

Website

www.moeckernkiez.de

The concept of the urban neighbourhood was developed together with its future residents. An initiative founded in 2008 included the Möckernkiez cooperative, responsible for build-

ing and managing the neighbourhood, and the “Verein Möckernkiez” association, who promote social and cultural coexistence. Sustainability was of central importance for the project, which focussed on sociocultural and ecological aspects. In social terms, the project addressed all age groups, aiming to create an urban neighbourhood with a family- and child-friendly environment whilst providing self-determined living for the aged. The project also prioritised the inclusion of people with disabilities in the sense of the UN Convention on the Rights of Persons with Disabilities. Generally, the design of the Möckernkiez followed the “Design for All” principles of respect for diversity and quality of life for all people, paying consistent attention to inclusive

Processes, sociocultural issues

1

Emissions

Construction

When the first terminus stations were built in Berlin 170 years ago, a triangle of tracks (“Gleisdreieck”) was built in Kreuzberg on the approach to the Anhalt station. The triangle has since been transformed into the Gleisdreieck Park open space and a new urban neighbourhood, the Möckernkiez model project, built along its south-eastern perimeter. The sustainable, intergenerational residential area provides 471 rental apartments, approx. 20 commercial units and an underground car park with 98 parking spaces, as well as community spaces.

3

Open space, urban climate

Soil, water

Energy

Mobility

Material flows

access. Other important objectives identified by the Möckernkiez Association were to promote and strengthen social cohesion amongst neighbourhood residents, and to engage future residents and residents of surrounding existing buildings in the process of designing the neighbourhood. In environmental terms, the main focus was on living in tune with nature. The plan was to seal only few areas and to protect biodiversity. Keeping resource consumption low to protect nature and keeping costs down for tenants was equally important. The entire neighbourhood was to be built to Passivhaus standards and rely on the use of renewable energy and grey water. The initiative also wanted to offer an attractive, car-free residential setting with access to facilities nearby.

247

Möckernkiez

Co-decision making

General assembly of members: •  agrees key principles •  elects Board of Directors

Consultation

•  discussions, votes in membership assembly • workshops •  developing and initialising concepts and proposals •  taking part in surveys •  committee work • steering group of house group representatives mediates between residents and Board of Directors

Information

• Board of Directors reports and opportunities for questions in membership assembly •  regular member information by mail • exhibitions •  information events •  advisory sessions

Process and social fabric The project developed its own financing model in order to facilitate delivery. Anybody wanting to occupy an apartment is required to put around € 920/m2 into the cooperative. This equates to 30 percent of construction costs and corresponds to € 119,500 for a 130 m2 apartment. The remaining 70 percent was financed by bank loans. This funding model achieves very moderate rents per square metre (excluding services), which should be affordable for a broad public. There is some opposition to this model, because people on low incomes remain unable to contribute the initial contribution. The fear is that the funding requirement could make it a purely middle-class neighbourhood. Nevertheless, the cooperative model

presents a modern and viable way of financing neighbourhood development. The Möckernkiez initiative’s model project is a rare example of planning a user-specific urban neighbourhood by means of new organisational forms and financing concepts which go beyond conventional model of participation. The project shows that alternative project organisations can generate large-scale neighbourhood projects, over and above the well-established Baugruppe.

Opposing page: Planning submission ­indicating open space plan This page: left  Forms of participation below  Visualisation: urban living in the neighbourhood

Further information

• www.berlin-maximal.de/branchen/immobilien/ art87,2327 • www.netzwerk-generationen.de/index. php?id=490 • www.tagesspiegel.de/berlin/steigendemieten-im-moeckernkiez-sollen-400-wohnungenentstehen/6541518-2.html

248

Chapter 5 —  Case Studies

A M H A R A R E G I O N , E TH I O P I A

NEST – New Ethiopian Sustainable Town Key data Project type

Exemplar for third-world sustainable urban development

Key access

n/a (new town)

Size

Entire city, size undefined

Gross floor area (GFA)

Undefined, depends on development process

Plot ratio

Undefined, depends on development process

Users

15,000 (model town)

Construction

NESTown Group: Franz Oswald, Peter Schenker, Benjamin Stähli, Fasil Giorghis (Project management), working with Dieter Läpple, Monika Oswald, Zegeye Cherenet, Roland Walthert, Philippe Block, Marc Angelil, Dominik Langenbacher, Tibebu Daniel, Peter Schmid, Jean-Pierre Kuster

Economy

Construction

2015 – 2017 (BuraNest model project)

Website

www.nestown.org

Unlike European cities, most of which develop according to long-term plans, urban growth in Asia, Africa and South America tends to be rapid and mostly uncontrolled. People move from rural areas to cities, which lack the adequate social and technical infrastructure to keep pace. In Ethi­ opia, the population has doubled in just 25 years. The NEST project – an acronym for “New Energy Sustainable Town” or “New Ethiopian Sustainable Town” – explores the outlook for sustainable development in small rural towns before the exodus to the city sets in. Initiated by a team surrounding a Swiss-Ethiopian group of architects, the project aims to develop self-reliant small towns in rural Ethiopia, which have the necessary infrastructure (schools, urban construction works including water, energy and waste management, community facilities and medical station, administration, market) and the ability to provide their own food, energy and water supply. The aim is for residents to lead self-deter-

Urban design

mined lives, independent of imported goods. The model is based on the “4E” urban design themes: Ecology, Energy, Exchange, and Education. Skilled craft qualifications and university degrees are rare and often of poor quality. This is why one project focus is on education. In addition to conventional schooling, building the town by hand aims to practice manual skills and consolidate professional pride and a sense of belonging to a new, modern society. Collaboration and the division of labour is to be set on a cooperative basis. This approach aims to instil and reinforce a sense of community even in preparation and construction, and later provide the basis for using and cooperatively running the town. Along with a terrace and pergola, a tree, which is considered sacred in Ethiopian culture, defines the town centre square. This centre is surrounded by four core areas, each dedicated to one of the four design themes: a school area (education), a

3 2

Processes, sociocultural issues

1

Emissions

Open space, urban climate

Soil, water

Energy

Mobility

Material flows

hut for supplies and building materials (energy), a market and transport area (exchange) and a community facility, including a nursery, medical station, administrative centre and church (ecology). Each core area thus embodies one of the activities and institutions necessary for building a town. Core area 1 (education), which includes the vocational school, and core area 2 (energy), where experiments are carried out on building prototypes are particularly important. Dimensions and proportions can be adapted to meet local needs and conditions. Residents are organised in cooperatives, building their houses together on defined plots of land and adapting the given two-storey building structure to meet their own needs. A so-called Rain Water Unit (RWU) – common roof area for up to eight dwellings – collects rainwater and channels it into cisterns and a system of overflow gutters. The master plan maps out areas for growing vegetables, for livestock, for shops, workshops

249

NEST – New Ethiopian Sustainable Town

Opposing page: Possible development ­phases This page: above  Fig tree on the town centre square below left Completed ­cisterns in front of the ­housing below centre Building ­cisterns to irrigate the fields below right  Irrigation water channel

and rows of houses each with their own garden. The plan also includes areas for joint activities, sports and games as well as for infrastructure and transport. The concept envisages using only locally available materials. Building components combine locally extracted materials such as stones, logs, and grasses, air-dried clay bricks (adobe) with industrial waste such as plastic bottles, tin cans, plastic containers, tyres or cables. The cooperative construction of houses and associated infrastructure is another important aspect. Residents commit to help building the neighbouring buildings, and gain support in building their own houses in return. The NEST model is being used for the first time in Bura on Lake Tanas, north of Bahir Dar in the north-west of Ethiopia. BuraNEST is a “Real Life Experiment” which aims to create an ecologically and culturally balanced, self-sufficient and auton-

omous town. A first rural neighbourhood (Close One) with 22 rainwater units (RWU) or 180 house units was completed by 2016. And yet the project also highlights that there can be more than one model for sustainable urban development. Simply transferring a planning approach for sustainable neighbourhood development from Europe to Africa (or vice versa) would probably be doomed to failure. It therefore remains to be seen how successful NEST will be in Africa and whether other projects will follow this principle.

Further information

•  Angélil, Marc; Hebel, Dirk (ed): Cities of Change. Addis Ababa. Basel/Boston/Berlin 2009 •  Post Oil City, Arch+ 196/197 02/2010 •  Giorghis, Fasil: Challenges of New Towns in ­Ethiopia. In: Construction Ahead 17, Addis Ababa 2009 •  Oswald, Franz: Der urbanisierte Globus. In: Die Stadt der Zukunft. ETH Globe 2, 06/2010, pp. 14–19 •  Oswald, Franz: The Idea of a Town. In: Construction Ahead 20, Addis Ababa 2009 •  Oswald Franz: The Making of Urban Ethiopia. in: Construction Ahead 17, Addis Ababa 2009 •  Oswald, Franz; Schenker, Peter: NESTown: New Ethiopian Sustainable Town. A Real Life Experiment. In: ATDF Journal 7, 01–02/2010 •  Cherenet, Zegeye; Sewnet, Helawi (ed): Building Ethiopia. Addis Ababa 2012 • www.nestown.coop • www.menschenfuermenschen.ch/projekte/stadtder-zukunft-buranest

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Chapter 5 —  Case Studies

A M S TE R DA M , N E TH E R L A N D S

GWL-Terrein GWL-Terrein Urban design

Key data Project type

Car-free neighbourhood on site of former drinking water treatment plant

Key access

Haarlemmerweg, Van Hallstraat, Van Hogendorpstraat

Size

6 ha

Gross floor area (GFA)

ca. 70,000 m2

Plot ratio

ca. 1.2

Users

ca. 1,400 residents, ca. 600 dwellings

Team

KCAP Architects & Planners (urban planners), West 8 (landscape planners), DKV, Neutelinger & Riedijk, Meyer & van Shooten, Zeinstra, Van der Pol (architects)

Construction

1994–1998

Website

www.gwl-terrein.nl

Economy

3

Processes, sociocultural issues

2 1

Emissions

Open space, urban climate

Soil, water

Energy

Mobility

Material flows

This page: Site plan (grey = existing, coloured = new build) Opposing page: above left  Aerial photograph above right:  Green space with playground below (left to right) Neighbourhood playing field – with landmark former water tower in background; car-free neighbourhood access routes; brick housing block

The GWL-Terrein is located on the site of a former drinking water treatment plant on the outer edge of the dense Westerpark district about 3 km north-west of Amsterdam city centre. It forms the transition between an industrial area and the dense 19th-century Staatsliedenbuurt resi­ dential area. The aim of the project was to provide new homes and attractive outdoor space, particularly for families from diverse social backgrounds. At the same time, the development’s impact on the ­environment was to be kept as low as possible. Building density and use lend the neighbourhood an urban character. The layout reflects the street layouts and floor heights of the surrounding urban grain. Each surrounding street is extended as a pedestrian route through the site and ties residential buildings in with the different existing

industrial buildings. The former waterworks now house a café, a restaurant, a pub, some business premises and a community centre. Two long, slightly kinked buildings in the northwest enclose the building layout and shield it from the noise of the heavily trafficked road to the north and the adjacent industrial estate to the west. The terraced building typology breaks up the surrounding perimeter block development to create varied views in and out of the area. GWL provides approximately 600 dwellings, around half of which were built as part of the state social housing programme. Target density was pitched at 230 persons per hectare, and a plot ratio of around 1.2. Despite this high urban density, the intention was for the neighbourhood’s character to be defined by as many green spaces as possible. This resulted in the design

of a car-free neighbourhood where traffic areas are reduced to a minimum. Providing only a small amount of parking around the edges helped dedicate much of the site to private and public green spaces – including four playgrounds. The basic idea was to individualise the management of green spaces as much as possible by placing it in the responsibility of the residents. Residents use and take care of rented gardens and balconies, thereby taking on responsibility for these areas.

Mobility The neighbourhood is completely car-free, offering only emergency access to fire services or ambulances. Parking provision has been reduced from the usual 2.5–3.0 spaces to only 0.2 spaces

251

GWL-Terrein

per apartment. In fact, only about 20 percent of residents own a car.1 Residents drew lots for the 140 resident spaces located at the neighbourhood’s western boundary, alongside 10 visitor parking spaces and two car-sharing vehicles.2 More car-sharing spaces are planned on the eastern boundary. The absence of underground car parking helped reduce construction cost considerably. As a result, public transport links are very import­ ant. A tram terminus provides a direct connection to the city centre whilst extending the line to the leisure area to the north is under discussion. A bus route links the neighbourhood to the main railway station. Both stops are located on the neighbourhood’s eastern boundary. The neighbourhood itself is accessed by shared foot and cycle paths paved with water-permeable bricks

and concrete blocks. Rigorous, straight east-west connections and curved north-south routes help people find their way. GWL-Terrein exemplifies the successful design and delivery of a car-free urban quarter. Excellent public transport links, with stops within easy walking distance from all parts of the neighbourhood are a key factor contributing to the success of projects of this kind. Access to existing or new local amenities, leisure and educational facilities is also essential. At GWL-Terrein, these are available in the nearby Westerpark area.

1  Foletta 2011, p. 18 2 Christ/Loose/Hübner 2001, p. 27

Further information

•  a+t 19, 2002: Density I •  Christiaanse, Kees; Geipel, Kaye; Sauerbruch, Matthias; Wohlhage, Konrad: Kees Christiaanse. Rotterdam 1999 • www.energy-cities.eu/db/amsterdam_579_en.pdf • www.gwl-terrein.nl/files/artikelen/low%20 carbon%20communities%20GWL%20only.pdf • www.kcap.eu/en/projects/v/gwl_terrein/ • https://webarchive.nationalarchives.gov. uk/20110107171236/ • http://www.buildingforlife.org/case-studies/ gwl-terrein/introduction

252

Chapter 5 —  Case Studies

SY D N E Y, AU S TR A LI A

Barangaroo Key data Project type

New housing and business neighbourhood on brownfield dockland site

Key access

Hungry Mile, High Street, Kent Street

Size

12.8 ha (South = 7.5 ha, Central = 5.3 ha)

Gross floor area (GFA)

564,000 m2 (total), 400,000 m2 (offices), 120,000 m2 (residential), 44,000 m2 (retail, other)

Plot ratio

4.4

Users

23,000 (jobs), 3,000 residents, 2.5 million visitors to neighbourhood and adjoining “Barangaroo Reserve” park (2015 –2017)

Team

Economy

Construction

Construction started in 2011, completion due 2025

Website

www.barangaroo.com

Barangaroo Central

At 22 hectares, Barangaroo Waterfront is Sydney’s largest urban regeneration project. Located east of the central business district, the now ­disused container ship loading berths had been used for shipping and industry for 200 years. Since 2011, a new nearly car-free neighbourhood has been under construction here. Around 30,000 people are expected to live and work here when the development is completed, planned for 2025. This is one of only 19 neighbourhoods worldwide to participate in the C40 Cities “Climate Positive Development Program”. The four overriding sustainability goals are to be CO2-neutral, to produce more clean water than is needed, to generate zero waste and emissions and to improve residents’ well-being. The plan is to generate solar power for the public realm directly within the neighbourhood, and to provide electricity to

3 2

Hill Thalis Architecture+Urban Projects, Paul Berkemeier Architects, Jane Irwin Landscape Architecture (urban design competition winners), Sacha Coles, Aspect and Oculus (landscape architects), Richard Rogers, Ivan ­Harbour (Barangaroo South), Peter Walker & Partners (Headland Park), ­Skidmore, Owings & Merrill LLP, Anderson Hunter Horne (Central Barangaroo)

Headland Park

Urban design

1

Emissions

Processes, sociocultural issues Open space, urban climate

Soil, water

Energy

Mobility

Material flows

Barangaroo South

around 5,000 apartments from a nearby solar park. Public transport and a dense street grid is seen as particularly important. The intention is that most of the food sold in the neighbourhood should be produced organically within the region, and that more than 80 % of waste should be recycled. Appropriate training is to encourage local businesses to reduce packaging and general waste.

Energy and mobility Various measures are implemented in order to make the neighbourhood CO2-neutral. For example, the orientation of the three office ­towers reduces heat gains on western facades to a minimum. Seawater used for cooling contributes to energy-neutral air conditioning. By June

2017, rooftop photovoltaic systems were produ­ cing 803 kW. Around 96 percent of people living and working in the neighbourhood make daily trips by public transport, bicycle or on foot, contributing to a positive CO2 balance. This is made possible by a dense public transport network, which includes a ferry service connecting Barangaroo to the existing water network, a metro or train station and further bus or tram stops. The plan is also to provide more than 1,000 bicycle parking spaces and attractive foot and cycle paths through the car-free zones. This aims to revitalise the public realm and define neighbourhood identity. Materials and logistics are selected with care, even during construction, with local sandstone being used on a large scale. The intention is also to use

253

Barangaroo

Opposing page: left  Master plan right  Headland Park ­harbourside now This page: above left  Aerial view of the neighbourhood, November 2017 below  Current harbourside use

around one third of the 330,000 m3 of material excavated for building the office towers to create the Headland Park at the northern end of the site. All other building materials will be brought to the construction site, mostly by ship. The water recycled in Barangaroo will also supply drinking water to other parts of the city. As well as consistently using water-saving devices, rain water and treated waste water will be used to flush toilets, for irrigation and fire-fighting. Rainwater is stored in water tanks on rooftops and beneath the adjacent Barangaroo Reserve park. The master plan sets aside more than half of the development site for public space and recre­ational areas, especially in “Headland Park”, the first planning phase, where there is also a cultural centre. The area will be defined by green spaces,

footpaths and cycle routes, as well as the redesigned shoreline. The design includes artificial rock pools, sandstone basins which fill with water at high tide. “Barangaroo Central” combines areas for recreation and commercial development, providing space for open air events, art and cultural events and educational activities. “Barangaroo South” will extend the central business district to the waterfront, providing a mix of commercial and residential buildings as well as public areas. The new, 14 km long waterfront promenade aims to connect the entire neighbourhood to the surrounding urban areas. The area is already being used regularly for a variety of events.

Further information

• www.barangaroosouth.com.au • www.cityofsydney.nsw.gov.au/development/ major-developments/barangaroo • https://thestreetsofbarangaroo.com

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Chapter 5 —  Case Studies

A M S TE R DA M , N E TH E R L A N D S

NDSM Wharf Key data Project type

Dockland brownfield transformed by interim use

Key access

Neveritaweg

Size

68 ha including waterbodies

Gross floor area (GFA)

To be defined, depending on development process

Plot ratio

To be defined, depending on development process

Users

Artists, start-ups, creative industries, ca. 2,100 residents

Team

Project office Amsterdam Noordwaarts, De Architekten Cie, Kinetisch Nord (artists’ group) + Dynamo Architekten

Construction

Interim use and conversion as from 2000

Website

www.ndsm.nl

Urban design

Economy

3

Processes, sociocultural issues

2 1

Emissions

Open space, urban climate

Soil, water

Energy

Mobility

Material flows

This page: below  Aerial photograph Opposing page: above  Urban life on the streets of the “Kunststad”, a former shipbuilding hall now housing workspaces for artists and creative ­industries below left Open space use next to former dockland crane and shipbuilding hall; student housing in converted freight containers below centre “Kantine”, one of the neighbourhood's bars and cafés below right “Kraanspoor” office block on 270 m long gantry tracks

NDSM wharf is a dockland brownfield in north Amsterdam, just a 10-minute ferry trip from the main railway station. NDSM wharf has recently become one of the most sought-after creative and cultural hotspots. Most of the former industrial and dockland site’s buildings have been vacant since the 1990s. The area’s shipyard character is still very well-­ preserved in the eastern part of the site, and these parts of the complex, including a large shipbuilding hall are now listed. In 1999, a group of various ­artists and designers won an ideas competition for the entire area organised by the City of Amsterdam. Work on the site began in the year 2000, when the Kinetisch Noord Foundation started to use and manage the 20,000-m2 shipbuilding hall. The building came to house a self-contained small town called the “Kunststad” including alleys and squares and soon attracted more and more creative people from the entire Netherlands. The City of Amsterdam views this cultural project as a kind of seed cell for the entire development site, which is

set to house more homes and start-ups in future. The plan is for the neighbourhood to continue growing according to the guiding creative urban development principle, and the contract for use of the site, initially limited until 2011, has been extended to 2027.

Focus: urban design and open space The neighbourhood’s urban development master plan sets out building plots, open spaces and connections, but leaves a lot of room for manoeuvre in the design and delivery. The entire site is mixeduse, with 30 % of new-build apartments dedicated to social housing. Previously, most changes were driven by the conversion and interim use of existing buildings. As well as the central shipbuilding hall, an old forge and a f­ ormer joiner’s workshop are being converted to house new businesses (a manufacturer of energy drinks and a music station). Outsiders’ perception of the area changed

fundamentally when the 270 m long “Kraanspoor” office building was built on an old crane track 13 m above the surface of the water. The design of the open spaces aims to preserve the character of the neighbourhood as a wharf, adding only the bare minimum needed for cleaning, maintenance, security installations and lighting. A central north-south street, provides space for temporary exhibitions, numerous concerts, festivals, flea markets and other events, which contribute to revitalising the neighbourhood and raising awareness of the neighbourhood as a creative centre. The whole area is traffic-calmed. A ferry service every 30 minutes and three bus routes ensure that the area is connected to the city centre. Both are set for further expansion in future.

255

NDSM Wharf

Focus: process and ­participation The vision is to create an urban neighbourhood without boundaries between living and working, culture and commerce, old and new. In particular, the neighbourhood is intended to strengthen creative industries in the city. The route to achieving this goal is deliberately kept open. NDSM wharf is growing organically and slowly, generating a high degree of urbanity and diversity. Quickly and without much red tape, interim uses spring up in vacant spaces, generating massive potential for improving the area. There are also the first community-led initiatives in the neighbourhood to promote greater use of envir­onmentally friendly technologies. For ex­­ ample, efforts are being made to implement a system to reuse grey water and allow rainwater to infiltrate slowly on-site. The plan is also to organise a joint energy supply and thereby offer former industrial and factory workers new job opportu-

nities, for example by installing large-scale solar collectors on the shipbuilding hall. There are also plans to use organic waste from households and restaurants to fuel a biogas plant. An “Energy Café”, hosted several times a year, provides information and the opportunity to discuss possible courses of action. It aims to draw up an energy map in order to help manage shared activities. The neighbourhood’s residents have set themselves a goal of meeting their entire energy demand from renewable sources by 2020. The construction of wind turbines will make a major contribution to meeting this objective. At present, it is difficult to predict how the neighbourhood will develop and whether it will achieve its goals, however the measures implemented so far can be said to have made a very positive contribution to this end.

Further information

•  Brinkmann, Ullrich: Interior Urban Design. In: Bauwelt 22/2008, pp. 32–35 •  Senatsverwaltung für Stadtentwicklung Berlin: Urban Pioneers, Berlin: Stadtentwicklung durch Zwischennutzung. Berlin 2007 •  Ziehl, Michael et al.: second hand spaces. Über das Recyceln von Orten im städtischen Wandel. Berlin 2012 • www.evadeklerk.com/kunststad • www.ndsmenergie.nl • https://wonenopndsm.nl/home

25�

Chapter 5 — Case Studies

B E R LI N , G E R M A N Y

Berlin TXL – The Urban Tech Republic Key data Project type

Research and industrial park on a former airport site

Key access

Westliche Trapezstraße

Size

495 ha

Gross floor area (GFA)

ca. 150,000 m2 existing buildings, up to 1.3 million m² new buildings

Plot ratio

ca. 0.59 – 0.68

Users

17,500 workers, 5,000 students (planned)

Team

Reicher Haase Assoziierte GmbH (urban design master plan), LOIDL (landscape design), TOPOTEK 1/MVRDV (design manual), Drees & Sommer (project management, sustainability, infrastructure and transport ), IBT.PAN, Argus (urban and transport planning), EIBS (transport planning), GRAFT Architects, West 8 architecture, gmp Gerkan Marg und Partner architects, Tegel Projekt GmbH

Construction

Construction expected to start in 2022, completion expected 2042

Website

www.berlintxl.de

Urban design

Economy

3 2 1

Emissions

Processes, sociocultural issues Open space, urban climate

Soil, water

Energy

Mobility

Material flows

257

Berlin TXL – The Urban Tech Republic

Introduction and history “Berlin TXL – Urban Tech Republic” is the vision for the future of the site now used for Berlin’s “Otto Lilienthal” airport. The airport with the IATA code “TXL” is scheduled to close six months after Berlin Brandenburg Airport, currently under construction, has been opened. At 495 ha, Europe’s biggest inner-city development site in the middle of Berlin’s western centre will then be open to new urban development. First used for air traffic in 1896 and expanded in order to help break the Berlin Blockade in 1948, the site was opened for civil aviation in 1960. The distinctive hexagonal terminal building designed by Gerkan, Marg und Partner architects was completed in 1974.

Spatial structure The plan envisages a vital industrial and research park for around 17,500 workers and 5,000 students. The objective is to create a place where science, research, industry and commerce can closely collaborate to generate future industries for tomorrow’s cities. The focus is on six “urban technology” fields: energy, mobility, water recyc­ ling, (new) materials and information and communication technologies (ICT). Importance is given to networking with the urban environment and landscape.

The development plan for the 495-ha site includes 221 ha of building plots and 245 ha of green space. The central, iconic terminal building will house the Beuth University of Applied Sciences. Outbuildings will accommodate the “Gewerbeband” (commercial cordon), whilst the area between today’s runways will house the “Industriepark” (industrial park). Existing structures such as the terminal, parts of the runway, and the technical infrastructure will be integrated and converted for urban use. Plots between 3,000 m 2 and 200,000 m2 offer flexible locations for businesses ranging from start-ups to multinational corporations. An experimental 10-ha area will be dedicated to academic and industrial research facilities. At the eastern edge of the site, the mixed residential “Schumacher” neighbourhood (29 ha) with up to 5,000 apartments ties into adjoining existing residential neighbourhoods. The “Landschaftsraum Tegel” (Tegel landscape area) extends through the area from east to west, where it meets Jungfernheide forest. Housing, jobs and leisure facilities are closely linked to create a “city of short routes”.

Process Right from the start, planning the redevelopment of the airport was a discursive process which had to take many interests into account. In 1996, the federal government and the affected states of

Opposing page: Urban design prequalification of the central area, July 2014 This page: above: Visualisation, aerial view below: Visualisation, ­Campus square

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Chapter 5 —  Case Studies

Phases Existing + Phase 0 Phase 1 Phase 2 Phase 3 Phase 4

Waste water access Drinking water access Pumping station Optional in small-scale access network /development

This page: Innovative infrastructure: water, access and canal network Opposing page: Diagram of future rainwater scheme

1 www.stadtentwicklung. berlin.de/staedtebau/projekte/tegel/de/konzept/ leitsaetze.shtml

Berlin and Brandenburg unanimously decided to close of the airport. Currently, 33 % of the airport site belongs to the state of Berlin. The federal government, represented by the federal agency for real estate, owns 67 % but will give up its share of the ownership during the redevelopment process. The process of discussing and developing the reuse concept started with an initial conference hosted by Berlin’s Senate Administration for Urban Development and Environment in 2008. Numerous other conferences stimulated the debate by providing the general and professional public with an insight into the ongoing process. The idea of making the site a beacon for sustainability, innov­ ation and the economy was expressed from the outset. A phased, cooperative workshop process was carried out in 2009 and 2010. Six renowned planning teams gave shape to these ideas, defining the target vision of a “research and industrial park for future technology in the Jungfernheide landscape”. This was the basis for a structural concept and nine principles1 to guide the development of the area. The idea to transform the site into a “Smart City” was born.

Quality Assurance Tegel Projekt GmbH was founded as a 100 % subsidiary of the state of Berlin in 2011. It is tasked with managing the delivery of the development vision. Based on preliminary work, the “Master plan Berlin TXL: Reuse of Tegel Airport” was adopted in 2013, and it provided the basis for the urban planning competition, won by RHA Reicher Haase Assoziierte GmbH in the same year. The winning design retains many existing buildings which create a sense of identity – including the “Highflyer” terminal access, both A and B terminals, and several hangars. Subsequently, Topotek1 and MVRDV developed a design handbook which sets out clear and flexible design guidelines for buildings, exterior spaces and vegetation, ensuring that different building developers adhere to a harmonious design. The project’s quality requirements were further reinforced through certification of the central “Campus West” phase according to the DGNB Commercial Districts system (Pre-certificate 2016). The redevelopment of the site affects adjoining neighbourhoods which also need regenerating.

In 2015, an Integrated Urban Development Concept (Integriertes Städtebauliches Entwicklungskonzept ISEK) was drawn up for Tegel Airport and the surrounding area. This promotes the new neighbourhood’s integration with its surroundings. Various workshop events focussed on developing measures for the surrounding areas, including the Cité Pasteur neighbourhood, which has close spatial links to Berlin TXL. These measures will be implemented whilst the Urban Tech Republic is being built.

Infrastructure In 2013, Drees & Sommer’s “Innovative Infrastructures” study laid the foundation for integrating technical innovations into the Berlin TXL project. The unprecedented tendering of an integrated infrastructure system plan (a contract for all infrastructures from water and energy to mobility and ICT solutions), helped an integrated planning team generate new synergies. The feasibility study examined the suitability of a range of common and unconventional infrastructure solutions for the

259

Berlin TXL – The Urban Tech Republic

Private Optional rainwater treatwment for use in flushing toilets UV-radiation

Public

Covered settlement basin /retention basin (new) Rainwater channel

Fine filter

Open water course

Evaporation

Recirculation

Hybrid control, pressurising plant

Rainwater use

Optional adsorption reactor(s) for rainwater treatment Open water course

Covered settlement basin/retention basin (existing) Rainwater channel

Open rainwater basin

Membrane drum filter

Optional adsorption reactor(s) (iron hydroxide)

Adsorption circulation

Phosphate

Optional extraction of canal water to balance water level

project’s supplies and infrastructure. This resulted in plans to allow industrial waste heat and heat/ cooling from renewable energy sources to be fed into a low-temperature network (low-exergy network) for use by residents. A proposed lake gained a technical function for rainwater management. An infrastructure “backbone” is supplemented by a wide range of possible innovation building blocks, where new urban technologies still in development can be tested. The 2013 mobility plan provides a dedicated lane through the site for rail-free autonomous public transport. The mobility strategy focuses on intermodal and multifunctional mobility hubs, which combine various modes of transport (e.g. people movers, bicycles, electric cars, car sharing, freight bikes, and taxis) with supplementary functions such as parcel stations, restaurants, ATMs and public toilets. Combining these offers makes mobility hubs highly useful nodes which offer maximum individual flexibility.

Overflow into Berlin-Spandau ship canal

Overflow into Berlin-Spandau ship canal

Economy Berlin TXL must be seen in the context of Berlin’s reindustrialisation. Economically, Berlin has been relatively weak in recent decades. Berlin’s Senate Administration for Economics, Energy and Enterprises has adopted the “Future Places”2 (Zukunftsorte) strategy in order to create an image associated with innovation, creativity and science and make it an attractive business location in the long term. A study of Berlin TXL’s economic impact (empirica, 2014) estimates that it could generate a total gross added value of € 2.2 bn and € 150 m in tax revenue per annum.3 Aside from primary economic effects such as jobs, this is also due to considerable secondary regional economic effects. Berlin TXL is estimated to create 34,000 jobs in total, around 17,500 located on-site. The aim is to create a range of functional and attractive spaces and continually integrate the site into city life during its entire development period.

2 www.berlin.de/sen/ wirtschaft/wirtschaft/ technologiezentren_ zukunftsorte-smart-city/ zukunftsorte/ artikel.109346.php 3 empirica 2014

Further information

• www.berlintxl.de • www.stadtentwicklung.berlin.de/staedtebau/ projekte/tegel/stadtumbau/

260

Chapter 5 —  Case Studies

V I E N N A , AU S TR I A

Viertel Zwei Key data Project type

Mixed urban neighbourhood of homes, businesses and a hotel

Key access

Trabrennstraße

Size

12 ha

Gross floor area (GFA)

320,000 m2

Plot ratio

2.7

Users

4,000 (now), 10,000 (planned)

Team

IC Development GmbH, U2 Stadtentwicklung GmbH, WES (landscape design), StudioVlay, Delugan Meissl (architecture), SHA + Josef, Tillner & Willinger, Rajek Barosch (landscape design), Rosinak (transport planning), Drees & Sommer (sustainability consultancy)

Construction

2007– 2021

Website

www.viertel-zwei.at

Urban design

3

Economy

Processes, sociocultural issues

2 1

Emissions

Open space, urban climate

Soil, water

Energy

Mobility

Material flows

This page: Aerial view of the neighbourhood with race course in background Opposing page: above  Site plan centre  Student apartments below  Round point blocks providing around 200 apartments, each with at least one terrace

IC Development is creating a mixed urban neighbourhood next to the historic Krieau horse racecourse, opened in Vienna’s District 2 in 1878. The development aims for an ideal work-life balance. The new neighbourhood is near to the U2 metro line and directly adjoins the Prater park and the new, architecturally ambitious campus of the Vienna University of Economics and Business Administration. The heart of this “U2 City” is called “Viertel Zwei”, and is being developed in three construction phases. High density and lively ground floors lend the neighbourhood a very urban character. This contrasts with the listed, and still used racecourse and the adjoining, near-natural Prater recreational area, which acts as an urban green lung.

Process U2 Stadtentwicklung GmbH and the administration of District 2 are closely collaborating to develop Viertel Zwei. U2 Stadtentwicklung GmbH is a public-private partnership (PPP) including

Wien Holding, IC Development and IG Immobilien Invest, founded to develop areas along the U2 metro line extension. Each of the three phases within “Viertel Zwei” has a different character. Phase I “An der Trabrenn­bahn” (“Trackside”, 40,000 m2, completed 2007–2011) is dominated by offices and a hotel, but also provides social housing and a kindergarten. Phase II “An den Tribünen” (“Grandstand”, 36,700 m2, completed 2015–2017) provides a much larger share of residential space as well as student housing and business premises. Phase III “An der Meierei” (“Stables”, 44,000 m2, completion due 2021) includes two office and residential towers as the “highlight” of the development and plans to attract creative industries and start-ups to the listed stable blocks. Even before phase II was developed, a temporary creative and organic market held on the site around the racecourse revived the area, indicating possible future uses. A collaborative urban planning workshop in 2013 prepared the ground for the development of

phases II and III. Subsequently, architectural competitions were held for individual buildings. The neighbourhood’s design appeal lies in the contrast between listed existing buildings and modern, high-quality buildings.

Visions Among other awards, Viertel Zwei has received the Real Estate Brand Award 2011, the CÄSAR real estate award 2009, the ZVAÖ Association of Architects Client Award 2009, as well as the first DGNB/ÖGNI Platinum pre-certificate for urban districts (2014). Viertel Zwei includes various residential concepts, developed for different target groups, such as student apartments, studios and large apartments with terraces. The development benefits from excellent public transport thanks to its location near metro line 2. The neighbourhood itself is completely car-free, which helps create lively ground floors with a broad spectrum of restaurants and businesses. The gym, running track and fitness trail by the racecourse,

26�

Viertel Zwei, Vienna

V RGA VO RTEN

STRASS

Station Krieau

Biz Zwei

Plus Zwei Hoch Zwei

Stella Zwei

Station Stadion

Viertel Zwei Hotel Courtyard By Marriott

Grün Blick

Rund Vier

Korso

Studio Zwei MIilestone

Denk Drei

Denk Drei

Weit Blick

BUS 82A

Trabrennbahn

WU Campus

Meiereisstraße

Messe Wien

Parkhaus

E

Krieau Denk Drei

RONDO Rondo

Tribünen

Straßenbahn Linie 1

the adjoining Prater, as well as an adventure playground built especially for the new neighbourhood provide a wide range of opportunities for exercise.

Services Thanks to the neighbourhood management system, new and existing residents can contact a member of staff at any time. In an effort to improve the work-life balance, a service plan for businesses and private residents offers wide ranging services such as cleaning, laundry, childcare and tyre changes. A Viertel Zwei Facebook page and a community newsletter regularly announce events and activities organised in the neighbourhoods – such as organised runs, Christmas parties and so on. The neighbourhood management and electric utility Wien Energie have joined forces to create the innovative “Urban Pioneers Community”. This co-creative project aims to develop the future

Grüner Prater

of neighbourhood services by enabling registered interested residents to express their wishes, feedback and ideas about what the neighbourhood has to offer in workshops, events and surveys. Initial services on offer include smart electricity tariffs, new mobility options and fibre-optic broadband. Further products and services in the fields of energy, mobility and smart living are to follow. IC Development also regards the management and maintenance of outdoor facilities as a service, and this is reflected in a special ownership structure. Whilst apartments and buildings are predominantly offered for sale, the outdoor facilities and underground car parks remain within the ownership of IC Development. This means that the public realm will continue to be maintained by IC Facility Management in order to ensure a consistent standard of quality and maintenance, and maintain the neighbourhood’s good reputation.

Änderungen vorbehalten

262

Chapter 5 —  Case Studies

Kabelwerk

AT

Vienna

Am Kabelwerk

The Green Capital

BR

Curitiba

Av. Presidente Kennedy

Carré Vert

CH

Geneva

Bd. de Saint-Georges

Les Plaines-du-Loup

CH

Lausanne

Route des Plaines-du-Loup

Malley, Prilly and Renens sectors

CH

Lausanne

Route des Lausanne

‡

Ecofaubourgs

CH

Schlieren

Badenerstrasse

‡

Green City

CH

Zurich-Manegg

Bruchstrasse

‡

Kraftwerk 1

CH

Zurich

Hardturmstrasse

‡

Glattpark

CH

Zurich-Opfikon

Glattparkstrasse

‡

Le Quartier Central

DE

Düsseldorf

Marc-Chagall-Straße

‡

Neue Weststadt

DE

Esslingen am Neckar

Südtangente

‡

Inner-city Passivhaus ­neighbourhood

DE

Fellbach

Ginsterweg

Vauban

DE

Freiburg im ­Breisgau

Vauban-Allee

“Am Schlierberg” Solar neighbourhood

DE

Freiburg im ­Breisgau

Rosa-Luxemburg-Straße

Rieselfeld

DE

Freiburg im ­Breisgau

Rieselfeldallee

HafenCity

DE

Hamburg

Überseeallee

Kronsberg

DE

Hannover

Johanneskamp

Bahnstadt

DE

Heidelberg

Langer Anger

Smiley West

DE

Karlsruhe

Indianaring

Stellwerk 60

DE

Cologne Nippes

Am alten Stellwerk

Freiham-Nord

DE

Munich

Bodenseestraße

‡

Messestadt Riem

DE

Munich

Willy-Brandt-Allee

‡

‡

‡

Theresienhöhe

DE

Munich

Theresienhöhe

‡

‡

‡

Ackermannbogen

DE

Munich

Ackermannstraße

‡

‡

WagnisART

DE

Munich

Fritz-Winter-Straße

‡

Amorbach II

DE

Neckarsulm

Bordighera-Allee

Harbour

DE

Offenbach am Main

Nordring

‡

‡

Scharnhauser Park

DE

Ostfildern

Niemöllerstraße

‡

‡

Artilleriekaserne St. Arnual

DE

Saarbrücken

Nell-Breuning-Allee

‡

‡

Killesberghöhe

DE

Stuttgart

Stresemannstraße

‡

Petrisberg

DE

Trier

Auf dem Petrisberg, ­Max-Planck-Straße

French Quarter and Loretto

DE

Tübingen

Aixer Straße, Loretto-Platz

Mühlenviertel

DE

Tübingen

Alte Weberei

DE

Tübingen

Im Sonnenfeld

DE

Ulm-Eselsberg

Selbertstraße

Arkadien

DE

Winnenden

Silberpappelstraße

‡

‡

‡

‡

‡

‡

‡

‡

‡

Economy

Heliosallee

Energy

Linz

Mobility

AT

Material flows

solarCity

Water /soil

Key access Open space / urban climate

City

Process/ social aspects

Country

Urban design

Name

Emissions

Further Projects

‡ ‡

‡

‡

‡

‡

‡ ‡

‡

‡

‡

‡

‡

‡

‡ ‡

‡ ‡

‡

‡

‡

‡

‡

‡ ‡ ‡

‡

‡

‡

‡

‡

‡ ‡ ‡

‡

‡

‡ ‡

‡

‡ ‡ ‡

‡ ‡

‡ ‡

‡

‡ ‡ ‡

‡

‡

‡

‡ ‡ ‡

‡

‡ ‡

‡

‡ ‡

‡

‡

‡ ‡

‡

‡

‡

‡

‡

Paul-Dietz-Straße

‡

‡

‡

‡

Nürtingerstraße

‡

‡

‡

‡

‡

‡ ‡

‡

‡

‡

‡

‡

‡

‡

‡

‡ ‡

‡

263

Further Projects

Construction ­begin Area and completion [ha]

Planning team

Website

1990 – 2005

READ-Group (Norman Foster, Richard Rogers, Renzo Piano, Thomas Herzog)

www.solarcity.at

2004 – 2010 As from 1965

60 8 Whole city

Rüdiger Lainer + Partner

www.kabelwerk.at

IPPUC

www.curitiba.pr.gov.br

2009 – 2011

3

City of Geneva

www.ecoquartierjonction.ch

2010 – 2020

33

TRIBU Architecture

www.lausanne.ch/plainesduloup

2015 – 2021

70

SDOL – Schéma Directeur de l’Ouest Lausannois

www.2000watt.ch/malley-gare

2009 – 2014

19

Ecofaubourgs; HKA Finance

www.ecofaubourgs.com

2013 – 2015

8

Diener & Diener Architekten ; Vogt Landschaftsarchitekten

www.greencity.ch

1998 – 2001

2

Stücheli Architekten; Bünzli & Courvoisier Architekten AG

www.kraftwerk1.ch

2001– 2020

67

City of Opfikon

www.glattpark.ch

2006 – 2014

36

ASTOC

www.le-quartier-central.de

as from 2011

12

lehen 3

www.esslingen.de

2007 – 2009

0.5

brucker.architekten

www.fellbach.de

1997– 2006

41

1999 – 2005

1

1993 – 2010 as from 2000  1993 – 2000 as from 2001 1998 – 2007 2006 – 2013 as from 2014

50 165 60 116

Kohlhoff & Kohlhoff

www.vauban.de

SolarArchitektur, Rolf Disch

www.solarsiedlung.de

Projektgemeinschaft Rieselfeld; B.E.M.S architecture group

www.rieselfeld.org

KCAP Architects; ASTOC

www.hafencity.com

SWW Architekten

www.hannover.de

Trojan & Trojan

www.heidelberg-bahnstadt.de

7

Volkswohnung GmbH; City of Karlsruhe

www.siedlungen.eu/db/baugebiet-smiley-west

6

Rößner und Waldmann Architekten

www.stellwerk60.de

73

West 8; O & O Baukunst

www.freiham-bau.de

Frauenfeld und Partner consortium

www.muenchen.de/stadtteile/riem www.werkstatt-stadt.de

1997– 2009

560

2002 – 2010

47

Steidle + Partner; TDB landschape architects

1996 – 2014

40

Christian Vogel Architekten

www.ackermannbogen-ev.de

2014 – 2016

1

bogevischs buero architekten und stadtplaner gmbh, shag, udo schindler, walter hable architekten gbr

www.wagnis.org

1997 – 2004

51

Hans-Joachim Ziltz

www.werkstatt-stadt.de

2008 – 2017

25

Offenbacher Projektentwicklungsgesellschaft (OPG), City of Offenbach

www.mainviertel-of.de

1996 – 2003

140

Janson + Wolfrum

www.ostfildern.de/scharnhauser_park

Wandel Hoeffer Lorch Architekten

www.artilleriekaserne.de

2003 – 2008

3

as from 2011

3.5

O & O Baukunst

www.killesberghoehe.de

2002–2012

70

Bachtler Böhme + Partner / City of Trier (master plan)

www.petrisberg.de; www.egp.de; www.wip-trier.de

1996 – 2007

65

Development department, former urban regeneration office

www.franzoesisches-viertel.net

2005 – 2009

4

Hähnig & Gemmike

www.muehlenviertel.de

2011– 2014

6

Hähnig & Gemmike

www.alte-weberei-lustnau.de

1999 – 2003

3.5

City of Ulm

www.expo.ulm.de

2007– 2011

3.4

Eble Messerschmidt Partner, based on WTB Dreibund

www.landschaftsarchitektur-heute.de/projekte/ details/2756

264

Lærkehaven

‡

America Plads

DK

Copenhagen

Kalkbrænderihavnsgade, Dampfærgevej

‡

‡

‡

Nordhaven

DK

Copenhagen

Nordhaven

‡

‡

‡

Sluseholmen

DK

Copenhagen

Sluseholmen

‡

FredericiaC

DK

Fredericia

Svovlsyrekaj

‡

Eco-City Montecorvo

ES

Logroño

–

Confluence

FR

Lyon

Quai Antoine Riboud

ZAC Bottiére Chénaie

FR

Nantes

Route de Sainte-Luce

ECOZAC Clichy-Batignolles

FR

Paris

Rue Cardinet

‡

‡

Masséna

FR

Paris

Rue Marguerite Duras

‡

‡

ZAC de Beauregard

FR

Rennes

Rue Gabriel Germain

‡

‡

Les Rives du Bohrie

FR

Strasbourg

Étang Bohrie

‡

‡

Quartier de la Brasserie

FR

Strasbourg Cronenbourg

Place Mathieu Zell

‡

‡

Ecoquartier Danube

FR

Strasburg Neudorf

Pont du Danube

‡

‡

‡

Harbour Jätkäsaari

FI

Helsinki

Tyynenmerenkatu

‡

‡

‡

Eco-Viikii

FI

Helsinki

Viikintie

Vuores

FI

Tampere

Takamaanrinne

One Brighton

GB

Brighton

New England Street

Graylingwell

GB

Chichester

Connolly Way

Bed Zed

GB

London

Sandmartin Way

Citta dell altra economia

IT

Rom

Largo Dino Frisullo

‡

Belval

LU

Esch-sur-Alzette

Siderurgistes

‡

De stad van de Zon (Sun City)

NL

Alkmaar

Evenaar

KNSM Eiland

NL

Amsterdam

KNSM Laan

‡

‡

‡

‡

Borneo-Sporenburg

NL

Amsterdam

Piet Heinkade

‡

‡

‡

‡

Ijburg

NL

Amsterdam

Cor van Weelehof

‡

‡

Java Eiland

NL

Amsterdam

Sumatrakade, Javakade

‡

Eva Lanxmeer

NL

Culemborg

Bertus Aafjespad

Ypenburg

NL

Den Haag

Boorlaan

High Tech Campus

NL

Eindhoven

High Tech Campus

Cradle-to-cradle Park 20I20

NL

Venlo

Sint Jansweg

Haizhu Eco-City

CN

Guangzhou

Guangzhou South Av.

Ecological City Jingyue

CN

Changchun

–

Eco-Town

CN

Suzhou

–

Eco-City of Agriculture

CN

Wanzhuang

–

Hongqiao Commercial District

CN

Shanghai

Shenhong Rd.

Dongtan

CN

Shanghai

Liuxiao Hwy

Villa Cuatro Alamos

CL

Santiago de Chile

Elizabeth Heisse

‡

Ecoregion Pemongkong, Eco ID Resorts Tanjung Ringgit

Pemongkong, Lombok

–

‡

‡

Royal Seaport

SE

Stockholm

Södra Hamnvägen

‡

‡

‡

Masdar City

AE

Abu Dhabi

–

‡

‡

Shahama & Bahia

AE

Abu Dhabi

49th St – Al Rahba

‡

‡

‡

Xeritown

AE

Dubai

–

‡

‡

‡

Greensburg

US

Kansas City

West Kansas Avenue

‡

‡

High Line Park

US

New York

10th Avenue

Mountain Village

US

Sonoma, CA

Valley House Drive

‡

‡

Emissions

Zeppelinstraße 52

Aarhus

Energy

Karlsruhe

DK

Mobility

DE

Lærkehaven Lystrup

Material flows

Grünwinkel, Am Albgrün

Water /soil

Key access Open space / urban climate

City

Process/ social aspects

Country

Urban design

Name

‡

Economy

Chapter 5 —  Case Studies

‡

‡ ‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡ ‡

‡

‡

‡

‡

‡

‡ ‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡ ‡

‡ ‡

‡

‡

‡

‡

‡

‡

‡

‡

‡ ‡ ‡ ‡

‡

‡

‡ ‡

‡ ‡

‡ ‡

‡

‡

‡

‡

‡ ‡

‡

‡

‡ ‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡ ‡

‡

‡

‡

‡ ‡

‡

‡

‡

‡ ‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡

‡ ‡

265

Further Projects

Construction ­begin Area and completion [ha]

Website

Kränzle + Fischer-Wasels Architekten

www.am-albgruen.de

2008 – 2010

1.2

Schmitt Hammer Larsen Architects; Herzog & Partner

www.bf-ringgaarden.dk

2004 – 2015

24

West 8

2012 – 2022

100

2005 – 2008

8

as from 2011

1

Planning team

COBE Architects

www.nordhavnen.dk

Arkitema Architects; Soeters Van Eldonk Architekten

www.sluseholmen-online.dk www.fredericiac.dk

as from 2011

21

KCAP Architects

planned

56

MVRDV, GRAS

2003 – 2020

150

2003 – 2009

SPLA Lyon Confluence (urban planners); MVRDV, Pierre Gautier, Jacob + Mac­ Farlane, West 8, Coop Himmelb(l)au, Christian de Portzamparc, etc. (architects)

www.lyon-confluence.fr

30

J. Pierre Pranlas-Descours Architecte

www.nantes-amenagement.fr/projet/bottierechenaie

2011– 2017

50

Péripheriques Architects

www.clichy-batignolles.fr

1995 – 2010

13

Atelier Christian de Portzamparc (AECDP)

as from 1995

71

Architecture Team Ellipse

as from 2011

50

–

www.lesrivesdubohrie.fr

as from 2007

3.6

Naos Atelier d’Architecture

www.ecoquartierbrasserie.sers.eu

KCAP Architects

www.ecoquartierdanube.sers.eu

planned

7

2009 – 2025

100

1999 – 2004

www.territoires-rennes.fr

Helsinki City Planning Department

www.uuttahelsinkia.fi/areas/6/jatkasaari

1400

Petri Laaksonen

www.uuttahelsinkia.fi/viikki

2012 – 2020

1256

Atelier Dreiseitl

www.vuores.fi

2007– 2010

0.4

Feilden Clegg Bradley Studios

www.bioregional.com/one-brighton

2008 – 2011

34

John Thompson & Partners

www.jtp.co.uk/projects/graylingwell-park

2000 – 2002

0.1

ZED Factory; Arup

www.zedfactory.com

2005 – 2007

0.4

domus

www.cittadellaltraeconomia.org

as from 2005

120

Jo Coenen & Co.; Lubbers

www.belval.lu

1993 – 2006

210

Kuiper compagnons

www.heerhugowaardstadvandezon.nl www.oostelijkhavengebied.nl

1990 –1996

14

Jo Coenen & Co

1995 – 2001

22

West 8

1999 – 2001

170

1995 – 2000

16

1999 – 2008

35

1998 – 2003

2

2003 – 2006

103

Juurlink + Geluk; Stedenbouw + Landschap BV

www.hightechcampus.com

planned

215

–

www.park2020.com

as from 2012  2007– 2020

790 5,300

2007– 2020

600

2006 – 2020

8,000

2011– 2018

140

– 2003 – 2012 as from 2011 2010 – expected 2030 2006 – 2025 planned

8,600 10 3,200

Joachim Eble Architektur

www.eva-lanxmeer.nl

West 8

Communal Albert Speer & Partner (AS & P) John Thompson & Partners; Joachim Eble Architektur

www.jtp.co.uk/projects/suzhou

Arup; Shanghai Industrial Investment Corporation (SIIC); Kragh & Berglund SBA; Shanghai Planning & Design Institute Arup Residents’ initiative Joachim Eble Architektur

www.ecoregions.co.id

236

Project planning group

www.stockholmroyalseaport.com

600

Foster + Partners

www.masdar.ae

Gillespies; John Thompson & Partners; Joachim Eble Architektur

www.jtp.co.uk/projects/shahama-and-bahia

1,770

as from 2010

59

as from 2007 2006 – 2011 as from 2009

City of Amsterdam Planning Department Soeters Van Eldonk Architekten

SMAQ – architecture urbanism research

www.smaq.net/2008/05/xeritown

383

BNIM architects

www.greensburgks.org

160

Diller Scofidio + Renfro

www.thehighline.org

81

Colding

266

Appendix

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The authors and the publisher sincerely thank all persons who have supported the production of this book by giving approval for the printing of their master illustrations, issuing reproduction per­ mission and providing information. All drawings in this work have been spe­ cially prepared. Unverified photos come from the archive of the architects or the archive of the journal Detail. In spite of intensive efforts, some of the authors of photos and illustrations could not be ascertained; the copy­ right, however, is maintained. We request to be informed accordingly.

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­Stuttgart P. 95  Atelier Dreiseitl, Überlingen P. 97 above  after: BBodSchG § 2 Para. 2 No. 1 P. 97 below  after: Sukopp, Herbert; Wittig, Rüdiger (eds): Stadtökologie. Ein Fachbuch für Studium und ­Praxis. Stuttgart 1998, p. 177 P. 98 left  after: Hurck, Rudolf; Raasch, Ulrike; Kaiser, Mathias: Wasser­ rahmenrichtlinie und Raumplanung. Berührungspunkte und Möglich­ keiten der Zusammenarbeit. In: Alfred Toepfer Akademie für Naturschutz (ed): Fließgewässer­ schutz und Auenentwicklung im Zeichen der Wasserrahmenrichtlinie. ­Schneverdingen 2005, p. 39 P. 98 right  after: TERRA Lexikon: Flächenversiegelung. Leipzig 2001 P. 100  after: Wasserwirtschaftsamt Bayern P. 101 above  after Landeshauptstadt Stuttgart – Amt für Umweltschutz: Böden in der Stadt. URBAN SMS – Bodenmanagement für eine after­ haltige Stadtentwicklung. Stuttgart 2012, p. 22 P. 101 below  after: Umweltbundes­ amt, 2004 P. 102  after: Hoyer, Jacqueline et al.: Water Sensitive Urban Design. Prin­ ciples and Inspiration for Sustainable Stormwater Management in the City of the Future. Berlin 2011 P. 103 /104  Antje Stokman, Stuttgart P. 105  GTZ, Eschborn P. 107 above  Drees & Sommer ABT GmbH, 08/2014 P. 107 below  after: Statistisches ­Bundesamt (Destatis) 2018 P. 109/110  Fraunhofer IBP P. 111  Johannes Graupner, IGB P. 115  after: Umweltbundesamt, AG Energiebilanzen, Dessau P. 116 above  after Merki, Christoph M.: Verkehrsgeschichte und Mobili­ tät. Stuttgart 2008, p. 80 P. 116 centre left  after: Umweltbun­ desamt: Daten zum Verkehr. Dessau 2012 P. 116 centre right  after wvi Verkehrs­ forschung und Infrastrukturplanung GmbH, Braunschweig P. 116 below  Antonella Sgobba, ­Stuttgart P. 118 above  after: Frank Schröter, TU Braunschweig, after: Hilty, Lorenz M. et al. (1998): Instrumente für die ökologische Bewertung und Gestaltung von Verkehrs und Logis­ tiksystemen. Abschlußbericht des Forschungsprojekts MOBILE. Univer­ sität Hamburg / FAW Ulm, 07/2006 P. 118 centre  after: Sachverständi­ genrat für Umweltfragen: Umwelt­ gutachten 2012. Berlin 2012, p. 311 P. 118 below  after: Wulf-Holger Arndt, Deutsches Institut für Urbanistik (Difu) P. 119  Antonella Sgobba, Stuttgart P. 120  Olivia Woodhouse P. 121  after Brake, Matthias: Mobilität im regenerativen Zeitalter. Hanover 2009, p. 43 P. 122 above  after: Daimler Technicity 01/2012, p. 57 P. 122 below  Lit Motors Corporation,

San Francisco P. 123 above  after: Bundesverband CarSharing, Berlin (accessed 01.01.2018) P. 123 below  Doppelmayr Seilbahnen GmbH, Wolfurt P. 124  after: Production & Supply Chain Management, University of Augsburg P. 125  Höweler + Yoon Architecture, Boston P. 127 above  after: Krause, Florentin; Bossel, Hartmut; Müller-Reissmann, Karl-Friedrich: Energiewende. ­Wachstum und Wohlstand ohne Erdöl und Uran. Freiburg im Breis­ gau 1980 P. 127 centre left  after: Deutscher ­Wetterdienst 2018 P. 127 centre right  Gregor C. Grassl, after BMWI P. 127 below  after: data by: Umwelt­ bundesamt: Nationale Inventar­ berichte zum Deutschen Treibhaus­ gasinventar 1990 bis 2016 (Stand 01/2018), Nahzeitprognose for 2017 (UBA Press Information 08/2018) P. 128 above  after data by Feist, Wolfgang et al.: Passivhaus Projek­ tierungs Paket 2012. Anforderung an qualitätsgeprüfte Passivhäuser. Darmstadt 2012; DIN V 470110; Globales Emissions-Modell Integrier­ ter Systeme (GEMIS) Version 4.3, Institut für angewandte Ökologie e. V., Darmstadt P. 128 below  after: Umweltbundes­ amt, basierend auf Daten der ­Arbeitsgemeinschaft Energiebi­ lanzen (AGEB), Stand 10/2016 P. 129 above  Drees & Sommer, ­Stuttgart P. 129 below  after: Newman, Peter; Kenworthy, Jeffrey: Sustainability and Citiep. Washington DC 1999 P. 131  after: BMU: Langfristszenarien und Strategien für den Ausbau der erneuerbaren Energien in Deutsch­ land bei Berücksichtigung der Entwicklung in Europa und global. Leitstudie 2010. P. 132  Peter Mösle, Stuttgart P. 134  after: Stadt Esslingen am Neckar – Energie und CO2-BilanzBericht 2014/2015 P. 135  after: PHI, ebök, Tübingen P. 136 left  after: ebök, Tübingen P. 136 right  after: Vallentin, Rainer: Energieeffizienter Städtebau mit ­Passivhäusern. Begründung belast­ barer Klimaschutzstandards im Wohnungsbau. Göttingen 2011, pp. VII –34 P. 137  after: Goretzki, Peter: Planen mit der Sonne. Arbeitshilfen für den Städtebau. Hrsg. vom Ministerium für Arbeit, Soziales und Stadtentwick­ lung. Dusseldorf 1998 P. 138 above  after: Bauer, Michael; Mösle, Peter; Schwarz, Michael: Green Building. Konzepte für nach­ haltige Architektur. Berlin 2013, p. 23 P. 138 below  after: ibid p. 24 P. 139  after: ibid p. 25 P. 141  after: ibid p. 65f. P. 143 above  after: Umweltbundes­ amt, Umweltbewusstsein in Deutschland 2014

P. 143 below  after: Fördergemein­ schaft Gutes Hören GmbH, Hanover P. 144 above  after: Lärmkontor GmbH, Hamburg P. 144 below  after: van Bueren, Ellen et al. (ed): Sustainable Urban Envir­ onmentp. An Ecosystem Approach. Berlin 2011 P. 145 above left  www.dumpert.nl / mediabase /37881/0e763c97/dum­ pert_global_meteo_report.html P. 145 above right  http://earthobser­ vatory.nasa.gov P. 145 below  Jürgen Baumüller, ­Stuttgart P. 147  www.staedtebaulichelaerm­ fibel.de/Jürgen Baumüller P. 148  Antonella Sgobba, Stuttgart P. 149  after: Kanton Zurich, Fachstelle Lärmschutz P. 150  after: www.auto-umwelt.at/_ gesetzg/gesvs_abg.htm (accessed 18.07.2018) P. 151 above  Dietrich Henckel, Berlin P. 151 below  Florian Schweidler P. 154  after: Statistisches Bundes­ amt: Preise. Kaufwerte für Bauland. Wiesbaden 2017, p. 6 P. 155  ICLEI, Bonn P. 157  Martin Altmann / Drees & ­Sommer, Stuttgart P. 161  Martin Altmann, Gregor C. Grassl /Drees & Sommer, Stuttgart P. 162  Martin Altmann, Stuttgart P. 163  after: wirtschaftslexikon. gabler.de P. 164  after: Stadt Aalen; Drees & Sommer, Stuttgart P. 165  Gregor C. Grassl / Drees & Sommer, Stuttgart P. 166  after: König, Holger et al.: ­Lebenszyklusanalyse in der Gebäudeplanung. Munich 2009. p. 59 P. 167 above  Gregor C. Grassl / Drees & Sommer, Stuttgart P. 167 below  Gregor C. Grassl, ­Stuttgart, after ISO 15 6865 P. 170  after: Hegger, Manfred et al.: Energie Atlas. Munich / Basel 2008, p. 63 P. 171 above  West 8, Rotterdam P. 171 centre  after: Westphal, ­Christiane: Dichte und Schrumpfung. Kriterien zur Bestimmung angemess­ ener Dichten in Wohnquartieren schrumpfender Städte aus Sicht der stadttechnischen Infrastruktur. IÖR Schriften, Bd. 49. Dresden 2008, p. 42 P. 171 below  after data from: Roth, Ueli et al.: Wechselwirkungen zwi­ schen der Siedlungsstruktur und Wärmeversorgungssystemen. Bonn 1980; Siedentop, Stefan et al.: Sied­ lungsentwicklung und Infrastruktur­ folgekosten. BBR Online Publika­ tionen 03 /2006 P. 172 above  Helmut Bott, Stuttgart P. 172 below  Helmut Bott, Stuttgart P. 173 above  frei raum Concept P. 173 below  Bernd Borchardt, Berlin P. 174 above  www.flickr.com / twiga_ swala P. 174 below  Roman Mensing, ­Münster P. 175  Fraunhofer IBP P. 178  Michael Nagy

Image credits

P. 180  Dominic Church, Stuttgart P. 182  Dominic Church, Manal ­El-Shahat, Stuttgart P. 184  Stadt Heilbronn: Gestaltungs­ handbuch Modellquartier Neckar­ bogen Heilbronn, p. 11 P. 186/187  Stephan Anders, Helmut Bott, Gregor C. Grassl, Rolf Messer­ schmidt P. 189 above  after: Heidelberger ­Nachhaltigkeitsbericht 2011 P. 189 below  Christian Buck, Heidel­ berg P. 190  after: Stadt Ludwigsburg P. 191  after: Institut für Energie­ wirtschaft und Rationelle Energie­ anwendung (IER), University of ­Stuttgart P. 192  Blattmann + Oswald Archi­ tekten, Markgröningen P. 193  Manal El-Shahat, Stuttgart P. 194 above  Stadt Ludwigsburg P. 194 below  after: Stadt Ludwigs­ burg P. 196  Foto: ELBE&FLUT, source: HafenCity Hamburg GmbH P. 197  Spengler Wiescholek Architek­ ten Stadtplaner, Hamburg P. 199  Daniel Sumesgutner, Hamburg P. 202 above left and right  Stephan Anders, Stuttgart P. 202 centre  UrbanSim P. 202 below  www.businesslocation­ center.de /solaratlas P. 203 above  Autodesk InfraWorks 2014 P. 203 below left  CommunityViz P. 203 below right  Grasshopper (Rhino 3d) P. 204 left  CityCAD P. 204 right  www.kaisersrot.com P. 207 above, centre  Stephan Anders, Stuttgart P. 207 below  Gosol P. 208  Rebitzer, Gerald et al.: Life Cycle Assessment. Part 1: Frame­ work, Goal and Scope Definition, Inventory Analysis and Applications. In: Environment International 30/2004, pp. 701–720 P. 209  Vissim P. 210 above left  Landeshauptstadt Stuttgart, Amt für Umweltschutz P. 210 above right  Sigrid Busch, Antonella Sgobba, Stuttgart P. 210 below  student project, Univer­ sity of Stuttgart, Software CadnaA P. 211 above  www.spacesyntax.com P. 211 below  Katzschner, Lutz; Campe, Sabrina; Kupski, Sebastian: Innenraumentwicklung in Frank­ furt /M. unter Berücksichtigung stadt­ klimatischer Effekte. Maßnahmen zur Minderung der Wärmebelastung in verdichteten Räumen. University of Kassel, 2011 P. 212  Ralf Wagner / Drees & ­Sommer, Stuttgart P. 213 above left  Autodesk ECOTECT 2012 P. 213 above right  Drees & Sommer, created with IES VE-Pro P. 213 below  Drees & Sommer, ­Stuttgart P. 215 above  Rolf Messerschmidt, Tübingen, www.netzwerkzeug.de P. 215 centre  after: Ashdown, Michael; Schaller, Jörg: Geographi­

sche Informationssysteme und ihre Anwendung in MAB-Projekten, ­Ökosystemforschung und Umwelt­ beobachtung. Bonn 1990, p. 42 P. 215 below  Schubert, Frieder: Neue Rolle der Virtuellen Realität in der Architektur und Stadtplanung. In: Schrenk, Manfred (ed): Computer­ gestützte Raumplanung. Vienna 2004 P. 216 above  www.intheair.es P. 216 centre  senseable.mit.edu P. 216 below  Bartsch, Bernhard: City Cockpit. Regieren in Echtzeit. In: Siemens AG. Corporate Technology (Hrsg.): Pictures of the Future. Die Zeitschrift für Forschung und Innova­ tion. Munich 2011, pp. 94ff. P. 217  Singer, Natasha: Mission Con­ trol, Built for Cities. I.B.M. Takes “Smarter Cities” Concept to Rio de Janeiro. The New York Times, 03.03.2012 P. 219 above  Stephan Anders, ­Stuttgart P. 219 below  Fuhrich, Manfred et al.: Kompass für den Weg zur Stadt der Zukunft. Indikatorengestützte Erfolgs­ kontrolle afterhaltiger Stadtentwick­ lung. Eine Orientierungshilfe für die kommunale Praxis. Bonn 2004, p. 21 P. 220 /221  Stephan Anders, Gregor C. Grassl, Stuttgart P. 222  Gregor C. Grassl, Stuttgart P. 223 below  DGNB: Neubau Stadtquartiere. DGNB Handbuch für afterhaltiges Bauen. Stuttgart 2012 P. 223 above left and right  Stephan Anders, after DGNB P. 228 above  Hans Sommer / Drees & Sommer, Stuttgart P. 228 below  Renzo Piano Building Workshop, with Christoph Kohl­ becker P. 229 above left  Renzo Piano Build­ ing Workshop, Genoa P. 229 above right  Atelier Dreiseitl, Überlingen P. 229 centre  Vincent Mosch /Renzo Piano Building Workshop, Genoa P. 229 right above Gianni Berengo ­Gardin / Renzo Piano Building Work­ shop, Genoa P. 229 right below  after: Drees & Sommer, Stuttgart P. 230 left above + below  PPMG ­Potsdamer Platz Management GmbH, Berlin P. 230 right above  after: Drees & Sommer, Stuttgart P. 230 below left  www.flickr.com / Anthony Gurr P. 230 below right  J. Lee / Atelier ­Dreiseitl, Überlingen P. 231 left  after: Atelier Dreiseitl, Überlingen P. 231 right above and below  PPMG Potsdamer Platz Management GmbH, Berlin P. 232 left  Entasis, Carlsberg Group, Copenhagen P. 232 right Entasis, Carlsberg Group, Copenhagen P. 233 left Vogt Landschaftsarchitekten, Zurich P. 233 right above  www.flickr.com/ TheKaneda P. 233 right centre and below 

Marianne Wehlast, Copenhagen P. 234/235  Eble Messerschmidt ­Partner, Tübingen P. 236 above  after: Atelier Dreiseitl, Überlingen P. 236 below left and right  Atelier ­Dreiseitl, Überlingen; Eble Messer­ schmidt Partner, Tübingen P. 237 above  mokastudio, Hamburg P. 237 below  Eble Messerschmidt Partner, Tübingen; Areal – Gesell­ schaft für afterhaltige Wasser­ wirtschaft mbH, Hengstbacherhof P. 238  Malmö City Planning Office P. 239 left  https://makinglewes. org/2014/01/25/bo01-malmosweeden/ P. 239 right above  www.flickr.com / Henric Bjärehäll, Halmstad P. 239 right centre  www.flickr.com / free range jace P. 239 right below  www.flickr.com / Matt Moore, Allegany P. 240 left  Perkins + Will, Vancouver P. 240 right  Julius Grill, Sydney P. 241 right above  Vince Klassen, Victoria, BC P. 241 right centre and below  www.flickr.com /Lotus Johnson, ­ngawangchodron P. 242 left  sinai, Gesellschaft von Landschaftsarchitekten mbH, Berlin, Stadt Heilbronn/BUGA Heilbronn 2019 GmbH P. 242/243 above  BUGA Heilbronn 2019 GmbH P. 243 below left  BUGA Heilbronn 2019 GmbH: Stadtausstellung Heilbronn, p. 48 P. 243 below right  after: TRANS­ SOLAR Energietechnik GmbH, ­Stuttgart P. 244 right  after: www.hammarby­ sjostad.se P. 245 below centre  www.flickr.com / Stefan Sthlm P. 245 below left  Malena Karlsson, www.hammarbysjostad.se P. 245 above  after: The Hammarby­ model, www.hammarbysjostad.se P. 245 below right  www.flickr.com / Bessmert P. 246  hochC Landschaftarchitekten, Berlin; Möckernkiez eG, Berlin P. 247 above  after: Möckernkiez eG, Berlin P. 248 below left, centre and right  Möckernkiez eG, Berlin P. 248  NESTown Group / Franz Oswald, Berne P. 249  Rainer Kwiotek, Menschen für Menschen Schweiz P. 250/251 above right, below centre  KCAP Architects & Planners, ­Rotterdam P. 251 above left  Gemeente Amster­ dam, DRO P. 251 below left  Giesbert Nijhuis, Amsterdam P. 251 below right  Jan Bitter, Berlin P. 252 left  www.barangaroo.com P. 252 right, 253 above  Barangaroo Delivery Authority P. 253 below left  www.barangaroo.com P. 253 below right  www.flickr.com / Barangaroo P. 254  NDSM, Amsterdam

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P. 255 above  www.flickr.com /JanDerk Koudijs, Amsterdam P. 255 below left  www.flickr.com / andynash P. 255 below right  Rob Hoekstra, Kalmhout P. 256  http://stadtentwicklung.berlin. de/staedtebau/projekte/tegel/ planung/masterplan.shtml P. 257 above  A. Schiebel Multimedia Design P. 257 below  Atelier Loidl Land­ schaftsarchitekten Berlin GmbH P. 258/259  Drees & Sommer Advanced Building Technologies GmbH P. 260 centre/261 above  OLN / value one development P. 261 centre/below  Moritz ­Reit­meier  /  value one development

278

Appendix

Authors

Authors Helmut Bott, Professor Dr.-Ing. (Editor) Helmut Bott studied Architecture at TU Darmstadt from 1967 to 1974 and subsequently worked for the ­Saarbrücken City Planning department and for Stadt­ bauplan GmbH in Darmstadt. From 1977 to 1981, he lectured at the University of Kassel and at TU Darmstadt. Bott worked freelance for various private practice partnerships as from 1981, and was Profes­ sor for Urban Planning and Design at Cologne Univer­ sity of Applied Sciences (TH Köln) from 1985 to 1997. Bott was appointed as Director of the SI Urban Design Institute at Stuttgart University in 1997, where he was Professor for Urban Planning and Design until 2015. He has been a Director of the International Centre for Cultural and Technical Research (IZKT) at Stuttgart University since 1999. Between 2000 and 2005, Pro­ fessor Bott held visiting professorships in China and South Korea. From 2006 to 2010, he was Dean of the Faculty of Architecture and Urban Planning at the Uni­ versity of Stuttgart. Professor Bott held further visiting professorships at Zhejiang University in Hangzhou and at Jiaotong University in Xi’an from 2007 to 2014, and is co-editor of the “Community Design” publica­ tion at Tsinghua University in Beijing. As founding Dean of Cairo German University (GUC), and as a member of the University Council, Professor Bott has been engaged in developing the Architecture and Urban Planning Institute in Cairo and Berlin since 2010. He has chaired the Board of Directors at Stutt­ gart University’s IZKT since 2013, and in 2018 was appointed visiting Professor at the Sino-German Research Center (SEU) in the Department of Urban Planning at Nanjing Southeast University’s School of Architecture in China. Gregor C. Grassl, M. Eng., Dipl.-Ing. (Editor) Gregor Grassl studied Architecture at Munich School of Applied Sciences (MUAS) from 1998 to 2002, with visits to the Universities of Prague and Cairo. In 1999, Grassl was awarded the “Honor al Merito” for his engagement in development aid in Cochabamba, Bolivia. From 2003, he worked in architectural prac­ tice in Bad Reichenhall. From 2006 to 2008, Grassl completed a Master’s degree course in Urban Plan­ ning at Stuttgart University of Applied Sciences (HfT). He joined Drees & Sommer in 2007, initiated the development of the Urban Districts certificate at the German Sustainable Building Council (DGNB) and is a Senior Auditor for the DGNB and ÖGNI systems. Grassl qualified as a specialist planner in Energy Effi­ ciency at the Academy of the Chamber of Engineers in the State of Hesse in 2013, and has led the Blue City programme since 2011. He has provided sustain­ ability advice to numerous national and international urban development projects, and has prepared tech­ nical masterplans in collaboration with renowned design practices such as KCAP Architects and Plan­ ners, Albert Speer & Partner, ASTOC, and Zaha Hadid. Grassl has worked on many research projects, including the development of a City BIM tool. He has taught in the DGNB Academy since 2012, and was a lecturer for the international Resource Efficiency in Architecture and Planning (REAP) Master’s degree course at Hamburg HafenCity University (HCU) from 2013 to 2016. At Stuttgart University of Applied Sciences (HfT), Grassl has held teaching positions within the international “Sustainable Urban Building Design” Master’s degree course in project manage­

ment since 2017, and within the “Smart City Manage­ ment” Master’s degree course since 2018. He was appointed to the International Fraunhofer Academy’s technical committee for the “Smart Society Profes­ sional Academy” in 2017. Grassl is an expert within the “National Future City Platform” set up by ministries of the German Federal Government. He is a founding member of the “Morgenstadt” research network and an expert member of professional groups such as the Association of German Engineers (VDI) “Stadt Denken” committee. Stephan Anders, Dr.-Ing. (Editor) From 2003 to 2008, Stephan Anders studied Architec­ ture and Urban Design at Stuttgart University and at ETH Zurich. During his studies, he worked for KCAP Architects and Planners, Ippolito Fleitz Group and the Chair for Information Architecture (IA) at ETH Zurich. His degree project entitled “Zero Emission City” was awarded within Stuttgart University’s degree awards programme. From 2009 to 2015, Anders worked in teaching and research at the Urban Design Institute at Stuttgart University whilst completing his Doctorate, focusing on concepts for sustainable urban and neighbourhood development. His PhD “Cities as Sys­ tems” was published in 2016. He has worked for the German Sustainable Building Council (DGNB) since 2012, initially as product manager for the DGNB certi­ fication systems for sustainable neighbourhoods and industrial locations. During that time, he was also responsible for DGNB Auditor training for sustainable neighbourhood and the DGNB university cooperation with more than 60 universities. Since 2017, Dr Anders has led the DGNB Certification department, focusing on national and international application of the DGNB certification systems for sustainable urban districts, buildings and interiors. Dr Anders is a lecturer for Urban Energy Planning at Stuttgart University of Applied Sciences (HfT).

Co-authors Martin Altmann, Dipl.-Geograph Martin Altmann studied Geography at the University of Trier from 1986 to 1992 and subsequently worked as research assistant to the Federal Office for Building and Regional Planning. He has worked in the real estate sector since 1993, joining Drees & Sommer Development Management team in 1997. Altmann has been a member of the Board of Directors at Drees & Sommer since 2008, leading development manage­ ment in North Rhine Westphalia since 2015. Jürgen Baumüller, Professor Dr. From 1964 –1971, Jürgen Baumüller studied Meteor­ ology at the Universities of Karlsruhe and Hamburg and went on to work as an Urban Climatologist for the City of Stuttgart from 1971 to 1973. He was engaged in research at the Institute of Physics at Stuttgart’s University of Hohenheim from 1973 to 1978, where he completed his PhD in 1979. From 1978 to 2008, Dr Baumüller was the leading Director of the Urban Climate department at the City of Stuttgart. From 1982, he was a lecturer at Stuttgart University’s Insti­ tute for Landscape Planning and Ecology (ILPÖ), and he lectured at Stuttgart University of Applied Sciences (HfT) from 1988 to 1993. Professor Baumüller was appointed to an honorary professorship at Stuttgart

University in 1993, where he held a teaching post for environmental protection technology as from 1995. He is now retired, but continues to teach at Stuttgart University. Julia Böttge, Dipl.-Wirt.-Ing. Julia Böttge studied Real Estate Technology and ­Economics at the University of Stuttgart from 2007 to 2012, subsequently working as a research assistant within the Holistic Accounting unit at Stuttgart Univer­ sity’s Institute for Building Physics until 2014. Since 2016, she has worked within the Construction Accounting department of the Max Bögl group. Sigrid Busch, Dr.-Ing. Sigrid Busch studied Architecture and Urban Planning at Stuttgart University of Applied Sciences (HfT), at the École nationale supérieure de création industrielle in Paris, at the University of California in Berkeley, and at Stuttgart University. She worked in private practice in Germany and the Netherlands before taking up a teaching position at the SI Urban Design Institute at the University of Stuttgart in 2002 where she subse­ quently completed her PhD. Dr Busch lectures on simulating and visualising noise protection and en­­ ergy efficiency in urban neighbourhoods. Dominic Church, Dipl. Ing., M.Sc. (LSE) Dominic Church studied Architecture at Stuttgart ­University from 1991 to 1997 and went on to work in private practice in Gothenburg, Tel Aviv and London until 2001. He completed a Master’s in City Design and Social Science at the London School of Econom­ ics (LSE) Cities Programme in 2001, where he subse­ quently worked in research, teaching and consultancy until 2005. From 2005, he was Senior Policy Advisor at the Commission for Architecture and the Built Envi­ ronment (CABE) in London, leading housing policy and the Building for Life programme. Since 2011, Church has been engaged in teaching and research at SI Urban Design Institute at Stuttgart University, at the Sustainable Urbanism Institute at TU Munich, and at Nürtingen Geislingen University (HfWU). From 2011 to 2015, he led the international application of the DGNB system. Church now leads strategic planning for the City of Lucerne’s key urban develop­ ment sites. Thorsten Erl, Dr.-Ing. Thorsten Erl studied architecture at TU Berlin, TU Darmstadt and at the Faculdade de Arquitectura da Universidade in Porto (FAUP). He completed his diploma in 1999 and has since worked for metris architects and urban planners, based in Darmstadt und Heidelberg. Since 2002, Erl has been active in teaching and research at the SI Urban Design Insti­ tute at Stuttgart University, where he completed a PhD on “The city and harbour of Porto” in 2011. Since 2012, Dr Erl has been a lecturer in environmental development planning at Nürtingen Geislingen Uni­ versity (HfWU), and has worked as a DGNB Auditor for Sustainable Urban Districts. Manal M. F. El-Shahat, M.Sc., Ph.D Manal M. F. El-Shahat is director & founder of EZBET Project. She is a senior researcher at the department of International Urbanism / Städtebau Institut (SI) at University of Stuttgart. She is also faculty member at Faculty of Engineering, Ain Shams University in Cairo (on leave). EZBET Project is an academic initiative aims to provide the basic urban and social facilities in the informal area in Cairo through engaging all

Authors

stakeholders in the process. As part of this project, she developed an academic course entitled “Participa­ tory Needs Assessment (PNA)”, which links the theory and practice and shows a real tool for participatory development in informal settlements in the global south. Dr. El-Shahat has different academic publica­ tions on topics related to the treatment of urbanisation problems of informal settlements, and participatory planning. Currently, she is the project manager of an interdisciplinary research project “Integrated Housing with Immigrants” at Department for Sociology of Archi­ tecture and Housing, which is a cooperation with the German Institute of Urban Affairs (DifU) in Berlin.

Thomas Haun, Dipl.-Ing. Thomas Haun studied Architecture at Bauhaus Uni­ versity Weimar from 2000 to 2007. Since then, his ­professional work has focused on sustainable con­ struction. Since 2016, he has been the Strategic Buyer for EnBW Energie Baden-Württemberg with responsibility for the procurement of construction and contracting for buildings, civil engineering and off­ shore foundations. Thomas Haun has since qualified as a Building Biologist at the Institute of Building Biol­ ogy and Sustainability (IBN), as a DGNB Auditor, as a LEED Accredited Professional, and as a BREEAM Licensed Assessor and BREEAM In-Use Auditor.

Johannes Gantner, Dr.-Ing., M.Sc., Dipl. Ing. (FH) From 2004 to 2011, Johannes Gantner studied archi­ tecture at OTH Regensburg University (OTH), and Sustainable Energy Competence (SENCE) at Stuttgart University of Applied Sciences (HfT), the University of Applied Forest Sciences Rottenburg and Ulm Univer­ sity of Applied Sciences. Since 2011, he has held a research and teaching post at the Fraunhofer Insti­ tute for Building Physics (IBP) at Stuttgart University, where he completed his PhD in 2017. Dr Gantner has project-managed various European research projects since 2011. He is a Life Cycle Assessment Certified Professional (LCACP) and member of the American Center for Life Cycle Assessment (ACLCA)

Dietrich Henckel, Professor em. Dr. Dietrich Henckel studied Economic and Social Scienc­ es and Law at the University of Konstanz, gaining a degree in Economics in 1973. He went on to complete a PhD in Social Sciences in 1976. From 1976 to 1979, Dr Henckel was engaged in teaching and research at Stuttgart University’s Institute of Building Economics. From 1979 to 2004, he was a project manager at the German Institute for Urbanism (Difu). From 2004 to 2017, he was professor for Urban and Regional Eco­ nomics at TU Berlin’s Institute for Urban Regional plan­ ning, where he was managing director from 2005 to 2009 and Dean from 2009 – 2013. Professor Henckel is a member of numerous committees and advisory boards.

Philipp Groß, M.Eng. Philipp Groß studied infrastructure management at Stuttgart University of Applied Sciences (HfT) from 2009 to 2013 and completed a Master in Energy-­ oriented Ecological Urban Redevelopment at Nord­ hausen University of Applied Sciences in 2016. He joined Drees & Sommer in 2011 to work in the Blue City team, focussing on holistic project development in Germany and abroad as well as Smart Cities including smart planning tools and processes. Groß is a DGNB Auditor for Sustainable Urban Districts, and BREEAM Communities Assessor. From 2016 to 2018, he was engaged in training DGNB Registered Profes­ sionals in Mongolia. He co-initiated and tutored the Eco City Planner Mongolia training.

Olaf Hildebrandt, Dipl.-Ing. Olaf Hildebrandt studied architecture at Hanover ­University, focusing on urban planning issues, and completing his Diploma in 1982. From 1980 to 1983, he worked freelance for the Institut für angewandte Systemforschung und Prognose (now the Eduard-­ Pestel Institut). In 1983, Hildebrandt co-founded the ARENHA Energy advice working group in Hanover. In 1988, he joined the ebök planning practice in Tübingen, and has been managing director of ebök Planung und Entwicklung GmbH since 2006. His work focuses on energy-oriented urban development, cli­ mate protection concepts, building management and structural thermal insulation. Since 2010, Hildebrandt has been a lecturer for energy-oriented urban plan­ ning within the Master’s degree course in urban plan­ ning at Stuttgart University of Applied Sciences (HfT).

Tilman Harlander, Professor Dr. rer. pol. habil. From 1967 to 1972, Tilman Harlander studied Soci­ ology, Economics and Political science at Munich and Berlin Universities and went on to gain a Doctorate from Oldenburg University in 1978, habilitating at Aachen University (RWTH) in 1994. From 1989 to 1997 he was Chairman of the Supervisory Board of the Aachen municipal housing company GEWOGE. He took up a visiting professorship in Lima in 1999 and was Professor for the Sociology of Architecture and Housing at the Institute for Housing and Design within Stuttgart University’s Faculty of Architecture and Urban Planning from 1997 to 2011. Professor Harlander was Faculty Dean from 2002 to 2006. Emeri­tus since 2011 he continues to be involved in numerous scientific associations, advisory boards and Jury committees. Gerhard Hauber, Dipl.-Ing. (FH) Gerhard Hauber completed his studies in Landscape Architecture at Beuth University of Applied Sciences in 1994, going on to work for Ramboll Studio Dreiseitl landscape architects from 1996. Since 1998, he has led projects in Germany and abroad, acting as managing director since 2008. From 2011 onwards, ­Hauber collaborated on the development of the DGNB System for Sustainable Urban Districts.

Jürgen Laukemper, Dr. Jürgen Laukemper studied building engineering at Stuttgart University from 1979 to 1985, subsequently working as a highways and civil engineering construc­ tion manager until 1986. He then took up a post in teaching and research at Stuttgart University, where he completed a PhD in 1991. Dr Laukemper joined Drees & Sommer in 1991, where he has been a Part­ ner and acted as Chair of the management board for Drees & Sommer Infra Consult and Development ­Management since 2000. He is also a lecturer in Pro­ ject Management at Stuttgart University of Applied Sciences (HfT). Rolf Messerschmidt, Dipl.-Ing. Rolf Messerschmidt studied architecture and urban planning at Stuttgart University. In 1999, his degree project was a web-based planning tool for sustainable urban development. He went on to work for Joachim Eble Architects in Tübingen from 1999 to 2017, where he has led the urban planning team since 2001. Messerschmidt became a Partner in Eble Messer­ schmidt Partner in 2017. From 2002 to 2008, he worked on the EU research projects ECOCITY and SNOWBALL – Energy Smart Urban Design. Messer­

279

schmidt is a lecturer SI Urban Design Institute at Stutt­ gart University and has been a DGNB Auditor since 2010, joining the DGNB technical committee in 2011. Peter Mösle, Dr.-Ing. Peter Mösle studied Mechanical Engineering at Stutt­ gart University, focusing on energy technology, and gained a scholarship for the University of Arizona before completing his degree at the Fraunhofer Insti­ tute for Solar Energy Systems in Freiburg im Breis­ gau in 1996. Mösle has worked for Drees & Sommer Advanced Building Technologies since 2006. He was appointed managing director for Energy Design / Sustainable Construction in July 2010 and has been a partner at Drees & Sommer since 2012. Dr Mösle completed his PhD “Developing a method to interna­ tionalise a certification system for sustainable build­ ings” in 2009. A member of the DGNB Board of Direct­ors, he is Chair of System Development. Marcel Özer, M.Sc. From 2008 to 2016, Marcel Özer studied Environmen­ tal Engineering at Stuttgart University and at the École Spéciale des Travaux Publics du Batiment et de l’Indus­ trie (ESTP) in Paris. During his studies, he worked for Stuttgart University’s Institute for Urban Drainage, Water Quality and Waste. Özer joined Drees & Sommer in 2016 as a cradle-to-cradle project engineer, focus­ ing on holistic sustainability concepts for construction. Since 2016, he has gained further qualifications as a Building Biologist at the Institute of Building Biology and Sustainability (IBN), and as a DGNB Consultant. Christopher Vagn Philipsen, Dipl.-Ing. Christopher Vagn Philipsen studied Process Engineer­ ing at Stuttgart University from 1981 to 1987, and sub­ sequently worked for the Fichtner Group until 1997. He joined Drees & Sommer Infra Consult and Development Management in Stuttgart in 1997 and has been the Managing Director of Drees & Sommer since 2000. Christopher Philipsen became a partner at Drees & Sommer Stuttgart in 2012, focusing on project manag­ ing plants to produce, distribute and store energy. Waltraud Pustal, Professor Dipl.-Ing. Waltraud Pustal studied landscape management at Nürtingen Geislingen University (HfWU) from 1983 to 1987 and worked in various planning practices until 1993. From 1996 to 2000, she took up visiting profes­ sorships at Nürtingen-Geislingen, Hohenheim, and Tübingen Universities. As from 2000, Pustal taught landscape planning as well as nature conservation and environmental law at Nürtingen-Geislingen University, where she was appointed honorary professor in 2013. She also tutored landscape planning within the Urban Planning Master’s degree course at Stuttgart Univer­ sity of Applied Sciences (HfT) from 2008 to 2017. Pro­ fessor Pustal has owned a landscape and urban plan­ ning consultancy in Pfullingen since 1993, and has been a member of the technical subcommittees on landscape planning and certification at the German professional chambers’ committee on fee codes. Christina Sager-Klauß, Dr.-Ing. Christina Sager-Klauß studied architecture at Kassel University (Gesamthochschule Kassel) from 1994 to 2002, and completed a PhD at TU Delft in 2016. From 2002 to 2005, she was engaged in research and teaching at the Chair of Building Technology and Cli­ mate Responsive Design at TU Munich. From 2005 to 2007, Dr Sager-Klauß worked at the German Energy Agency (dena), focusing on building construction.

280

Appendix

Case Study ­Collaborators From 2007 to 2017, she led units at the Fraunhofer Institute for Building Physics (IBP) and Fraunhofer Institute for Wind Energy and Energy System Technol­ ogy (IWES). As from 2018, Dr Sager-Klauß has led a unit within the Fraunhofer Institute for Energy Econom­ ics and Energy System Technology (IEE). Daniela Schneider, Dipl.-Ing. (FH), M.Sc. Daniela Schneider studied architecture at Stuttgart University of Applied Science (HfT) from 2003 to 2008. From 2010 to 2012, she completed the Environment and Architecture Master’s degree course at Wismar University of Applied Sciences, focusing on construc­ tion material cycles. From 2008 to 2016, Schneider worked as a construction and project leader for sus­ tainable construction. In 2016, she joined Drees & Sommer to work in the cradle-to-cradle team. A project partner since 2018, Schneider is also a member of the DGNB expert group “Ease of recovery and recycling”, and a DGNB Auditor. Since 2017, Schneider has lec­ tured on “cyclical planning and construction” as part of the Master’s degree course in Architecture at Stutt­ gart University of Applied Sciences (HfT). Mario Schneider, Dipl.-Ing. Mario Schneider studied architecture at Stuttgart ­University from 2006 to 2012. During his studies, he worked for the university’s Institute for Structural Engineering and Design and at the Fraunhofer Insti­ tute for Industrial Design. From 2012 to 2016, he was engaged in teaching and research at Stuttgart Univer­ sity’s Institute for Foundations of Planning (IGP) whilst completing his PhD. In 2017, Schneider joined DGNB to focus on system development for neighbourhoods and DGNB academy in Germany and abroad. Antonella Sgobba, Dr.-Ing. Antonella Sgobba studied architecture at the univer­ sities of Florence and Madrid (ETSAM), where she completed the diploma in 1997. From 1999 to 2000, she completed a Master’s degree course in Urban Planning at UPC Barcelona. Sgobba worked in private practice in Barcelona and Stuttgart from 1997 to 2007, including Arribas Arquitectos, IDOM ACXT for Toyo Ito, and Behnisch Architekten, and took part in various freelance planning competitions. From 2007 to 2013, Sgobba was engaged in teaching and research at the SI Urban Design Institute at Stuttgart University, lec­ turing on issues such as sustainable urban planning and noise protection simulations. In 2011, she com­ pleted her PhD on “Architecture, the city and the auto­ mobile industry”. From 2014 to 2016, Dr Sgobba worked for the Karlsruhe City Planning office, where she worked on urban development concepts and led the Spatial Framework project. In 2017, Dr Sgobba was appointed as advisor to the government of Upper Franconia in Bayreuth, with responsibility for urban design and urban planning support. Guido Spars, Professor Dr. habil. Guido Spars studied economics at Cologne University, completed a PhD on the land market and land duties at TU Berlin in 2000, where he habilitated in 2007. Dr Spars has led the field of economics of planning and construction at Wuppertal University (BUW) since 2006, where he is also Vice Dean of Research and leads the Master’s degree course in Real Estate Man­ agement / Construction Project Management. He is a member of various scientific committees and asso­ ciations and published several books and papers, including Sharing-Approaches for Housing and Neighbourhoods (“Sharing-Ansätze für Wohnen und

Quartier: Nachhaltigkeitstransformation, kollaborative Konsummodelle und Wohnungswirtschaft”, Fraunhofer IRB-Verlag, 2018) and “Raumunter­nehmen – Wie Nutzer selbst Räume entwickeln” (Jovis-Verlag, 2014). Stefan Siedentop, Professor Dr.-Ing. Stefan Siedentop studied Spatial Planning at Dort­ mund University from 1988 to 1994, where he com­ pleted his PhD in 2001. Dr Siedentop was active in research and teaching, and project manager at the Leibniz Institute of Ecological Urban and Regional Development (IÖR) in Dresden. From 2007 to 2013, Professor Siedentop led the Institute of Spatial and Regional Planning (IREUS) at Stuttgart University. He was appointed as Professor for Urban Development at the Technical University of Dortmund in 2013 and leads the Research Institute for Regional and Urban Development (ILS). Antje Stokman, Professor Dipl.-Ing. From 1993 to 2000, Antje Stokman studied Landscape Architecture at Hanover University and at Edinburgh College of Art. From 2000 to 2001, she was engaged in teaching and research at Hanover Leibniz Univer­sity. From 2001 to 2004, Stokman led overseas projects at Rainer Schmidt landscape architects in Munich. She has held various teaching posts in China and in Ger­ many. From 2005 to 2010, Stokman was Junior Profes­ sor for the Design and Management of Flowing Water Catchment Areas at Hanover Leibniz University. From 2010 to 2018 she was Professor for Landscape Plan­ ning and Ecology, leading the Institute for Landscape Planning and Ecology (ILPÖ) at Stuttgart University. Stokman was appointed Professor for Architecture and Landscape at HafenCity University in 2017. Alyssa Weskamp, M.Sc., M.Arch. From 2007 to 2011, Alyssa Weskamp studied archi­ tecture at TU Berlin. From 2011 to 2013, she studied Urban Design TU Berlin und Tongji University Shang­ hai. In 2013 /2014, Weskamp took up a visiting fellow­ ship within the Urban Design and Sustainable Urban Development unit at TU Berlin. She joined Drees & Sommer Advanced Building Technologies GmbH in 2014 to work in Stuttgart and Berlin. Weskamp is a DGNB Auditor for Urban Districts and LEED AP Neighborhood Development. Bastian Wittstock, Dr.-Ing. From 2000 to 2006, Bastian Wittstock studied Environ­ mental Technology at Stuttgart University, where he completed his PhD in 2012. From 2011 to 2014, Dr Wittstock led the Sustainable Building Group within the Fraunhofer Institute for Building Physics (IBP). He joined thinkstep AG (previously PE INTERNATIONAL AG) in 2014 leading the Building & Construction team and the Sustainable Buildings field. From 2011 to 2015, Dr Wittstock was appointed as a lecturer in Engineering Science at Stuttgart University. He is a DGNB Auditor for buildings and urban districts and has been a mem­ ber of the DGNB technical committee since 2015. Andreas von Zadow, M.A. Andreas von Zadow studied Communication Science at TU Berlin. He worked for the Berlin Senate Depart­ ment for Urban Development and Housing, and he was deputy head of the European Academy for the Urban Environment (EA.UE). Von Zadow is working as independent advisor since 1993. He coaches and facilitates the development of projects, organisations and urban design processes. He is managing partner of Von Zadow International – VZI.

Potsdamer Platz:  Gregor C. Grassl, ­Alexander Sailer Carlsberg:  Stephan Anders, Isabelle Willnauer ecoQuartier:  Rolf Messerschmidt Bo01:  Stephan Anders, Isabelle ­Willnauer Dockside Green:  Stephan Anders, ­Calvin Kühn, Peter Pratter, Isabelle ­Willnauer Neckarbogen:  Gregor C. Grassl, ­Alexander Sailer Hammarby Sjöstad:  Stephan Anders, Lisa Gänsbauer, Isabelle Willnauer Möckernkiez:  Gregor C. Grassl, ­Alexander Sailer NEST:  Stephan Anders, Hristina ­Safranova, Isabelle Willnauer GWL-Terrein:  Stephan Anders, ­Evangelos Solakis, ­Isabelle Willnauer Barangaroo:  Isabelle Willnauer Petrisberg:  Martin Altmann NDSM Wharf:  Stephan Anders, Anna Ilonka Kübler, ­Isabelle Willnauer Berlin TXL – The Urban Tech Republic:  Gregor C. Grassl, Alyssa Weskamp Viertel Zwei:  Gregor C. Grassl, Alyssa Weskamp

We would also like to thank the following students at Stuttgart University for developing the basis for the case study section of this book: Andrea Balestrini, Alexander Becker, Julia Bührle, Feng Chen, Yongrae Cho, Tahira Deniz, Viola ­Fonnesu, Lisa Gänsbauer, Melanie Houben Garcia, Michal Hloupy, Olga Ivanova, Anna Kübler, Calvin Kühn, Lee Jungin, Dominika Lis, Erika Loria, Julia Maisch, Peter Pratter, Tana Qamar, Eliza Rubena, Ann-Kristin Rüter, Alexander Sailer, Hristina ­Safronova, Jeong-Nook Seo, Rebecca Scholz, ­Evangelos Solakis, Jun Tan, Serap Topel, Simone Vielhuber, Yeon Kyoung Yoo, Sandra Zenk, Hongmei Zhai, Juliane ­Zindel

Strategies for the future Sustainability remains an acutely topical issue. With the effects of climate change no longer in any doubt, discussions about the future keep returning to this key challenge. First published in German in 2013, this book presents the first comprehensive overview of the complex challenges and action areas in sustainable neighbourhood planning. The book demonstrates how to integrate overarching sustainable urban design principles into the planning process and sets out a full range of planning strategies and tools for designing living neighbourhoods with a human focus. This completely revised new edition, now also available in English, addresses further issues and models such as resilience and smart cities and relates them to the wider principles of sustainability. The central point at the heart of this book is integrated planning. This is the process and practice of analysing, balancing and uniting the most wide-ranging social, cultural, and environmental objectives in order to forge holistic concepts. A selection of international case studies illustrates ways to implement aspects of sustainable planning within a variety of different specific frameworks.

ISBN 978-3-95553-462-2

9 783955 534622

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